CNH PARTNERS LLC

GREENWICH, CT Investment Advisor Hedge Fund How do I update this listing?

CNH Partners is based out of Greenwich. CNH Partners is a large advisory firm with 20 clients and discretionary assets under management (AUM) of $4,272,413,980 (Form ADV from 2019-03-29). Their last reported 13F filing for Q2 2019 included $8,794,249,000 in managed 13F securities and a top 10 holdings concentration of 28.31%. CNH Partners's largest holding is Novell Inc. with shares held of 88,033,000. CNH Partners has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 43 13F filings, and 63 13G filings

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06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $8.794 Billion
  • Prior Market Value $7.959 Billion
  • New Purchases101 stocks
  • Additional Purchases73 stocks
  • Sold out of133 stocks
  • Reduced holdings in151 stocks
  • Top 10 Holdings % 28.31 %
  • Turnover % [1]:48.45%
  • Turnover Alt % [2]: 36.51 %
  • Time Held Top20:2.40 quarters
  • Time Held Top10:2.40 quarters
  • Time Held All:3.97 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: 1.13%
Performance Last 4 Quarters: 3.12%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
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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)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR/A (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR/A (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
AQR Capital Management Holdings, LLC
AQR CAPITAL MANAGEMENT LLC

View Last Form Adv Compilation Report on Record

CNH PARTNERS, LLC
Classified as Hedge Fund
TWO GREENWICH PLAZA 3RD FLOOR
GREENWICH CT    06830
Country: United States

Business Phone: 203-742-3600
Fax: 203-742-3100
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 17
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: 20
Amount of client funds and securities by related persons: 1,206,540,000
Total Number of clients from related persons: 13
Disclosures: 11.D (2),11.D (4),11.E (2)
Data above was derived from SEC filings.

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CNH PARTNERS, LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
AQR CAPITAL MANAGEMENT, LLC MEMBER 05/01/2001 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC MEMBER direct 2001-05-01
ASNESS, CLIFFORD, SCOTT PRINCIPAL 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC PRESIDENT, FOUNDING AND MANAGING PRINCIPAL direct 1998-01-01
AQR CAPITAL MANAGEMENT II, LLC MANAGING PRINCIPAL direct 1998-01-01
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
AQR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2012-08-01
AQR CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2012-08-01
CNH PARTNERS, LLC MEMBER indirect 2014-01-01
AQR CAPITAL MANAGEMENT, LLC PRESIDENT AND MANAGING PRINCIPAL direct 1998-01-01 2003-04-02
CNH PARTNERS, LLC MANAGING PRINCIPAL indirect 1998-01-01 2005-03-29
