CAXTON ASSOCIATES LP

HTTP://WWW.CAXTON.COM NEW YORK, NY Investment Advisor Hedge Fund How do I update this listing?

Also known as:

  • CAXTON ASSOCIATES LLC
  • CAXTON CORP

Caxton Associates is based out of New York. Caxton Associates is a large advisory firm with 16 clients and discretionary assets under management (AUM) of $17,740,417,474 (Form ADV from 2019-07-19). Their last reported 13F filing for Q2 2019 included $831,128,000 in managed 13F securities and a top 10 holdings concentration of 47.04%. Caxton Associates's largest holding is SPDR S&P 500 ETF Trust with shares held of 860,000. Caxton Associates has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 108 13F filings, 18 13D filings, and 111 13G filings

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68

S&P 500
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06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $831.128 Million
  • Prior Market Value $688.475 Million
  • New Purchases222 stocks
  • Additional Purchases82 stocks
  • Sold out of199 stocks
  • Reduced holdings in68 stocks
  • Top 10 Holdings % 47.04 %
  • Turnover % [1]:108.79%
  • Turnover Alt % [2]: 77.98 %
  • Time Held Top20:0.30 quarters
  • Time Held Top10:0.30 quarters
  • Time Held All:1.56 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: -3.02%
Performance Last 4 Quarters: -8.91%
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 (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)
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  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR/A (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
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  • 2016-06-30 - 13F-HR (Subscription required)
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View Last Form Adv Compilation Report on Record

CAXTON ASSOCIATES LP
Classified as Hedge Fund
500 PARK AVENUE 9TH FLOOR
NEW YORK NY    10022
Country: United States

Business Phone: 212 593-7700
Fax: 212 593-7700
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Partnership
Organized in: DE
Number of employees: 157
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: 17,740,400,000
Total Number of Clients: 16
Amount of client funds and securities by related persons: 17,740,400,000
Total Number of clients from related persons: 16
Disclosures: 11.D (2),11.E (2)
Data above was derived from SEC filings.

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CAXTON ASSOCIATES LP

ownership team - last updated 2019-04-04
Name Title Start Date Direct/Indirect % Ownership
BERNSTEIN, SCOTT, BENNETT SENIOR VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES, LLC GENERAL COUNSEL & SECRETARY & CHIEF COMPLIANCE OFFICER direct 1995-10-01
CAXTON ASSOCIATES, LLC GENERAL COUNSEL & SECRETARY direct 1995-10-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL AND SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY & CHIEF COMPLIANCE OFFICER direct 2009-01-01
CAXTON ASSOCIATES LP MANAGER indirect 2012-04-01
CAXTON HEALTHCARE TRADING GP LLC SECRETARY & CHIEF COMPLIANCE OFFICER direct 2004-09-01
CAXTON HEALTHCARE TRADING GP LLC SECRETARY direct 2004-09-01
CAXTON CORPORATION LIMITED PARTNER 01/01/2012 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CAXTON EUROPE ASSET MANAGEMENT LIMITED MANAGER indirect 1995-10-01
CAXTON HEALTHCARE TRADING GP LLC MANAGER indirect 1995-10-01
A.R.T. ADVISORS, LLC GENERAL PARTNER indirect 2011-10-01
HAWK QUANTITATIVE STRATEGIES, LLC LIMITED PARTNER indirect 2011-10-01
HAWK QUANTITATIVE STRATEGIES, LLC GENERAL PARTNER indirect 2011-10-01
CAXTON ASSOCIATES LP LIMITED PARTNER direct 2012-01-01
LUCIDUS CAPITAL PARTNERS LLP GENERAL PARTNER indirect 2012-01-01
ANGELO, GORDON & CO., L.P. MANAGER indirect 1999-01-01 2001-01-31
ANGELO, GORDON & CO., L.P. GENERAL PARTNER indirect 1999-01-01 2001-01-31
ANGELO, GORDON & CO., L.P. GENERAL PARTNER indirect 2001-01-01 2002-02-27
ANGELO, GORDON & CO., L.P. MANAGER indirect 2001-01-01 2002-02-27
ANGELO, GORDON & CO., L.P. MANAGER indirect 2001-01-01 2002-02-27
CAXTON ASSOCIATES, LLC MANAGER direct 1995-10-01 2008-03-31
CAXTON ASSOCIATES LP GENERAL PARTNER direct 2009-01-01 2011-03-31
A.R.T. ADVISORS, LLC LIMITED PARTNER indirect 2011-10-01 2013-07-26
LAW, ANDREW, ERIC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER 01/01/2009 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER direct 2009-01-01
CAXTON ASSOCIATES LP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER & LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP SOLE SHAREHOLDER indirect 2011-11-01
CAXTON ASSOCIATES LP MANAGER indirect 2012-04-01
WADHWANI ASSET MANAGEMENT LLP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER indirect 2009-01-01
WADHWANI ASSET MANAGEMENT LLP SOLE SHAREHOLDER indirect 2011-11-01
CANTERBURY HOLDINGS (USA) LLC GENERAL PARTNER 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP GENERAL PARTNER direct 2012-01-01
WADHWANI ASSET MANAGEMENT LLP GENERAL PARTNER indirect 2012-02-01
WADE, MATTHEW, DUNCAN CHIEF OPERATING OFFICER AND CHIEF RISK OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF OPERATING OFFICER AND CHIEF RISK OFFICER direct 2014-07-01
CAXTON ASSOCIATES LP MANAGER indirect 2014-07-01
ANDERSON, SIMON CHIEF FINANCIAL OFFICER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
COAST ASSET MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2005-12-01
CAXTON ASSOCIATES LP CHIEF FINANCIAL OFFICER direct 2014-05-01
COOK US IM HOLDINGS LTD. LIMITED PARTNER 09/01/2014 Direct 5 - 10%
MOSKATEL, JEFFREY CHIEF COMPLIANCE OFFICER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF COMPLIANCE OFFICER direct 2019-02-01
KOVNER, BRUCE, STANLEY SOLE SHAREHOLDER CAXTON CORPORATION 02/01/1983 Indirect 75% or more
Fund Name Position direct/indirect start date end date
LUCIDUS CAPITAL PARTNERS LLP SOLE-SHAREHOLDER indirect 1983-02-01
A.R.T. ADVISORS, LLC SOLE SHAREHOLDER indirect 1983-02-01
CAXTON ASSOCIATES, LLC SOLE SHAREHOLDER indirect 1983-02-01
CAXTON EUROPE ASSET MANAGEMENT LIMITED SOLE SHAREHOLDER indirect 1983-02-01
HAWK QUANTITATIVE STRATEGIES, LLC SOLE SHAREHOLDER indirect 1983-02-01
CAXTON HEALTHCARE TRADING GP LLC SOLE SHAREHOLDER indirect 1983-02-01
ANGELO, GORDON & CO., L.P. GENERAL PARTNER indirect 1999-01-01 2001-01-31
ANGELO, GORDON & CO., L.P. SHAREHOLDER indirect 1999-01-01 2001-01-31
ANGELO, GORDON & CO., L.P. LIMITED PARTNER indirect 1999-01-01 2001-01-31
ANGELO, GORDON & CO., L.P. SHAREHOLDER indirect 2001-01-01 2002-02-27
ANGELO, GORDON & CO., L.P. LIMITED PARTNER indirect 2001-01-01 2002-02-27
ANGELO, GORDON & CO., L.P. GENERAL PARTNER indirect 2001-01-01 2002-02-27
CAXTON ASSOCIATES, LLC CHAIRMAN direct 1995-10-01 2009-01-29
CAXTON ASSOCIATES LP CHAIRMAN direct 2009-01-01 2010-03-31
CAXTON ASSOCIATES LP CHAIRMAN & CHIEF EXECUTIVE OFFICER direct 2009-01-01 2011-03-31
LAW, ANDREW, ERIC SOLE SHAREHOLDER CANTERBURY HOLDINGS LIMITED 11/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER direct 2009-01-01
CAXTON ASSOCIATES LP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER & LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP SOLE SHAREHOLDER indirect 2011-11-01
CAXTON ASSOCIATES LP MANAGER indirect 2012-04-01
WADHWANI ASSET MANAGEMENT LLP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER indirect 2009-01-01
WADHWANI ASSET MANAGEMENT LLP SOLE SHAREHOLDER indirect 2011-11-01
CANTERBURY HOLDINGS LIMITED SOLE MEMBER CANTERBURY HOLDINGS (USA) LLC 01/01/2012 Indirect Other
LAW, ANDREW, ERIC MANAGER CANTERBURY HOLDINGS (USA) LLC 04/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER direct 2009-01-01
CAXTON ASSOCIATES LP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER & LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP SOLE SHAREHOLDER indirect 2011-11-01
CAXTON ASSOCIATES LP MANAGER indirect 2012-04-01
WADHWANI ASSET MANAGEMENT LLP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER indirect 2009-01-01
WADHWANI ASSET MANAGEMENT LLP SOLE SHAREHOLDER indirect 2011-11-01
BERNSTEIN, SCOTT, BENNETT MANAGER CANTERBURY HOLDINGS (USA) LLC 04/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES, LLC GENERAL COUNSEL & SECRETARY & CHIEF COMPLIANCE OFFICER direct 1995-10-01
CAXTON ASSOCIATES, LLC GENERAL COUNSEL & SECRETARY direct 1995-10-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL AND SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY & CHIEF COMPLIANCE OFFICER direct 2009-01-01
CAXTON ASSOCIATES LP MANAGER indirect 2012-04-01
CAXTON HEALTHCARE TRADING GP LLC SECRETARY & CHIEF COMPLIANCE OFFICER direct 2004-09-01
CAXTON HEALTHCARE TRADING GP LLC SECRETARY direct 2004-09-01
WADE, MATTHEW, DUNCAN MANAGER CANTERBURY HOLDINGS (USA) LLC 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF OPERATING OFFICER AND CHIEF RISK OFFICER direct 2014-07-01
CAXTON ASSOCIATES LP MANAGER indirect 2014-07-01
PETERSHILL II LP SOLE OWNER COOK US IM HOLDINGS LTD 09/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP SOLE OWNER indirect 2014-09-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE OWNER indirect 2017-06-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE OWNER indirect 2013-10-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC MEMBER direct 2014-01-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2016-11-01
ARCLIGHT CAPITAL PARTNERS, LLC MEMBER, ARCLIGHT CAPITAL HOLDINGS, LLC direct 2017-01-01
FORT, L.P. LIMITED PARTNER direct 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
PH II ADVISORS L.L.C. GENERAL PARTNER COOK US IM HOLDINGS LTD. 10/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP GENERAL PARTNER indirect 2013-10-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE OWNER indirect 2018-06-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2018-06-01
ACCESS TRUST SOLE MEMBER PH II ADVISORS L.L.C. 06/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP SOLE MEMBER indirect 2018-06-01
CAXTON ASSOCIATES LP TRUSTEE indirect 2018-06-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2018-06-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2018-06-01
AVALON TRUST & CORPORATE SERVICES LTD. TRUSTEE ACCESS TRUST 06/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP SOLE MEMBER indirect 2018-06-01
CAXTON ASSOCIATES LP TRUSTEE indirect 2018-06-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2018-06-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2018-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CX HOLDCO LIMITED British Virgin Islands 805-2902674693 Other Private Fund HOLDING COMPANY 15,178,691 0
CX MACRO LIMITED British Virgin Islands 805-7560228537 Hedge Fund 1,767,416,340 5,000,000 Master Fund
CX GLOBAL ADVANTAGE LIMITED British Virgin Islands 805-5438456037 Hedge Fund 9,042,222,711 5,000,000 Master Fund
CX DYNAMIS LIMITED British Virgin Islands 805-6057510013 Hedge Fund 3,654,337,257 0 Master Fund
CX GLOBAL EQUITIES LIMITED British Virgin Islands 805-4740892445 Hedge Fund 1,341,565,789 0
CAXTON INTERNATIONAL LIMITED British Virgin Islands 805-9298549809 Hedge Fund 1,491,559,854 5,000,000 Master Fund

CAXTON ASSOCIATES LP

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
BERNSTEIN, SCOTT, BENNETT SENIOR VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES, LLC GENERAL COUNSEL & SECRETARY & CHIEF COMPLIANCE OFFICER direct 1995-10-01
CAXTON ASSOCIATES, LLC GENERAL COUNSEL & SECRETARY direct 1995-10-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL AND SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY & CHIEF COMPLIANCE OFFICER direct 2009-01-01
CAXTON ASSOCIATES LP MANAGER indirect 2012-04-01
CAXTON HEALTHCARE TRADING GP LLC SECRETARY & CHIEF COMPLIANCE OFFICER direct 2004-09-01
CAXTON HEALTHCARE TRADING GP LLC SECRETARY direct 2004-09-01
CAXTON CORPORATION LIMITED PARTNER 01/01/2012 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CAXTON EUROPE ASSET MANAGEMENT LIMITED MANAGER indirect 1995-10-01
CAXTON HEALTHCARE TRADING GP LLC MANAGER indirect 1995-10-01
A.R.T. ADVISORS, LLC GENERAL PARTNER indirect 2011-10-01
HAWK QUANTITATIVE STRATEGIES, LLC LIMITED PARTNER indirect 2011-10-01
HAWK QUANTITATIVE STRATEGIES, LLC GENERAL PARTNER indirect 2011-10-01
CAXTON ASSOCIATES LP LIMITED PARTNER direct 2012-01-01
LUCIDUS CAPITAL PARTNERS LLP GENERAL PARTNER indirect 2012-01-01
ANGELO, GORDON & CO., L.P. MANAGER indirect 1999-01-01 2001-01-31
ANGELO, GORDON & CO., L.P. GENERAL PARTNER indirect 1999-01-01 2001-01-31
ANGELO, GORDON & CO., L.P. GENERAL PARTNER indirect 2001-01-01 2002-02-27
ANGELO, GORDON & CO., L.P. MANAGER indirect 2001-01-01 2002-02-27
ANGELO, GORDON & CO., L.P. MANAGER indirect 2001-01-01 2002-02-27
CAXTON ASSOCIATES, LLC MANAGER direct 1995-10-01 2008-03-31
CAXTON ASSOCIATES LP GENERAL PARTNER direct 2009-01-01 2011-03-31
A.R.T. ADVISORS, LLC LIMITED PARTNER indirect 2011-10-01 2013-07-26
LAW, ANDREW, ERIC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER 01/01/2009 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER direct 2009-01-01
CAXTON ASSOCIATES LP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER & LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP SOLE SHAREHOLDER indirect 2011-11-01
CAXTON ASSOCIATES LP MANAGER indirect 2012-04-01
WADHWANI ASSET MANAGEMENT LLP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER indirect 2009-01-01
WADHWANI ASSET MANAGEMENT LLP SOLE SHAREHOLDER indirect 2011-11-01
CANTERBURY HOLDINGS (USA) LLC GENERAL PARTNER 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP GENERAL PARTNER direct 2012-01-01
WADHWANI ASSET MANAGEMENT LLP GENERAL PARTNER indirect 2012-02-01
WADE, MATTHEW, DUNCAN CHIEF OPERATING OFFICER AND CHIEF RISK OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF OPERATING OFFICER AND CHIEF RISK OFFICER direct 2014-07-01
CAXTON ASSOCIATES LP MANAGER indirect 2014-07-01
ANDERSON, SIMON CHIEF FINANCIAL OFFICER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
COAST ASSET MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2005-12-01
CAXTON ASSOCIATES LP CHIEF FINANCIAL OFFICER direct 2014-05-01
COOK US IM HOLDINGS LTD. LIMITED PARTNER 09/01/2014 Direct 5 - 10%
MOSKATEL, JEFFREY CHIEF COMPLIANCE OFFICER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF COMPLIANCE OFFICER direct 2019-02-01
KOVNER, BRUCE, STANLEY SOLE SHAREHOLDER CAXTON CORPORATION 02/01/1983 Indirect 75% or more
Fund Name Position direct/indirect start date end date
LUCIDUS CAPITAL PARTNERS LLP SOLE-SHAREHOLDER indirect 1983-02-01
A.R.T. ADVISORS, LLC SOLE SHAREHOLDER indirect 1983-02-01
CAXTON ASSOCIATES, LLC SOLE SHAREHOLDER indirect 1983-02-01
CAXTON EUROPE ASSET MANAGEMENT LIMITED SOLE SHAREHOLDER indirect 1983-02-01
HAWK QUANTITATIVE STRATEGIES, LLC SOLE SHAREHOLDER indirect 1983-02-01
CAXTON HEALTHCARE TRADING GP LLC SOLE SHAREHOLDER indirect 1983-02-01
ANGELO, GORDON & CO., L.P. GENERAL PARTNER indirect 1999-01-01 2001-01-31
ANGELO, GORDON & CO., L.P. SHAREHOLDER indirect 1999-01-01 2001-01-31
ANGELO, GORDON & CO., L.P. LIMITED PARTNER indirect 1999-01-01 2001-01-31
ANGELO, GORDON & CO., L.P. SHAREHOLDER indirect 2001-01-01 2002-02-27
ANGELO, GORDON & CO., L.P. LIMITED PARTNER indirect 2001-01-01 2002-02-27
ANGELO, GORDON & CO., L.P. GENERAL PARTNER indirect 2001-01-01 2002-02-27
CAXTON ASSOCIATES, LLC CHAIRMAN direct 1995-10-01 2009-01-29
CAXTON ASSOCIATES LP CHAIRMAN direct 2009-01-01 2010-03-31
CAXTON ASSOCIATES LP CHAIRMAN & CHIEF EXECUTIVE OFFICER direct 2009-01-01 2011-03-31
LAW, ANDREW, ERIC SOLE SHAREHOLDER CANTERBURY HOLDINGS LIMITED 11/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER direct 2009-01-01
CAXTON ASSOCIATES LP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER & LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP SOLE SHAREHOLDER indirect 2011-11-01
CAXTON ASSOCIATES LP MANAGER indirect 2012-04-01
WADHWANI ASSET MANAGEMENT LLP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER indirect 2009-01-01
WADHWANI ASSET MANAGEMENT LLP SOLE SHAREHOLDER indirect 2011-11-01
CANTERBURY HOLDINGS LIMITED SOLE MEMBER CANTERBURY HOLDINGS (USA) LLC 01/01/2012 Indirect Other
LAW, ANDREW, ERIC MANAGER CANTERBURY HOLDINGS (USA) LLC 04/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER direct 2009-01-01
CAXTON ASSOCIATES LP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER & LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP SOLE SHAREHOLDER indirect 2011-11-01
CAXTON ASSOCIATES LP MANAGER indirect 2012-04-01
WADHWANI ASSET MANAGEMENT LLP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER indirect 2009-01-01
WADHWANI ASSET MANAGEMENT LLP SOLE SHAREHOLDER indirect 2011-11-01
BERNSTEIN, SCOTT, BENNETT MANAGER CANTERBURY HOLDINGS (USA) LLC 04/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES, LLC GENERAL COUNSEL & SECRETARY & CHIEF COMPLIANCE OFFICER direct 1995-10-01
CAXTON ASSOCIATES, LLC GENERAL COUNSEL & SECRETARY direct 1995-10-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL AND SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY & CHIEF COMPLIANCE OFFICER direct 2009-01-01
CAXTON ASSOCIATES LP MANAGER indirect 2012-04-01
CAXTON HEALTHCARE TRADING GP LLC SECRETARY & CHIEF COMPLIANCE OFFICER direct 2004-09-01
CAXTON HEALTHCARE TRADING GP LLC SECRETARY direct 2004-09-01
WADE, MATTHEW, DUNCAN MANAGER CANTERBURY HOLDINGS (USA) LLC 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF OPERATING OFFICER AND CHIEF RISK OFFICER direct 2014-07-01
CAXTON ASSOCIATES LP MANAGER indirect 2014-07-01
PETERSHILL II LP SOLE OWNER COOK US IM HOLDINGS LTD 09/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP SOLE OWNER indirect 2014-09-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE OWNER indirect 2017-06-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE OWNER indirect 2013-10-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC MEMBER direct 2014-01-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2016-11-01
ARCLIGHT CAPITAL PARTNERS, LLC MEMBER, ARCLIGHT CAPITAL HOLDINGS, LLC direct 2017-01-01
FORT, L.P. LIMITED PARTNER direct 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
PH II ADVISORS L.L.C. GENERAL PARTNER COOK US IM HOLDINGS LTD. 10/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP GENERAL PARTNER indirect 2013-10-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE OWNER indirect 2018-06-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2018-06-01
ACCESS TRUST SOLE MEMBER PH II ADVISORS L.L.C. 06/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP SOLE MEMBER indirect 2018-06-01
CAXTON ASSOCIATES LP TRUSTEE indirect 2018-06-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2018-06-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2018-06-01
AVALON TRUST & CORPORATE SERVICES LTD. TRUSTEE ACCESS TRUST 06/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP SOLE MEMBER indirect 2018-06-01
CAXTON ASSOCIATES LP TRUSTEE indirect 2018-06-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2018-06-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC TRUSTEE indirect 2018-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CX HOLDCO LIMITED British Virgin Islands 805-2902674693 Other Private Fund HOLDING COMPANY 15,178,691 0
CX MACRO LIMITED British Virgin Islands 805-7560228537 Hedge Fund 1,767,416,340 5,000,000 Master Fund
CX GLOBAL ADVANTAGE LIMITED British Virgin Islands 805-5438456037 Hedge Fund 9,042,222,711 5,000,000 Master Fund
CX DYNAMIS LIMITED British Virgin Islands 805-6057510013 Hedge Fund 3,654,337,257 0 Master Fund
CX GLOBAL EQUITIES LIMITED British Virgin Islands 805-4740892445 Hedge Fund 1,341,565,789 0
CAXTON INTERNATIONAL LIMITED British Virgin Islands 805-9298549809 Hedge Fund 1,491,559,854 5,000,000 Master Fund