AQR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2004-11-01 2014-11-26
AQR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2004-01-01 2017-03-31
KABILLER, DAVID, GARY PRINCIPAL 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT II, LLC PRINCIPAL direct 1998-01-01
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
AQR CAPITAL MANAGEMENT, LLC FOUNDING PRINCIPAL direct 1998-01-01
AQR CAPITAL MANAGEMENT, LLC PRINCIPAL direct 1998-01-01 2003-04-02
CNH PARTNERS, LLC PRINCIPAL indirect 1998-01-01 2005-03-29
LIEW, JOHN, MIHN SOO PRINCIPAL 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC FOUNDING PRINCIPAL direct 1998-01-01
AQR CAPITAL MANAGEMENT II, LLC PRINCIPAL direct 1998-01-01
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
AQR CAPITAL MANAGEMENT, LLC PRINCIPAL direct 1998-01-01 2003-04-02
CNH PARTNERS, LLC PRINCIPAL indirect 1998-01-01 2005-03-29
MITCHELL, MARK, L PRINCIPAL 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
CNH PARTNERS, LLC MEMBER indirect 2001-05-01
CNH PARTNERS, LLC PRINCIPAL indirect 2001-05-01 2005-03-29
CNH PARTNERS, LLC MEMBER indirect 2001-05-01 2015-03-31
PULVINO, TODD PRINCIPAL 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
CNH PARTNERS, LLC PRINCIPAL indirect 2001-05-01
CNH PARTNERS, LLC PRINCIPAL indirect 2001-05-01 2015-03-31
BRYANT, ROBERT, FISK PRINCIPAL 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC PRINCIPAL direct 2012-01-01
WILLCOX, HERBERT, JAMES CHIEF COMPLIANCE OFFICER 08/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
CNH PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
PRISMA CAPITAL PARTNERS LP CHIEF COMPLIANCE OFFICER direct 2013-02-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. CHIEF COMPLIANCE OFFICER direct 2008-06-01
CNH CAPITAL MANAGEMENT, LLC MEMBER 03/01/2015 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC MEMBER direct 2015-03-01
FENRICH, WILLIAM, JOSEPH CHIEF LEGAL OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC CHIEF LEGAL OFFICER direct 2017-07-01
CNH PARTNERS, LLC CHIEF LEGAL OFFICER direct 2017-07-01
POINTSTATE CAPITAL LP MANAGING DIRECTOR; GENERAL COUNSEL; CHIEF COMPLIANCE OFFICER direct 2010-12-01
POINTSTATE CAPITAL LP MANAGING DIRECTOR; GENERAL COUNSEL direct 2010-12-01
POINTSTATE CAPITAL LP CHIEF OPERATING OFFICER direct 2013-01-01
MITCHELL, MARK, L MEMBER RAIM CORP 05/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
CNH PARTNERS, LLC MEMBER indirect 2001-05-01
CNH PARTNERS, LLC PRINCIPAL indirect 2001-05-01 2005-03-29
CNH PARTNERS, LLC MEMBER indirect 2001-05-01 2015-03-31
PULVINO, TODD PRINCIPAL RAIM CORP 05/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
CNH PARTNERS, LLC PRINCIPAL indirect 2001-05-01
CNH PARTNERS, LLC PRINCIPAL indirect 2001-05-01 2015-03-31
AQR CAPITAL MANAGEMENT HOLDINGS, LLC MEMBER AQR CAPITAL MANAGEMENT, LLC 11/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC MEMBER direct 2004-11-01
CNH PARTNERS, LLC MEMBER indirect 2004-11-01