CAXTON ASSOCIATES LP

ownership team - last updated 2018-11-15
Name Title Start Date Direct/Indirect % Ownership
BERNSTEIN, SCOTT, BENNETT SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL AND SECRETARY 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES, LLC GENERAL COUNSEL & SECRETARY & CHIEF COMPLIANCE OFFICER direct 1995-10-01
CAXTON ASSOCIATES, LLC GENERAL COUNSEL & SECRETARY direct 1995-10-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL AND SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY & CHIEF COMPLIANCE OFFICER direct 2009-01-01
CAXTON ASSOCIATES LP MANAGER indirect 2012-04-01
CAXTON HEALTHCARE TRADING GP LLC SECRETARY & CHIEF COMPLIANCE OFFICER direct 2004-09-01
CAXTON HEALTHCARE TRADING GP LLC SECRETARY direct 2004-09-01
CAXTON CORPORATION LIMITED PARTNER 01/01/2012 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CAXTON EUROPE ASSET MANAGEMENT LIMITED MANAGER indirect 1995-10-01
CAXTON HEALTHCARE TRADING GP LLC MANAGER indirect 1995-10-01
A.R.T. ADVISORS, LLC GENERAL PARTNER indirect 2011-10-01
HAWK QUANTITATIVE STRATEGIES, LLC LIMITED PARTNER indirect 2011-10-01
HAWK QUANTITATIVE STRATEGIES, LLC GENERAL PARTNER indirect 2011-10-01
CAXTON ASSOCIATES LP LIMITED PARTNER direct 2012-01-01
LUCIDUS CAPITAL PARTNERS LLP GENERAL PARTNER indirect 2012-01-01
ANGELO, GORDON & CO., L.P. MANAGER indirect 1999-01-01 2001-01-31
ANGELO, GORDON & CO., L.P. GENERAL PARTNER indirect 1999-01-01 2001-01-31
ANGELO, GORDON & CO., L.P. GENERAL PARTNER indirect 2001-01-01 2002-02-27
ANGELO, GORDON & CO., L.P. MANAGER indirect 2001-01-01 2002-02-27
ANGELO, GORDON & CO., L.P. MANAGER indirect 2001-01-01 2002-02-27
CAXTON ASSOCIATES, LLC MANAGER direct 1995-10-01 2008-03-31
CAXTON ASSOCIATES LP GENERAL PARTNER direct 2009-01-01 2011-03-31
A.R.T. ADVISORS, LLC LIMITED PARTNER indirect 2011-10-01 2013-07-26
LAW, ANDREW, ERIC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER 01/01/2009 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER direct 2009-01-01
CAXTON ASSOCIATES LP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER & LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP SOLE SHAREHOLDER indirect 2011-11-01
CAXTON ASSOCIATES LP MANAGER indirect 2012-04-01
WADHWANI ASSET MANAGEMENT LLP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER indirect 2009-01-01
WADHWANI ASSET MANAGEMENT LLP SOLE SHAREHOLDER indirect 2011-11-01
CANTERBURY HOLDINGS (USA) LLC GENERAL PARTNER 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP GENERAL PARTNER direct 2012-01-01
WADHWANI ASSET MANAGEMENT LLP GENERAL PARTNER indirect 2012-02-01
WADE, MATTHEW, DUNCAN CHIEF OPERATING OFFICER AND CHIEF RISK OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF OPERATING OFFICER AND CHIEF RISK OFFICER direct 2014-07-01
CAXTON ASSOCIATES LP MANAGER indirect 2014-07-01
ANDERSON, SIMON CHIEF FINANCIAL OFFICER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
COAST ASSET MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2005-12-01
CAXTON ASSOCIATES LP CHIEF FINANCIAL OFFICER direct 2014-05-01
COOK US IM HOLDINGS LTD. LIMITED PARTNER 09/01/2014 Direct 5 - 10%
KOVNER, BRUCE, STANLEY SOLE SHAREHOLDER CAXTON CORPORATION 02/01/1983 Indirect 75% or more
Fund Name Position direct/indirect start date end date
LUCIDUS CAPITAL PARTNERS LLP SOLE-SHAREHOLDER indirect 1983-02-01
A.R.T. ADVISORS, LLC SOLE SHAREHOLDER indirect 1983-02-01
CAXTON ASSOCIATES, LLC SOLE SHAREHOLDER indirect 1983-02-01
CAXTON EUROPE ASSET MANAGEMENT LIMITED SOLE SHAREHOLDER indirect 1983-02-01
HAWK QUANTITATIVE STRATEGIES, LLC SOLE SHAREHOLDER indirect 1983-02-01
CAXTON HEALTHCARE TRADING GP LLC SOLE SHAREHOLDER indirect 1983-02-01
ANGELO, GORDON & CO., L.P. GENERAL PARTNER indirect 1999-01-01 2001-01-31
ANGELO, GORDON & CO., L.P. SHAREHOLDER indirect 1999-01-01 2001-01-31
ANGELO, GORDON & CO., L.P. LIMITED PARTNER indirect 1999-01-01 2001-01-31
ANGELO, GORDON & CO., L.P. SHAREHOLDER indirect 2001-01-01 2002-02-27
ANGELO, GORDON & CO., L.P. LIMITED PARTNER indirect 2001-01-01 2002-02-27
ANGELO, GORDON & CO., L.P. GENERAL PARTNER indirect 2001-01-01 2002-02-27
CAXTON ASSOCIATES, LLC CHAIRMAN direct 1995-10-01 2009-01-29
CAXTON ASSOCIATES LP CHAIRMAN direct 2009-01-01 2010-03-31
CAXTON ASSOCIATES LP CHAIRMAN & CHIEF EXECUTIVE OFFICER direct 2009-01-01 2011-03-31
LAW, ANDREW, ERIC SOLE SHAREHOLDER CANTERBURY HOLDINGS LIMITED 11/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER direct 2009-01-01
CAXTON ASSOCIATES LP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER & LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP SOLE SHAREHOLDER indirect 2011-11-01
CAXTON ASSOCIATES LP MANAGER indirect 2012-04-01
WADHWANI ASSET MANAGEMENT LLP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER indirect 2009-01-01
WADHWANI ASSET MANAGEMENT LLP SOLE SHAREHOLDER indirect 2011-11-01
CANTERBURY HOLDINGS LIMITED SOLE MEMBER CANTERBURY HOLDINGS (USA) LLC 01/01/2012 Indirect Other
LAW, ANDREW, ERIC MANAGER CANTERBURY HOLDINGS (USA) LLC 04/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER direct 2009-01-01
CAXTON ASSOCIATES LP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER & LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP SOLE SHAREHOLDER indirect 2011-11-01
CAXTON ASSOCIATES LP MANAGER indirect 2012-04-01
WADHWANI ASSET MANAGEMENT LLP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER indirect 2009-01-01
WADHWANI ASSET MANAGEMENT LLP SOLE SHAREHOLDER indirect 2011-11-01
BERNSTEIN, SCOTT, BENNETT MANAGER CANTERBURY HOLDINGS (USA) LLC 04/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES, LLC GENERAL COUNSEL & SECRETARY & CHIEF COMPLIANCE OFFICER direct 1995-10-01
CAXTON ASSOCIATES, LLC GENERAL COUNSEL & SECRETARY direct 1995-10-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL AND SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY & CHIEF COMPLIANCE OFFICER direct 2009-01-01
CAXTON ASSOCIATES LP MANAGER indirect 2012-04-01
CAXTON HEALTHCARE TRADING GP LLC SECRETARY & CHIEF COMPLIANCE OFFICER direct 2004-09-01
CAXTON HEALTHCARE TRADING GP LLC SECRETARY direct 2004-09-01
WADE, MATTHEW, DUNCAN MANAGER CANTERBURY HOLDINGS (USA) LLC 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF OPERATING OFFICER AND CHIEF RISK OFFICER direct 2014-07-01
CAXTON ASSOCIATES LP MANAGER indirect 2014-07-01
PETERSHILL II LP SOLE OWNER COOK US IM HOLDINGS LTD 09/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP SOLE OWNER indirect 2014-09-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE OWNER indirect 2017-06-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE OWNER indirect 2013-10-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC MEMBER direct 2014-01-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2016-11-01
ARCLIGHT CAPITAL PARTNERS, LLC MEMBER, ARCLIGHT CAPITAL HOLDINGS, LLC direct 2017-01-01
FORT, L.P. LIMITED PARTNER direct 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
GOLDMAN SACHS PH II ADVISORS L.L.C. GENERAL PARTNER PETERSHILL II LP 10/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
GOLDMAN SACHS REALTY MANAGEMENT, LLC MANAGING MEMBER (PREVIOUSLY LIMITED PARTNER) direct 1996-07-01
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER indirect 1997-04-01
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL SHAREHOLDER, CLASS A MEMBER indirect 1999-11-01
THE AYCO COMPANY,L.P. LIMITED PARTNER direct 2003-07-01
THE AYCO COMPANY,L.P. GENERAL PARTNER direct 2003-07-01
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2003-07-01
GS INVESTMENT STRATEGIES, LLC MEMBER indirect 2006-12-01
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER indirect 2011-12-01
GSAM STABLE VALUE, LLC MEMBER indirect 2012-05-01
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-10-01
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2013-10-01
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-10-01
CAXTON ASSOCIATES LP GENERAL PARTNER indirect 2013-10-01
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2015-03-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2015-03-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-03-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE MEMBER indirect 2015-11-01
FORT, L.P. SOLE MEMBER AND MANAGER indirect 2015-12-01
FORT, L.P. GENERAL PARTNER indirect 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
FORT, L.P. SOLE MEMBER AND MANAGER indirect 2015-12-01
FORT, L.P. GENERAL PARTNER indirect 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD MEMBER indirect 2016-02-01
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. MEMBER indirect 2016-02-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE MEMBER indirect 2016-02-01
GSAM STABLE VALUE, LLC GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD GENERAL PARTNER indirect 2016-02-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE OWNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. MEMBER indirect 2016-02-01
GS INVESTMENT STRATEGIES, LLC MEMBER direct 2016-02-01
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2016-02-01
HONEST ADVISORS, LLC MEMBER indirect 2016-02-01
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER direct 2016-02-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED MEMBER indirect 2016-02-01
CAXTON ASSOCIATES LP SOLE MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED MEMBER indirect 2016-02-01
HONEST ADVISORS, LLC MEMBER indirect 2016-05-01
GOLDMAN SACHS & CO. LLC CLASS A MEMBER direct 2017-04-01
DSS ADVISORS LLC GENERAL PARTNER OF WSLP indirect 1998-07-01 2002-04-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAREHOLDER indirect 1995-11-01 2006-02-28
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 1995-11-01 2006-04-03
GOLDMAN, SACHS & CO. GENERAL PARTNER AND LIMITED PARTNER direct 1989-03-01 2008-05-19
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL DIRECT OWNER indirect 1999-05-01 2011-12-23
KIBBLE & PRENTICE HOLDING COMPANY GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLOYEE MASTER FUND, L.P. indirect 2007-02-01 2012-06-06
DWIGHT ASSET MANAGEMENT COMPANY LLC GENERAL PARTNER OF GSAM L.P. direct 2012-05-01 2012-08-01
USI SECURITIES, INC. GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLOYEE MASTER FUND, L.P. indirect 2007-02-01 2012-11-20
THE AYCO COMPANY,L.P. 100% SHAREHOLDER indirect 2003-07-01 2013-01-02
USI ADVISORS, INC. GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLYEE MASTER FUND, L.P. indirect 2007-02-01 2013-01-23
CLAIRVUE REALTY ADVISORS, LLC MANAGING MEMBER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC MANAGING MEMBER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC GENERAL PARTNER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC GENERAL PARTNER indirect 2010-03-01 2013-02-28
GSAM STABLE VALUE, LLC GENERAL PARTNER OF GSAM L.P. indirect 2003-03-01 2014-04-16
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-10-01 2014-12-04
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2003-07-01 2015-02-05
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2011-12-01 2015-02-05
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2013-10-01 2015-03-17
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-10-01 2015-03-17
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2013-10-01 2015-03-30
GSAM STABLE VALUE, LLC MEMBER indirect 2012-05-01 2015-03-31
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER direct 1997-04-01 2015-07-24
GS INVESTMENT STRATEGIES, LLC MEMBER direct 2006-12-01 2015-08-21
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER direct 2011-12-01 2015-10-30
GOLDMAN SACHS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2003-03-01 2015-11-20
GOLDMAN SACHS REALTY MANAGEMENT, L.L.C. LIMITED PARTNER direct 1996-07-01 2016-03-24
CAXTON ASSOCIATES LP MAJORITY OWNER indirect 1997-01-01 2016-03-30
KNIGHTHEAD CAPITAL MANAGEMENT, LLC MAJORITY OWNER indirect 2014-01-01 2016-07-28
GOLDMAN, SACHS & CO. LIMITED PARTNER direct 1989-03-01 2017-09-15
GSAM GEN-PAR, L.L.C. SOLE MEMBER AND MANAGER GOLDMAN SACHS PH II ADVISORS L.L.C. 10/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GOLDMAN SACHS REALTY MANAGEMENT, LLC MANAGING MEMBER (PREVIOUSLY LIMITED PARTNER) direct 1996-07-01
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER indirect 1997-04-01
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL SHAREHOLDER, CLASS A MEMBER indirect 1999-11-01
THE AYCO COMPANY,L.P. LIMITED PARTNER direct 2003-07-01
THE AYCO COMPANY,L.P. GENERAL PARTNER direct 2003-07-01
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2003-07-01
GS INVESTMENT STRATEGIES, LLC MEMBER indirect 2006-12-01
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER indirect 2011-12-01
GSAM STABLE VALUE, LLC MEMBER indirect 2012-05-01
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-10-01
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2013-10-01
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-10-01
CAXTON ASSOCIATES LP GENERAL PARTNER indirect 2013-10-01
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2015-03-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2015-03-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-03-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE MEMBER indirect 2015-11-01
FORT, L.P. SOLE MEMBER AND MANAGER indirect 2015-12-01
FORT, L.P. GENERAL PARTNER indirect 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
FORT, L.P. SOLE MEMBER AND MANAGER indirect 2015-12-01
FORT, L.P. GENERAL PARTNER indirect 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD MEMBER indirect 2016-02-01