ASNESS, CLIFFORD, SCOTT MEMBER AQR CAPITAL MANAGEMENT GROUP, L.P. 01/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC PRESIDENT, FOUNDING AND MANAGING PRINCIPAL direct 1998-01-01
AQR CAPITAL MANAGEMENT II, LLC MANAGING PRINCIPAL direct 1998-01-01
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
AQR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2012-08-01
AQR CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2012-08-01
CNH PARTNERS, LLC MEMBER indirect 2014-01-01
AQR CAPITAL MANAGEMENT, LLC PRESIDENT AND MANAGING PRINCIPAL direct 1998-01-01 2003-04-02
CNH PARTNERS, LLC MANAGING PRINCIPAL indirect 1998-01-01 2005-03-29
AQR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2004-11-01 2014-11-26
AQR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2004-01-01 2017-03-31
AQR CAPITAL MANAGEMENT GROUP, L.P. MEMBER AQR CAPITAL MANAGEMENT HOLDINGS, LLC 09/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC MEMBER indirect 2012-09-01
CNH PARTNERS, LLC MEMBER indirect 2012-09-01
AFFILIATED MANAGERS GROUP, INC. MEMBER TOPSPIN ACQUISITION, LLC 11/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARTWELL J M LTD PARTNERSHIP SOLE MEMBER indirect 1994-05-01
FQN MANAGEMENT LLC OWNER indirect 1995-12-01
BURRIDGE GROUP LLC OWNER indirect 1996-12-01
RORER ASSET MANAGEMENT LLC 100% STOCKHOLDER indirect 1999-01-01
THE MANAGERS FUNDS LLC CORPORATE PARENT indirect 1999-04-01
MANAGERS INVESTMENT GROUP LLC SOLE SHAREHOLDER indirect 1999-04-01
ASTON ASSET MANAGEMENT, LP SOLE SHAREHOLDER indirect 1999-04-01
FRONTIER PERFORMANCE ADVISERS LP MANAGING MEMBER OF THE GENERAL PARTNER indirect 2000-01-01
GIML, LLP SHAREHOLDER indirect 2000-12-01
GENESIS FUND MANAGERS, LLP SHAREHOLDER indirect 2000-12-01
BLUEMOUNTAIN CAPITAL MANAGEMENT L.P. SHAREHOLDER indirect 2000-12-01
SYSTEMATICA INVESTMENTS LIMITED SHAREHOLDER indirect 2000-12-01
BLUEMOUNTAIN CLO MANAGEMENT, LLC SHAREHOLDER indirect 2000-12-01
BLUEMOUNTAIN FUJI MANAGEMENT, LLC SHAREHOLDER indirect 2000-12-01
PANTHEON VENTURES (US) LP CORPORATE PARENT indirect 2000-12-01
PANTHEON VENTURES INC. CORPORATE PARENT indirect 2000-12-01
SYSTEMATICA INVESTMENTS SINGAPORE PTE. LTD. SHAREHOLDER indirect 2000-12-01
SYSTEMATICA INVESTMENTS GP LIMITED SHAREHOLDER indirect 2000-12-01
THIRD AVENUE MANAGEMENT LLC EQUITYHOLDER OF AMG NEW YORK HOLDINGS CORP. indirect 2002-05-01
IVORY INVESTMENT MANAGEMENT, L.P. MEMBER AND MANAGER indirect 2002-09-01
FIRST QUADRANT LP SOLE MANAGING MEMBER indirect 2002-09-01
GENESIS ASSET MANAGERS, LLP SHAREHOLDER indirect 2004-06-01
TIMESSQUARE CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-11-01
AQR CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-11-01
CNH PARTNERS, LLC MEMBER indirect 2004-11-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER indirect 2005-06-01
FOYSTON, GORDON & PAYNE INC. SHAREHOLDER - SERIES A indirect 2005-06-01
MONTRUSCO BOLTON INVESTMENTS, INC. SHAREHOLDER indirect 2005-07-01
CHICAGO EQUITY PARTNERS LLC SHAREHOLDER indirect 2006-12-01