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. MEMBER indirect 2016-02-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE MEMBER indirect 2016-02-01
GSAM STABLE VALUE, LLC GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD GENERAL PARTNER indirect 2016-02-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE OWNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. MEMBER indirect 2016-02-01
GS INVESTMENT STRATEGIES, LLC MEMBER direct 2016-02-01
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2016-02-01
HONEST ADVISORS, LLC MEMBER indirect 2016-02-01
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER direct 2016-02-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED MEMBER indirect 2016-02-01
CAXTON ASSOCIATES LP SOLE MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED MEMBER indirect 2016-02-01
HONEST ADVISORS, LLC MEMBER indirect 2016-05-01
GOLDMAN SACHS & CO. LLC CLASS A MEMBER direct 2017-04-01
DSS ADVISORS LLC GENERAL PARTNER OF WSLP indirect 1998-07-01 2002-04-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAREHOLDER indirect 1995-11-01 2006-02-28
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 1995-11-01 2006-04-03
GOLDMAN, SACHS & CO. GENERAL PARTNER AND LIMITED PARTNER direct 1989-03-01 2008-05-19
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL DIRECT OWNER indirect 1999-05-01 2011-12-23
KIBBLE & PRENTICE HOLDING COMPANY GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLOYEE MASTER FUND, L.P. indirect 2007-02-01 2012-06-06
DWIGHT ASSET MANAGEMENT COMPANY LLC GENERAL PARTNER OF GSAM L.P. direct 2012-05-01 2012-08-01
USI SECURITIES, INC. GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLOYEE MASTER FUND, L.P. indirect 2007-02-01 2012-11-20
THE AYCO COMPANY,L.P. 100% SHAREHOLDER indirect 2003-07-01 2013-01-02
USI ADVISORS, INC. GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLYEE MASTER FUND, L.P. indirect 2007-02-01 2013-01-23
CLAIRVUE REALTY ADVISORS, LLC MANAGING MEMBER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC MANAGING MEMBER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC GENERAL PARTNER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC GENERAL PARTNER indirect 2010-03-01 2013-02-28
GSAM STABLE VALUE, LLC GENERAL PARTNER OF GSAM L.P. indirect 2003-03-01 2014-04-16
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-10-01 2014-12-04
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2003-07-01 2015-02-05
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2011-12-01 2015-02-05
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2013-10-01 2015-03-17
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-10-01 2015-03-17
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2013-10-01 2015-03-30
GSAM STABLE VALUE, LLC MEMBER indirect 2012-05-01 2015-03-31
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER direct 1997-04-01 2015-07-24
GS INVESTMENT STRATEGIES, LLC MEMBER direct 2006-12-01 2015-08-21
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER direct 2011-12-01 2015-10-30
GOLDMAN SACHS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2003-03-01 2015-11-20
GOLDMAN SACHS REALTY MANAGEMENT, L.L.C. LIMITED PARTNER direct 1996-07-01 2016-03-24
CAXTON ASSOCIATES LP MAJORITY OWNER indirect 1997-01-01 2016-03-30
KNIGHTHEAD CAPITAL MANAGEMENT, LLC MAJORITY OWNER indirect 2014-01-01 2016-07-28
GOLDMAN, SACHS & CO. LIMITED PARTNER direct 1989-03-01 2017-09-15
THE GOLDMAN SACHS GROUP, INC. SOLE MEMBER AND MANAGER GSAM HOLDINGS LLC 02/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GOLDMAN SACHS REALTY MANAGEMENT, LLC MANAGING MEMBER (PREVIOUSLY LIMITED PARTNER) direct 1996-07-01
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER indirect 1997-04-01
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL SHAREHOLDER, CLASS A MEMBER indirect 1999-11-01
THE AYCO COMPANY,L.P. LIMITED PARTNER direct 2003-07-01
THE AYCO COMPANY,L.P. GENERAL PARTNER direct 2003-07-01
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2003-07-01
GS INVESTMENT STRATEGIES, LLC MEMBER indirect 2006-12-01
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER indirect 2011-12-01
GSAM STABLE VALUE, LLC MEMBER indirect 2012-05-01
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-10-01
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2013-10-01
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-10-01
CAXTON ASSOCIATES LP GENERAL PARTNER indirect 2013-10-01
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2015-03-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2015-03-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-03-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE MEMBER indirect 2015-11-01
FORT, L.P. SOLE MEMBER AND MANAGER indirect 2015-12-01
FORT, L.P. GENERAL PARTNER indirect 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
FORT, L.P. SOLE MEMBER AND MANAGER indirect 2015-12-01
FORT, L.P. GENERAL PARTNER indirect 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD MEMBER indirect 2016-02-01
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. MEMBER indirect 2016-02-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE MEMBER indirect 2016-02-01
GSAM STABLE VALUE, LLC GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD GENERAL PARTNER indirect 2016-02-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE OWNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. MEMBER indirect 2016-02-01
GS INVESTMENT STRATEGIES, LLC MEMBER direct 2016-02-01
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2016-02-01
HONEST ADVISORS, LLC MEMBER indirect 2016-02-01
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER direct 2016-02-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED MEMBER indirect 2016-02-01
CAXTON ASSOCIATES LP SOLE MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED MEMBER indirect 2016-02-01
HONEST ADVISORS, LLC MEMBER indirect 2016-05-01
GOLDMAN SACHS & CO. LLC CLASS A MEMBER direct 2017-04-01
DSS ADVISORS LLC GENERAL PARTNER OF WSLP indirect 1998-07-01 2002-04-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAREHOLDER indirect 1995-11-01 2006-02-28
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 1995-11-01 2006-04-03
GOLDMAN, SACHS & CO. GENERAL PARTNER AND LIMITED PARTNER direct 1989-03-01 2008-05-19
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL DIRECT OWNER indirect 1999-05-01 2011-12-23
KIBBLE & PRENTICE HOLDING COMPANY GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLOYEE MASTER FUND, L.P. indirect 2007-02-01 2012-06-06
DWIGHT ASSET MANAGEMENT COMPANY LLC GENERAL PARTNER OF GSAM L.P. direct 2012-05-01 2012-08-01
USI SECURITIES, INC. GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLOYEE MASTER FUND, L.P. indirect 2007-02-01 2012-11-20
THE AYCO COMPANY,L.P. 100% SHAREHOLDER indirect 2003-07-01 2013-01-02
USI ADVISORS, INC. GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLYEE MASTER FUND, L.P. indirect 2007-02-01 2013-01-23
CLAIRVUE REALTY ADVISORS, LLC MANAGING MEMBER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC MANAGING MEMBER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC GENERAL PARTNER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC GENERAL PARTNER indirect 2010-03-01 2013-02-28
GSAM STABLE VALUE, LLC GENERAL PARTNER OF GSAM L.P. indirect 2003-03-01 2014-04-16
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-10-01 2014-12-04
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2003-07-01 2015-02-05
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2011-12-01 2015-02-05
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2013-10-01 2015-03-17
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-10-01 2015-03-17
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2013-10-01 2015-03-30
GSAM STABLE VALUE, LLC MEMBER indirect 2012-05-01 2015-03-31
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER direct 1997-04-01 2015-07-24
GS INVESTMENT STRATEGIES, LLC MEMBER direct 2006-12-01 2015-08-21
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER direct 2011-12-01 2015-10-30
GOLDMAN SACHS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2003-03-01 2015-11-20
GOLDMAN SACHS REALTY MANAGEMENT, L.L.C. LIMITED PARTNER direct 1996-07-01 2016-03-24
CAXTON ASSOCIATES LP MAJORITY OWNER indirect 1997-01-01 2016-03-30
KNIGHTHEAD CAPITAL MANAGEMENT, LLC MAJORITY OWNER indirect 2014-01-01 2016-07-28
GOLDMAN, SACHS & CO. LIMITED PARTNER direct 1989-03-01 2017-09-15
GSAM HOLDINGS LLC SOLE MEMBER GSAM GEN-PAR, L.L.C. 02/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GOLDMAN SACHS REALTY MANAGEMENT, LLC MANAGING MEMBER (PREVIOUSLY LIMITED PARTNER) direct 1996-07-01
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER indirect 1997-04-01
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL SHAREHOLDER, CLASS A MEMBER indirect 1999-11-01
THE AYCO COMPANY,L.P. LIMITED PARTNER direct 2003-07-01
THE AYCO COMPANY,L.P. GENERAL PARTNER direct 2003-07-01
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2003-07-01
GS INVESTMENT STRATEGIES, LLC MEMBER indirect 2006-12-01
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER indirect 2011-12-01
GSAM STABLE VALUE, LLC MEMBER indirect 2012-05-01
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-10-01
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2013-10-01
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-10-01
CAXTON ASSOCIATES LP GENERAL PARTNER indirect 2013-10-01
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2015-03-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2015-03-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-03-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE MEMBER indirect 2015-11-01
FORT, L.P. SOLE MEMBER AND MANAGER indirect 2015-12-01
FORT, L.P. GENERAL PARTNER indirect 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
FORT, L.P. SOLE MEMBER AND MANAGER indirect 2015-12-01
FORT, L.P. GENERAL PARTNER indirect 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD MEMBER indirect 2016-02-01
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. MEMBER indirect 2016-02-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE MEMBER indirect 2016-02-01
GSAM STABLE VALUE, LLC GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD GENERAL PARTNER indirect 2016-02-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE OWNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. MEMBER indirect 2016-02-01
GS INVESTMENT STRATEGIES, LLC MEMBER direct 2016-02-01
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2016-02-01
HONEST ADVISORS, LLC MEMBER indirect 2016-02-01
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER direct 2016-02-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED MEMBER indirect 2016-02-01
CAXTON ASSOCIATES LP SOLE MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED MEMBER indirect 2016-02-01
HONEST ADVISORS, LLC MEMBER indirect 2016-05-01
GOLDMAN SACHS & CO. LLC CLASS A MEMBER direct 2017-04-01
DSS ADVISORS LLC GENERAL PARTNER OF WSLP indirect 1998-07-01 2002-04-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAREHOLDER indirect 1995-11-01 2006-02-28
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 1995-11-01 2006-04-03
GOLDMAN, SACHS & CO. GENERAL PARTNER AND LIMITED PARTNER direct 1989-03-01 2008-05-19
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL DIRECT OWNER indirect 1999-05-01 2011-12-23
KIBBLE & PRENTICE HOLDING COMPANY GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLOYEE MASTER FUND, L.P. indirect 2007-02-01 2012-06-06
DWIGHT ASSET MANAGEMENT COMPANY LLC GENERAL PARTNER OF GSAM L.P. direct 2012-05-01 2012-08-01
USI SECURITIES, INC. GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLOYEE MASTER FUND, L.P. indirect 2007-02-01 2012-11-20
THE AYCO COMPANY,L.P. 100% SHAREHOLDER indirect 2003-07-01 2013-01-02
USI ADVISORS, INC. GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLYEE MASTER FUND, L.P. indirect 2007-02-01 2013-01-23
CLAIRVUE REALTY ADVISORS, LLC MANAGING MEMBER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC MANAGING MEMBER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC GENERAL PARTNER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC GENERAL PARTNER indirect 2010-03-01 2013-02-28
GSAM STABLE VALUE, LLC GENERAL PARTNER OF GSAM L.P. indirect 2003-03-01 2014-04-16
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-10-01 2014-12-04
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2003-07-01 2015-02-05
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2011-12-01 2015-02-05
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2013-10-01 2015-03-17
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-10-01 2015-03-17
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2013-10-01 2015-03-30
GSAM STABLE VALUE, LLC MEMBER indirect 2012-05-01 2015-03-31
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER direct 1997-04-01 2015-07-24
GS INVESTMENT STRATEGIES, LLC MEMBER direct 2006-12-01 2015-08-21
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER direct 2011-12-01 2015-10-30
GOLDMAN SACHS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2003-03-01 2015-11-20
GOLDMAN SACHS REALTY MANAGEMENT, L.L.C. LIMITED PARTNER direct 1996-07-01 2016-03-24
CAXTON ASSOCIATES LP MAJORITY OWNER indirect 1997-01-01 2016-03-30
KNIGHTHEAD CAPITAL MANAGEMENT, LLC MAJORITY OWNER indirect 2014-01-01 2016-07-28
GOLDMAN, SACHS & CO. LIMITED PARTNER direct 1989-03-01 2017-09-15

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CX MACRO LIMITED British Virgin Islands 805-7560228537 Hedge Fund 3,898,581,882 0 Master Fund
CX HOLDCO LIMITED British Virgin Islands 805-2902674693 Other Private Fund HOLDING COMPANY 13,028,483 0
CX GLOBAL ADVANTAGE LIMITED British Virgin Islands 805-5438456037 Hedge Fund 5,436,811,754 0 Master Fund
CX GLOBAL OPPORTUNITIES LIMITED British Virgin Islands 805-6057510013 Hedge Fund 1,201,082,825 0
CX GLOBAL EQUITIES LIMITED British Virgin Islands 805-4740892445 Hedge Fund 2,740,135,975 0
CXPLY LLC United States 805-7760333063 Private Equity Fund 7,483,360 0
CAXTON INTERNATIONAL LIMITED British Virgin Islands 805-9298549809 Hedge Fund 11,054,351,308 5,000,000 Master Fund

CAXTON ASSOCIATES LP

ownership team - last updated 2017-06-09
Name Title Start Date Direct/Indirect % Ownership
BERNSTEIN, SCOTT, BENNETT SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL AND SECRETARY 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES, LLC GENERAL COUNSEL & SECRETARY & CHIEF COMPLIANCE OFFICER direct 1995-10-01
CAXTON ASSOCIATES, LLC GENERAL COUNSEL & SECRETARY direct 1995-10-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL AND SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY & CHIEF COMPLIANCE OFFICER direct 2009-01-01
CAXTON ASSOCIATES LP MANAGER indirect 2012-04-01
CAXTON HEALTHCARE TRADING GP LLC SECRETARY & CHIEF COMPLIANCE OFFICER direct 2004-09-01
CAXTON HEALTHCARE TRADING GP LLC SECRETARY direct 2004-09-01
CAXTON CORPORATION LIMITED PARTNER 01/01/2012 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CAXTON EUROPE ASSET MANAGEMENT LIMITED MANAGER indirect 1995-10-01
CAXTON HEALTHCARE TRADING GP LLC MANAGER indirect 1995-10-01
A.R.T. ADVISORS, LLC GENERAL PARTNER indirect 2011-10-01
HAWK QUANTITATIVE STRATEGIES, LLC LIMITED PARTNER indirect 2011-10-01
HAWK QUANTITATIVE STRATEGIES, LLC GENERAL PARTNER indirect 2011-10-01
CAXTON ASSOCIATES LP LIMITED PARTNER direct 2012-01-01
LUCIDUS CAPITAL PARTNERS LLP GENERAL PARTNER indirect 2012-01-01
ANGELO, GORDON & CO., L.P. MANAGER indirect 1999-01-01 2001-01-31
ANGELO, GORDON & CO., L.P. GENERAL PARTNER indirect 1999-01-01 2001-01-31
ANGELO, GORDON & CO., L.P. GENERAL PARTNER indirect 2001-01-01 2002-02-27
ANGELO, GORDON & CO., L.P. MANAGER indirect 2001-01-01 2002-02-27
ANGELO, GORDON & CO., L.P. MANAGER indirect 2001-01-01 2002-02-27
CAXTON ASSOCIATES, LLC MANAGER direct 1995-10-01 2008-03-31
CAXTON ASSOCIATES LP GENERAL PARTNER direct 2009-01-01 2011-03-31
A.R.T. ADVISORS, LLC LIMITED PARTNER indirect 2011-10-01 2013-07-26
LAW, ANDREW, ERIC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER 01/01/2009 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER direct 2009-01-01
CAXTON ASSOCIATES LP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER & LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP SOLE SHAREHOLDER indirect 2011-11-01
CAXTON ASSOCIATES LP MANAGER indirect 2012-04-01
WADHWANI ASSET MANAGEMENT LLP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER indirect 2009-01-01
WADHWANI ASSET MANAGEMENT LLP SOLE SHAREHOLDER indirect 2011-11-01
CANTERBURY HOLDINGS (USA) LLC GENERAL PARTNER 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP GENERAL PARTNER direct 2012-01-01
WADHWANI ASSET MANAGEMENT LLP GENERAL PARTNER indirect 2012-02-01
WADE, MATTHEW, DUNCAN CHIEF OPERATING OFFICER AND CHIEF RISK OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF OPERATING OFFICER AND CHIEF RISK OFFICER direct 2014-07-01
CAXTON ASSOCIATES LP MANAGER indirect 2014-07-01
ANDERSON, SIMON CHIEF FINANCIAL OFFICER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
COAST ASSET MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2005-12-01
CAXTON ASSOCIATES LP CHIEF FINANCIAL OFFICER direct 2014-05-01
COOK US IM HOLDINGS LTD. LIMITED PARTNER 09/01/2014 Direct 5 - 10%
KOVNER, BRUCE, STANLEY SOLE SHAREHOLDER CAXTON CORPORATION 02/01/1983 Indirect 75% or more
Fund Name Position direct/indirect start date end date
LUCIDUS CAPITAL PARTNERS LLP SOLE-SHAREHOLDER indirect 1983-02-01
A.R.T. ADVISORS, LLC SOLE SHAREHOLDER indirect 1983-02-01
CAXTON ASSOCIATES, LLC SOLE SHAREHOLDER indirect 1983-02-01
CAXTON EUROPE ASSET MANAGEMENT LIMITED SOLE SHAREHOLDER indirect 1983-02-01
HAWK QUANTITATIVE STRATEGIES, LLC SOLE SHAREHOLDER indirect 1983-02-01
CAXTON HEALTHCARE TRADING GP LLC SOLE SHAREHOLDER indirect 1983-02-01
ANGELO, GORDON & CO., L.P. GENERAL PARTNER indirect 1999-01-01 2001-01-31
ANGELO, GORDON & CO., L.P. SHAREHOLDER indirect 1999-01-01 2001-01-31
ANGELO, GORDON & CO., L.P. LIMITED PARTNER indirect 1999-01-01 2001-01-31
ANGELO, GORDON & CO., L.P. SHAREHOLDER indirect 2001-01-01 2002-02-27
ANGELO, GORDON & CO., L.P. LIMITED PARTNER indirect 2001-01-01 2002-02-27
ANGELO, GORDON & CO., L.P. GENERAL PARTNER indirect 2001-01-01 2002-02-27
CAXTON ASSOCIATES, LLC CHAIRMAN direct 1995-10-01 2009-01-29
CAXTON ASSOCIATES LP CHAIRMAN direct 2009-01-01 2010-03-31
CAXTON ASSOCIATES LP CHAIRMAN & CHIEF EXECUTIVE OFFICER direct 2009-01-01 2011-03-31
LAW, ANDREW, ERIC SOLE SHAREHOLDER CANTERBURY HOLDINGS LIMITED 11/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER direct 2009-01-01
CAXTON ASSOCIATES LP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER & LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP SOLE SHAREHOLDER indirect 2011-11-01
CAXTON ASSOCIATES LP MANAGER indirect 2012-04-01
WADHWANI ASSET MANAGEMENT LLP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER indirect 2009-01-01
WADHWANI ASSET MANAGEMENT LLP SOLE SHAREHOLDER indirect 2011-11-01
CANTERBURY HOLDINGS LIMITED SOLE MEMBER CANTERBURY HOLDINGS (USA) LLC 01/01/2012 Indirect Other
LAW, ANDREW, ERIC MANAGER CANTERBURY HOLDINGS (USA) LLC 04/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER direct 2009-01-01
CAXTON ASSOCIATES LP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP CHIEF INVESTMENT OFFICER & LIMITED PARTNER direct 2009-01-01
CAXTON ASSOCIATES LP SOLE SHAREHOLDER indirect 2011-11-01
CAXTON ASSOCIATES LP MANAGER indirect 2012-04-01
WADHWANI ASSET MANAGEMENT LLP CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER indirect 2009-01-01
WADHWANI ASSET MANAGEMENT LLP SOLE SHAREHOLDER indirect 2011-11-01
BERNSTEIN, SCOTT, BENNETT MANAGER CANTERBURY HOLDINGS (USA) LLC 04/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES, LLC GENERAL COUNSEL & SECRETARY & CHIEF COMPLIANCE OFFICER direct 1995-10-01
CAXTON ASSOCIATES, LLC GENERAL COUNSEL & SECRETARY direct 1995-10-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL AND SECRETARY direct 2009-01-01
CAXTON ASSOCIATES LP SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY & CHIEF COMPLIANCE OFFICER direct 2009-01-01
CAXTON ASSOCIATES LP MANAGER indirect 2012-04-01
CAXTON HEALTHCARE TRADING GP LLC SECRETARY & CHIEF COMPLIANCE OFFICER direct 2004-09-01
CAXTON HEALTHCARE TRADING GP LLC SECRETARY direct 2004-09-01
WADE, MATTHEW, DUNCAN MANAGER CANTERBURY HOLDINGS (USA) LLC 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP CHIEF OPERATING OFFICER AND CHIEF RISK OFFICER direct 2014-07-01
CAXTON ASSOCIATES LP MANAGER indirect 2014-07-01
PETERSHILL II LP SOLE OWNER COOK US IM HOLDINGS LTD 09/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CAXTON ASSOCIATES LP SOLE OWNER indirect 2014-09-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE OWNER indirect 2017-06-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE OWNER indirect 2013-10-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC MEMBER direct 2014-01-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2016-11-01
ARCLIGHT CAPITAL PARTNERS, LLC MEMBER, ARCLIGHT CAPITAL HOLDINGS, LLC direct 2017-01-01
FORT, L.P. LIMITED PARTNER direct 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
GOLDMAN SACHS PH II ADVISORS L.L.C. GENERAL PARTNER PETERSHILL II LP 10/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
GOLDMAN SACHS REALTY MANAGEMENT, LLC MANAGING MEMBER (PREVIOUSLY LIMITED PARTNER) direct 1996-07-01
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER indirect 1997-04-01
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL SHAREHOLDER, CLASS A MEMBER indirect 1999-11-01
THE AYCO COMPANY,L.P. LIMITED PARTNER direct 2003-07-01
THE AYCO COMPANY,L.P. GENERAL PARTNER direct 2003-07-01
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2003-07-01
GS INVESTMENT STRATEGIES, LLC MEMBER indirect 2006-12-01
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER indirect 2011-12-01
GSAM STABLE VALUE, LLC MEMBER indirect 2012-05-01
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-10-01
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2013-10-01
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-10-01
CAXTON ASSOCIATES LP GENERAL PARTNER indirect 2013-10-01
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2015-03-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2015-03-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-03-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE MEMBER indirect 2015-11-01
FORT, L.P. SOLE MEMBER AND MANAGER indirect 2015-12-01
FORT, L.P. GENERAL PARTNER indirect 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
FORT, L.P. SOLE MEMBER AND MANAGER indirect 2015-12-01
FORT, L.P. GENERAL PARTNER indirect 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD MEMBER indirect 2016-02-01