GW&K INVESTMENT MANAGEMENT, LLC MANAGER MEMBER direct 2008-10-01
HARTWELL J M LTD PARTNERSHIP SHAREHOLDER indirect 2009-07-01
HARDING LOEVNER LLC OWNER indirect 2009-08-01
ASTON ASSET MANAGEMENT LLC GENERAL PARTNER direct 2010-04-01
ASTON ASSET MANAGEMENT LLC SHAREHOLDER indirect 2010-04-01
SYSTEMATIC FINANCIAL MANAGEMENT LP SOLE MEMBER indirect 2010-12-01
TRILOGY GLOBAL ADVISORS, LP MANAGING MEMBER AND SOLE SHAREHOLDER indirect 2010-12-01
THE RENAISSANCE GROUP LLC MANAGER MEMBER direct 2011-01-01
THE RENAISSANCE GROUP LLC SOLE MEMBER AND MANAGER indirect 2011-01-01
VERITABLE LP PARTNER indirect 2011-03-01
CLARFELD FINANCIAL ADVISORS INC PARTNER indirect 2011-03-01
WELCH & FORBES LLC SERIES A MEMBER AND MANAGER indirect 2011-03-01
BAKER STREET ADVISORS, LLC GENERAL PARTNER indirect 2011-03-01
MYCIO WEALTH PARTNERS, LLC GENERAL PARTNER indirect 2011-03-01
WP GROUP, LLC GENERAL PARTNER indirect 2011-03-01
YACKTMAN ASSET MANAGEMENT LP LIMITED PARTNER direct 2012-06-01
TWEEDY, BROWNE COMPANY LLC MANAGING MEMBER indirect 2012-12-01
SOUTHERNSUN ASSET MANAGEMENT LLC MEMBER direct 2014-03-01
RIVER ROAD ASSET MANAGEMENT, LLC MEMBER indirect 2014-03-01
RIVER ROAD ASSET MANAGEMENT, LLC MEMBER direct 2014-06-01
SOUTHERNSUN ASSET MANAGEMENT LLC MEMBER indirect 2014-06-01
FRONTIER CAPITAL MANAGEMENT CO LLC MANAGER MEMBER indirect 2014-06-01
GW&K INVESTMENT MANAGEMENT, LLC MANAGER AND SOLE MEMBER indirect 2014-06-01
YACKTMAN ASSET MANAGEMENT LP MANAGER AND SOLE MEMBER indirect 2014-10-01
VERITAS ASSET MANAGEMENT LLP ULTIMATE PARENT COMPANY indirect 2014-10-01
IVORY INVESTMENT MANAGEMENT, L.P. PARTNER indirect 2015-10-01
CAPEVIEW CAPITAL LLP MANAGING MEMBER indirect 2016-06-01
RENAISSANCE INVESTMENT MANAGEMENT GENERAL PARTNER direct 1995-11-01 2001-04-24
HARTWELL J M LTD PARTNERSHIP SHAREHHOLDER OF GENERAL PARTNER direct 1994-05-01 2001-09-26
HARTWELL J M LTD PARTNERSHIP SHAREHHOLDER OF GENERAL PARTNER direct 1995-10-01 2002-03-25
PARADIGM ASSET MANAGEMENT COMPANY, L.L.C MEMBER direct 1995-03-01 2002-06-10
THIRD AVENUE MANAGEMENT LLC EQUITYHOLDER OF AMG NEW YORK HOLDINGS CORP. indirect 2002-05-01 2002-08-13
GEOCAPITAL LLC SOLE STOCKHOLDER OF GCC indirect 1997-09-01 2003-05-29
RESEARCH AFFILIATES, LLC OWNER indirect 1995-12-01 2004-02-06
PW REDWOOD SEQUOIA MANAGEMENT LLC OWNER indirect 2000-01-01 2004-03-30
DAVIS HAMILTON JACKSON & ASSOCIATES LP 100% STOCKHOLDER OF GP & AMG/TBC direct 1998-12-01 2004-03-31
GENESIS ASSET MANAGERS, LLP SHAREHOLDER indirect 2000-12-01 2004-09-03
SKYLINE ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 1995-08-01 2005-03-24
HARTWELL J M LTD PARTNERSHIP SHAREHOLDER OF GENERAL PARTNER direct 1995-10-01 2005-03-29
WELCH & FORBES LLC 100% STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2005-03-31
RORER ASSET MANAGEMENT LLC 100% STOCKHOLDER OF MANAGING MEMBER indirect 1999-01-01 2005-05-24
RORER ASSET MANAGEMENT LLC 100% STOCKHOLDER OF MANAGING MEMBER indirect 1999-01-01 2006-03-27
GOFEN AND GLOSSBERG, L.L.C. MANAGER MEMBER direct 1997-05-01 2006-03-29
GEOCAPITAL LLC MANAGER MEMBER direct 1997-09-01 2006-04-04
GEOCAPITAL LLC SOLE STOCKHOLDER OF AMG CAPITAL indirect 1997-09-01 2006-04-04
CHICAGO EQUITY PARTNERS LLC MEMBER direct 2006-12-01 2007-01-03
CHICAGO EQUITY PARTNERS LLC SHAREHOLDER indirect 2006-12-01 2007-03-23
FRONTIER CAPITAL MANAGEMENT CO LLC MANAGER MEMBER indirect 2000-01-01 2007-03-28
DAVIS HAMILTON JACKSON & ASSOCIATES LP 100% STOCKHOLDER OF GP & AMG/TBC indirect 1998-12-01 2008-03-28
SKYLINE ASSET MANAGEMENT, L.P. SPECIAL LIMITED PARTNER direct 2005-10-01 2008-03-28
DEANS KNIGHT CAPITAL MANAGEMENT STOCKHOLDER indirect 2006-07-01 2009-02-19
GOFEN AND GLOSSBERG, L.L.C. NON-MANAGER MEMBER indirect 1997-05-01 2009-03-23
GANNETT WELSH & KOTLER, LLC DIRECT OWNER direct 2008-09-01 2009-03-31
HARTWELL J M LTD PARTNERSHIP SHAREHOLDER indirect 1994-05-01 2010-03-24
FIRST QUADRANT LP OWNER indirect 1995-12-01 2010-03-30
DAVIS HAMILTON JACKSON & ASSOCIATES LP 100% STOCKHOLDER OF AMG/TBC indirect 1998-12-01 2010-03-30
FIRST QUADRANT LP OWNER indirect 2002-09-01 2010-06-02
SYSTEMATIC FINANCIAL MANAGEMENT LP GENERAL PARTNER direct 1995-05-01 2010-08-06
WELCH & FORBES LLC STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2010-10-05
WELCH & FORBES LLC MEMBER direct 2001-11-01 2010-10-05
RENAISSANCE INVESTMENT MANAGEMENT LLC MEMBER direct 1995-11-01 2010-10-11
TRILOGY GLOBAL ADVISORS, LLC GENERAL PARTNER direct 2010-12-01 2010-12-22
WELCH & FORBES LLC STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2011-03-31
FFT WEALTH MANAGEMENT LLC EQUITY HOLDER OF AMG NEW YORK HOLDINGS CORP indirect 2002-05-01 2011-03-31
ESSEX INVESTMENT MANAGEMENT CO LLC MANAGING MEMBER direct 1998-03-01 2011-05-03
SYSTEMATIC FINANCIAL MANAGEMENT LP SOLE MEMBER indirect 2010-12-01 2012-01-10
TWEEDY, BROWNE COMPANY LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 1997-10-01 2012-03-16
FORTIGENT, LLC OWNER indirect 2010-08-01 2012-03-30
FORTIGENT, LLC OWNER indirect 2010-08-01 2012-03-30
ESSEX INVESTMENT MANAGEMENT COMPANY, LLC MANAGER MEMBER indirect 2010-12-01 2012-03-30
DEANS KNIGHT CAPITAL MANAGEMENT STOCKHOLDER indirect 2006-07-01 2012-04-17
WELCH & FORBES LLC SOLE MEMBER indirect 2010-12-01 2013-03-27
FRIESS ASSOCIATES, LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 2001-10-01 2013-03-28
FRIESS ASSOCIATES OF DELAWARE,LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 2001-10-01 2013-03-28
TRILOGY GLOBAL ADVISORS, LLC MANAGER MEMBER AND SOLE SHAREHOLDER indirect 2010-12-01 2013-05-01
TWEEDY, BROWNE COMPANY LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 1997-10-01 2013-07-08
GANNETT WELSH & KOTLER, LLC MANAGING MEMBER direct 2008-10-01 2014-03-14
GANNETT WELSH & KOTLER, LLC SHAREHOLDER indirect 2008-10-01 2014-03-14
TWEEDY, BROWNE COMPANY LLC AUTHORIZED PERSON OF MANAGING MEMBER indirect 2012-12-01 2014-03-25
WELCH & FORBES LLC STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2014-03-27