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. MEMBER indirect 2016-02-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE MEMBER indirect 2016-02-01
GSAM STABLE VALUE, LLC GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD GENERAL PARTNER indirect 2016-02-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE OWNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. MEMBER indirect 2016-02-01
GS INVESTMENT STRATEGIES, LLC MEMBER direct 2016-02-01
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2016-02-01
HONEST ADVISORS, LLC MEMBER indirect 2016-02-01
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER direct 2016-02-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED MEMBER indirect 2016-02-01
CAXTON ASSOCIATES LP SOLE MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED MEMBER indirect 2016-02-01
HONEST ADVISORS, LLC MEMBER indirect 2016-05-01
GOLDMAN SACHS & CO. LLC CLASS A MEMBER direct 2017-04-01
DSS ADVISORS LLC GENERAL PARTNER OF WSLP indirect 1998-07-01 2002-04-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAREHOLDER indirect 1995-11-01 2006-02-28
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 1995-11-01 2006-04-03
GOLDMAN, SACHS & CO. GENERAL PARTNER AND LIMITED PARTNER direct 1989-03-01 2008-05-19
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL DIRECT OWNER indirect 1999-05-01 2011-12-23
KIBBLE & PRENTICE HOLDING COMPANY GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLOYEE MASTER FUND, L.P. indirect 2007-02-01 2012-06-06
DWIGHT ASSET MANAGEMENT COMPANY LLC GENERAL PARTNER OF GSAM L.P. direct 2012-05-01 2012-08-01
USI SECURITIES, INC. GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLOYEE MASTER FUND, L.P. indirect 2007-02-01 2012-11-20
THE AYCO COMPANY,L.P. 100% SHAREHOLDER indirect 2003-07-01 2013-01-02
USI ADVISORS, INC. GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLYEE MASTER FUND, L.P. indirect 2007-02-01 2013-01-23
CLAIRVUE REALTY ADVISORS, LLC MANAGING MEMBER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC MANAGING MEMBER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC GENERAL PARTNER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC GENERAL PARTNER indirect 2010-03-01 2013-02-28
GSAM STABLE VALUE, LLC GENERAL PARTNER OF GSAM L.P. indirect 2003-03-01 2014-04-16
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-10-01 2014-12-04
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2003-07-01 2015-02-05
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2011-12-01 2015-02-05
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2013-10-01 2015-03-17
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-10-01 2015-03-17
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2013-10-01 2015-03-30
GSAM STABLE VALUE, LLC MEMBER indirect 2012-05-01 2015-03-31
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER direct 1997-04-01 2015-07-24
GS INVESTMENT STRATEGIES, LLC MEMBER direct 2006-12-01 2015-08-21
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER direct 2011-12-01 2015-10-30
GOLDMAN SACHS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2003-03-01 2015-11-20
GOLDMAN SACHS REALTY MANAGEMENT, L.L.C. LIMITED PARTNER direct 1996-07-01 2016-03-24
CAXTON ASSOCIATES LP MAJORITY OWNER indirect 1997-01-01 2016-03-30
KNIGHTHEAD CAPITAL MANAGEMENT, LLC MAJORITY OWNER indirect 2014-01-01 2016-07-28
GOLDMAN, SACHS & CO. LIMITED PARTNER direct 1989-03-01 2017-09-15
GSAM GEN-PAR, L.L.C. SOLE MEMBER AND MANAGER GOLDMAN SACHS PH II ADVISORS L.L.C. 10/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GOLDMAN SACHS REALTY MANAGEMENT, LLC MANAGING MEMBER (PREVIOUSLY LIMITED PARTNER) direct 1996-07-01
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER indirect 1997-04-01
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL SHAREHOLDER, CLASS A MEMBER indirect 1999-11-01
THE AYCO COMPANY,L.P. LIMITED PARTNER direct 2003-07-01
THE AYCO COMPANY,L.P. GENERAL PARTNER direct 2003-07-01
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2003-07-01
GS INVESTMENT STRATEGIES, LLC MEMBER indirect 2006-12-01
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER indirect 2011-12-01
GSAM STABLE VALUE, LLC MEMBER indirect 2012-05-01
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-10-01
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2013-10-01
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-10-01
CAXTON ASSOCIATES LP GENERAL PARTNER indirect 2013-10-01
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2015-03-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2015-03-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-03-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE MEMBER indirect 2015-11-01
FORT, L.P. SOLE MEMBER AND MANAGER indirect 2015-12-01
FORT, L.P. GENERAL PARTNER indirect 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
FORT, L.P. SOLE MEMBER AND MANAGER indirect 2015-12-01
FORT, L.P. GENERAL PARTNER indirect 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD MEMBER indirect 2016-02-01
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. MEMBER indirect 2016-02-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE MEMBER indirect 2016-02-01
GSAM STABLE VALUE, LLC GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD GENERAL PARTNER indirect 2016-02-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE OWNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. MEMBER indirect 2016-02-01
GS INVESTMENT STRATEGIES, LLC MEMBER direct 2016-02-01
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2016-02-01
HONEST ADVISORS, LLC MEMBER indirect 2016-02-01
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER direct 2016-02-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED MEMBER indirect 2016-02-01
CAXTON ASSOCIATES LP SOLE MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED MEMBER indirect 2016-02-01
HONEST ADVISORS, LLC MEMBER indirect 2016-05-01
GOLDMAN SACHS & CO. LLC CLASS A MEMBER direct 2017-04-01
DSS ADVISORS LLC GENERAL PARTNER OF WSLP indirect 1998-07-01 2002-04-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAREHOLDER indirect 1995-11-01 2006-02-28
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 1995-11-01 2006-04-03
GOLDMAN, SACHS & CO. GENERAL PARTNER AND LIMITED PARTNER direct 1989-03-01 2008-05-19
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL DIRECT OWNER indirect 1999-05-01 2011-12-23
KIBBLE & PRENTICE HOLDING COMPANY GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLOYEE MASTER FUND, L.P. indirect 2007-02-01 2012-06-06
DWIGHT ASSET MANAGEMENT COMPANY LLC GENERAL PARTNER OF GSAM L.P. direct 2012-05-01 2012-08-01
USI SECURITIES, INC. GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLOYEE MASTER FUND, L.P. indirect 2007-02-01 2012-11-20
THE AYCO COMPANY,L.P. 100% SHAREHOLDER indirect 2003-07-01 2013-01-02
USI ADVISORS, INC. GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLYEE MASTER FUND, L.P. indirect 2007-02-01 2013-01-23
CLAIRVUE REALTY ADVISORS, LLC MANAGING MEMBER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC MANAGING MEMBER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC GENERAL PARTNER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC GENERAL PARTNER indirect 2010-03-01 2013-02-28
GSAM STABLE VALUE, LLC GENERAL PARTNER OF GSAM L.P. indirect 2003-03-01 2014-04-16
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-10-01 2014-12-04
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2003-07-01 2015-02-05
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2011-12-01 2015-02-05
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2013-10-01 2015-03-17
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-10-01 2015-03-17
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2013-10-01 2015-03-30
GSAM STABLE VALUE, LLC MEMBER indirect 2012-05-01 2015-03-31
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER direct 1997-04-01 2015-07-24
GS INVESTMENT STRATEGIES, LLC MEMBER direct 2006-12-01 2015-08-21
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER direct 2011-12-01 2015-10-30
GOLDMAN SACHS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2003-03-01 2015-11-20
GOLDMAN SACHS REALTY MANAGEMENT, L.L.C. LIMITED PARTNER direct 1996-07-01 2016-03-24
CAXTON ASSOCIATES LP MAJORITY OWNER indirect 1997-01-01 2016-03-30
KNIGHTHEAD CAPITAL MANAGEMENT, LLC MAJORITY OWNER indirect 2014-01-01 2016-07-28
GOLDMAN, SACHS & CO. LIMITED PARTNER direct 1989-03-01 2017-09-15
THE GOLDMAN SACHS GROUP, INC. SOLE MEMBER AND MANAGER GSAM HOLDINGS LLC 02/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GOLDMAN SACHS REALTY MANAGEMENT, LLC MANAGING MEMBER (PREVIOUSLY LIMITED PARTNER) direct 1996-07-01
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER indirect 1997-04-01
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL SHAREHOLDER, CLASS A MEMBER indirect 1999-11-01
THE AYCO COMPANY,L.P. LIMITED PARTNER direct 2003-07-01
THE AYCO COMPANY,L.P. GENERAL PARTNER direct 2003-07-01
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2003-07-01
GS INVESTMENT STRATEGIES, LLC MEMBER indirect 2006-12-01
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER indirect 2011-12-01
GSAM STABLE VALUE, LLC MEMBER indirect 2012-05-01
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-10-01
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2013-10-01