WELCH & FORBES LLC SERIES A MEMBER AND AUTHORIZED PERSON indirect 2011-03-01 2014-03-27
MANAGERS INVESTMENT GROUP LLC CORPORATE PARENT indirect 1999-04-01 2014-03-31
FRONTIER CAPITAL MANAGEMENT CO LLC MANAGER MEMBER indirect 2000-01-01 2014-03-31
ASTON ASSET MANAGEMENT, LP GENERAL PARTNER direct 2010-04-01 2014-03-31
ASTON ASSET MANAGEMENT, LP MANAGING MEMBER indirect 2010-04-01 2014-03-31
SOUTHERNSUN ASSET MANAGEMENT LLC MEMBER indirect 2013-12-01 2014-04-10
TWEEDY, BROWNE COMPANY LLC SOLE SHAREHOLDER indirect 1997-10-01 2014-12-01
YACKTMAN ASSET MANAGEMENT LP MEMBER indirect 2012-06-01 2015-01-05
FIRST QUADRANT LP SOLE MEMBER AND MANAGER indirect 2002-09-01 2015-03-30
FOYSTON, GORDON & PAYNE INC. SHAREHOLDER indirect 2005-06-01 2015-03-30
GANNETT WELSH & KOTLER, LLC MANAGER AND SOLE MEMBER indirect 2014-06-01 2015-03-30
BAKER STREET ADVISORS, LLC PARTNER indirect 2011-03-01 2015-04-07
LATTICE STRATEGIES LLC SOLE MEMBER indirect 2011-12-01 2015-05-05
LATTICE STRATEGIES LLC MEMBER direct 2012-02-01 2015-05-05
GANNETT WELSH & KOTLER, LLC MANAGER direct 2008-10-01 2016-03-21
GW&K INVESTMENT MANAGEMENT, LLC MANAGER AND SOLE MEMBER indirect 2014-06-01 2016-03-21
FOYSTON, GORDON & PAYNE INC. SHAREHOLDER indirect 2005-06-01 2016-03-29
PANTHEON VENTURES (US) LLP CORPORATE PARENT indirect 2010-02-01 2016-06-13
PANTHEON VENTURES INC. CORPORATE PARENT indirect 2010-06-01 2016-06-13
THE RENAISSANCE GROUP LLC SOLE MEMBER AND MANAGER indirect 2011-01-01 2016-07-11
FFT WEALTH MANAGEMENT LLC GENERAL PARTNER indirect 2011-03-01 2017-04-19
TOPSPIN ACQUISITION, LLC MEMBER AQR CAPITAL MANAGEMENT HOLDINGS, LLC 12/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-12-01
CNH PARTNERS, LLC MEMBER indirect 2014-12-01
RAIM CORP MEMBER CNH CAPITAL MANAGEMENT, LLC 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC MEMBER indirect 2015-03-01
CNH PARTNERS, LLC MEMBER direct 2001-05-01 2015-03-31

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CNH OPPORTUNISTIC PREMIUM OFFSHORE FUND, L.P. Cayman Islands 805-6815022129 Hedge Fund 739,769 5,000,000
CNH CA MASTER ACCOUNT L.P. Cayman Islands 805-6870761539 Hedge Fund 209,935,918 5,000,000 Master Fund
CNH MASTER ACCOUNT, L.P. Cayman Islands 805-1981002488 Hedge Fund 196,147,192 5,000,000
AQR LIQUIDITY FUND, L.P. United States 805-1755478373 Hedge Fund 30,255,687 5,000,000
CNH DIVERSIFIED OPPORTUNITIES MASTER ACCOUNT, L.P. Cayman Islands 805-3835816892 Hedge Fund 1,047,404 5,000,000

CNH PARTNERS, LLC

ownership team - last updated 2018-11-29
Name Title Start Date Direct/Indirect % Ownership
AQR CAPITAL MANAGEMENT, LLC MEMBER 05/01/2001 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC MEMBER direct 2001-05-01
ASNESS, CLIFF, SCOTT PRINCIPAL 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC PRESIDENT, FOUNDING AND MANAGING PRINCIPAL direct 1998-01-01
AQR CAPITAL MANAGEMENT II, LLC MANAGING PRINCIPAL direct 1998-01-01
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
AQR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2012-08-01