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-10-01
CAXTON ASSOCIATES LP GENERAL PARTNER indirect 2013-10-01
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2015-03-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2015-03-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-03-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE MEMBER indirect 2015-11-01
FORT, L.P. SOLE MEMBER AND MANAGER indirect 2015-12-01
FORT, L.P. GENERAL PARTNER indirect 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
FORT, L.P. SOLE MEMBER AND MANAGER indirect 2015-12-01
FORT, L.P. GENERAL PARTNER indirect 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD MEMBER indirect 2016-02-01
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. MEMBER indirect 2016-02-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE MEMBER indirect 2016-02-01
GSAM STABLE VALUE, LLC GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD GENERAL PARTNER indirect 2016-02-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE OWNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. MEMBER indirect 2016-02-01
GS INVESTMENT STRATEGIES, LLC MEMBER direct 2016-02-01
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2016-02-01
HONEST ADVISORS, LLC MEMBER indirect 2016-02-01
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER direct 2016-02-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED MEMBER indirect 2016-02-01
CAXTON ASSOCIATES LP SOLE MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED MEMBER indirect 2016-02-01
HONEST ADVISORS, LLC MEMBER indirect 2016-05-01
GOLDMAN SACHS & CO. LLC CLASS A MEMBER direct 2017-04-01
DSS ADVISORS LLC GENERAL PARTNER OF WSLP indirect 1998-07-01 2002-04-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAREHOLDER indirect 1995-11-01 2006-02-28
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 1995-11-01 2006-04-03
GOLDMAN, SACHS & CO. GENERAL PARTNER AND LIMITED PARTNER direct 1989-03-01 2008-05-19
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL DIRECT OWNER indirect 1999-05-01 2011-12-23
KIBBLE & PRENTICE HOLDING COMPANY GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLOYEE MASTER FUND, L.P. indirect 2007-02-01 2012-06-06
DWIGHT ASSET MANAGEMENT COMPANY LLC GENERAL PARTNER OF GSAM L.P. direct 2012-05-01 2012-08-01
USI SECURITIES, INC. GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLOYEE MASTER FUND, L.P. indirect 2007-02-01 2012-11-20
THE AYCO COMPANY,L.P. 100% SHAREHOLDER indirect 2003-07-01 2013-01-02
USI ADVISORS, INC. GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLYEE MASTER FUND, L.P. indirect 2007-02-01 2013-01-23
CLAIRVUE REALTY ADVISORS, LLC MANAGING MEMBER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC MANAGING MEMBER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC GENERAL PARTNER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC GENERAL PARTNER indirect 2010-03-01 2013-02-28
GSAM STABLE VALUE, LLC GENERAL PARTNER OF GSAM L.P. indirect 2003-03-01 2014-04-16
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-10-01 2014-12-04
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2003-07-01 2015-02-05
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2011-12-01 2015-02-05
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2013-10-01 2015-03-17
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-10-01 2015-03-17
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2013-10-01 2015-03-30
GSAM STABLE VALUE, LLC MEMBER indirect 2012-05-01 2015-03-31
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER direct 1997-04-01 2015-07-24
GS INVESTMENT STRATEGIES, LLC MEMBER direct 2006-12-01 2015-08-21
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER direct 2011-12-01 2015-10-30
GOLDMAN SACHS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2003-03-01 2015-11-20
GOLDMAN SACHS REALTY MANAGEMENT, L.L.C. LIMITED PARTNER direct 1996-07-01 2016-03-24
CAXTON ASSOCIATES LP MAJORITY OWNER indirect 1997-01-01 2016-03-30
KNIGHTHEAD CAPITAL MANAGEMENT, LLC MAJORITY OWNER indirect 2014-01-01 2016-07-28
GOLDMAN, SACHS & CO. LIMITED PARTNER direct 1989-03-01 2017-09-15
GSAM HOLDINGS LLC SOLE MEMBER GSAM GEN-PAR, L.L.C. 02/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GOLDMAN SACHS REALTY MANAGEMENT, LLC MANAGING MEMBER (PREVIOUSLY LIMITED PARTNER) direct 1996-07-01
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER indirect 1997-04-01
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL SHAREHOLDER, CLASS A MEMBER indirect 1999-11-01
THE AYCO COMPANY,L.P. LIMITED PARTNER direct 2003-07-01
THE AYCO COMPANY,L.P. GENERAL PARTNER direct 2003-07-01
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2003-07-01
GS INVESTMENT STRATEGIES, LLC MEMBER indirect 2006-12-01
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER indirect 2011-12-01
GSAM STABLE VALUE, LLC MEMBER indirect 2012-05-01
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-10-01
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2013-10-01
LAKEWOOD CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-10-01
CAXTON ASSOCIATES LP GENERAL PARTNER indirect 2013-10-01
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2015-03-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2015-03-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2015-03-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE MEMBER indirect 2015-11-01
FORT, L.P. SOLE MEMBER AND MANAGER indirect 2015-12-01
FORT, L.P. GENERAL PARTNER indirect 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
FORT, L.P. SOLE MEMBER AND MANAGER indirect 2015-12-01
FORT, L.P. GENERAL PARTNER indirect 2015-12-01
FORT, L.P. OWNER indirect 2015-12-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD MEMBER indirect 2016-02-01
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT, L.P. MEMBER indirect 2016-02-01
LAKEWOOD CAPITAL MANAGEMENT, LP SOLE MEMBER indirect 2016-02-01
GSAM STABLE VALUE, LLC GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD GENERAL PARTNER indirect 2016-02-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE OWNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. MEMBER indirect 2016-02-01
GS INVESTMENT STRATEGIES, LLC MEMBER direct 2016-02-01
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2016-02-01
HONEST ADVISORS, LLC MEMBER indirect 2016-02-01
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER direct 2016-02-01
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED MEMBER indirect 2016-02-01
CAXTON ASSOCIATES LP SOLE MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. MEMBER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. GENERAL PARTNER indirect 2016-02-01
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED MEMBER indirect 2016-02-01
HONEST ADVISORS, LLC MEMBER indirect 2016-05-01
GOLDMAN SACHS & CO. LLC CLASS A MEMBER direct 2017-04-01
DSS ADVISORS LLC GENERAL PARTNER OF WSLP indirect 1998-07-01 2002-04-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAREHOLDER indirect 1995-11-01 2006-02-28
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 1995-11-01 2006-04-03
GOLDMAN, SACHS & CO. GENERAL PARTNER AND LIMITED PARTNER direct 1989-03-01 2008-05-19
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL DIRECT OWNER indirect 1999-05-01 2011-12-23
KIBBLE & PRENTICE HOLDING COMPANY GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLOYEE MASTER FUND, L.P. indirect 2007-02-01 2012-06-06
DWIGHT ASSET MANAGEMENT COMPANY LLC GENERAL PARTNER OF GSAM L.P. direct 2012-05-01 2012-08-01
USI SECURITIES, INC. GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLOYEE MASTER FUND, L.P. indirect 2007-02-01 2012-11-20
THE AYCO COMPANY,L.P. 100% SHAREHOLDER indirect 2003-07-01 2013-01-02
USI ADVISORS, INC. GENERAL PARTNER OF GS CAPITAL PARTNERS VI EMPLYEE MASTER FUND, L.P. indirect 2007-02-01 2013-01-23
CLAIRVUE REALTY ADVISORS, LLC MANAGING MEMBER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC MANAGING MEMBER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC GENERAL PARTNER indirect 2010-03-01 2013-02-28
CLAIRVUE REALTY ADVISORS, LLC GENERAL PARTNER indirect 2010-03-01 2013-02-28
GSAM STABLE VALUE, LLC GENERAL PARTNER OF GSAM L.P. indirect 2003-03-01 2014-04-16
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-10-01 2014-12-04
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2003-07-01 2015-02-05
THE AYCO COMPANY,L.P. SOLE MEMBER AND MANAGER indirect 2011-12-01 2015-02-05
KNIGHTHEAD CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2013-10-01 2015-03-17
KNIGHTHEAD CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-10-01 2015-03-17
CAXTON ASSOCIATES LP SOLE MEMBER AND MANAGER indirect 2013-10-01 2015-03-30
GSAM STABLE VALUE, LLC MEMBER indirect 2012-05-01 2015-03-31
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC MEMBER direct 1997-04-01 2015-07-24
GS INVESTMENT STRATEGIES, LLC MEMBER direct 2006-12-01 2015-08-21
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC MEMBER direct 2011-12-01 2015-10-30
GOLDMAN SACHS ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 2003-03-01 2015-11-20
GOLDMAN SACHS REALTY MANAGEMENT, L.L.C. LIMITED PARTNER direct 1996-07-01 2016-03-24
CAXTON ASSOCIATES LP MAJORITY OWNER indirect 1997-01-01 2016-03-30
KNIGHTHEAD CAPITAL MANAGEMENT, LLC MAJORITY OWNER indirect 2014-01-01 2016-07-28
GOLDMAN, SACHS & CO. LIMITED PARTNER direct 1989-03-01 2017-09-15

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CX HOLDCO LIMITED British Virgin Islands 805-2902674693 Other Private Fund HOLDING COMPANY 10,349,439 0
CX GLOBAL ADVANTAGE LIMITED British Virgin Islands 805-5438456037 Hedge Fund 5,005,833 0
CX GLOBAL OPPORTUNITIES LIMITED British Virgin Islands 805-6057510013 Hedge Fund 5,005,833 0
CX GLOBAL EQUITIES LIMITED British Virgin Islands 805-4740892445 Hedge Fund 2,161,750,757 0
CXPLY LLC United States 805-7760333063 Private Equity Fund 7,483,360 0
CAXTON INTERNATIONAL LIMITED British Virgin Islands 805-9298549809 Hedge Fund 11,054,351,308 5,000,000 Master Fund

WhaleScore history for CAXTON ASSOCIATES LP

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**EXPERIMENTAL** Current International Short Positions

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Holder Issuer Net Short Position Position Date Origin
Caxton Associates LP DEUTSCHE BANK AKTIENGESELLSCHAFT 0.59% 2019-08-16 GERMANY

Short Position History (last 100)

Holder Net Short Position Position Date Origin
Caxton Associates LP DEUTSCHE BANK AKTIENGESELLSCHAFT 0.6% 2019-08-12 GERMANY
Caxton Associates LP DEUTSCHE BANK AKTIENGESELLSCHAFT 0.59% 2019-08-07 GERMANY
Caxton Associates LP DEUTSCHE BANK AKTIENGESELLSCHAFT 0.65% 2019-08-02 GERMANY
Caxton Associates LP DEUTSCHE BANK AKTIENGESELLSCHAFT 0.7% 2019-07-25 GERMANY
Caxton Associates LP DEUTSCHE BANK AKTIENGESELLSCHAFT 0.64% 2019-07-09 GERMANY
Caxton Associates LP DEUTSCHE BANK AKTIENGESELLSCHAFT 0.56% 2019-06-11 GERMANY
Caxton Associates LP DEUTSCHE BANK AKTIENGESELLSCHAFT 0.63% 2019-06-06 GERMANY
Caxton Associates LP DEUTSCHE BANK AKTIENGESELLSCHAFT 0.53% 2019-06-05 GERMANY
Caxton Associates LP DEUTSCHE BANK AKTIENGESELLSCHAFT 0.59% 2019-05-28 GERMANY
Caxton Associates LP DEUTSCHE BANK AKTIENGESELLSCHAFT 0.6% 2019-05-08 GERMANY
Caxton Associates LP DEUTSCHE BANK AKTIENGESELLSCHAFT 0.55% 2019-05-07 GERMANY

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