AQR CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2012-08-01
CNH PARTNERS, LLC MEMBER indirect 2014-01-01
AQR CAPITAL MANAGEMENT, LLC PRESIDENT AND MANAGING PRINCIPAL direct 1998-01-01 2003-04-02
CNH PARTNERS, LLC MANAGING PRINCIPAL indirect 1998-01-01 2005-03-29
AQR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2004-11-01 2014-11-26
AQR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2004-01-01 2017-03-31
KABILLER, DAVID, GARY PRINCIPAL 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT II, LLC PRINCIPAL direct 1998-01-01
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
AQR CAPITAL MANAGEMENT, LLC FOUNDING PRINCIPAL direct 1998-01-01
AQR CAPITAL MANAGEMENT, LLC PRINCIPAL direct 1998-01-01 2003-04-02
CNH PARTNERS, LLC PRINCIPAL indirect 1998-01-01 2005-03-29
LIEW, JOHN, MIHN SOO PRINCIPAL 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC FOUNDING PRINCIPAL direct 1998-01-01
AQR CAPITAL MANAGEMENT II, LLC PRINCIPAL direct 1998-01-01
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
AQR CAPITAL MANAGEMENT, LLC PRINCIPAL direct 1998-01-01 2003-04-02
CNH PARTNERS, LLC PRINCIPAL indirect 1998-01-01 2005-03-29
MITCHELL, MARK, L PRINCIPAL 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
CNH PARTNERS, LLC MEMBER indirect 2001-05-01
CNH PARTNERS, LLC PRINCIPAL indirect 2001-05-01 2005-03-29
CNH PARTNERS, LLC MEMBER indirect 2001-05-01 2015-03-31
PULVINO, TODD PRINCIPAL 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
CNH PARTNERS, LLC PRINCIPAL indirect 2001-05-01
CNH PARTNERS, LLC PRINCIPAL indirect 2001-05-01 2015-03-31
BRYANT, ROBERT, FISK PRINCIPAL 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC PRINCIPAL direct 2012-01-01
WILLCOX, HERBERT, JAMES CHIEF COMPLIANCE OFFICER 08/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
CNH PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
PRISMA CAPITAL PARTNERS LP CHIEF COMPLIANCE OFFICER direct 2013-02-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. CHIEF COMPLIANCE OFFICER direct 2008-06-01
CNH CAPITAL MANAGEMENT, LLC MEMBER 03/01/2015 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC MEMBER direct 2015-03-01
FENRICH, WILLIAM, JOSEPH CHIEF LEGAL OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC CHIEF LEGAL OFFICER direct 2017-07-01
CNH PARTNERS, LLC CHIEF LEGAL OFFICER direct 2017-07-01
POINTSTATE CAPITAL LP MANAGING DIRECTOR; GENERAL COUNSEL; CHIEF COMPLIANCE OFFICER direct 2010-12-01
POINTSTATE CAPITAL LP MANAGING DIRECTOR; GENERAL COUNSEL direct 2010-12-01
POINTSTATE CAPITAL LP CHIEF OPERATING OFFICER direct 2013-01-01
MITCHELL, MARK, L MEMBER RAIM CORP 05/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
CNH PARTNERS, LLC MEMBER indirect 2001-05-01
CNH PARTNERS, LLC PRINCIPAL indirect 2001-05-01 2005-03-29
CNH PARTNERS, LLC MEMBER indirect 2001-05-01 2015-03-31
PULVINO, TODD PRINCIPAL RAIM CORP 05/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
CNH PARTNERS, LLC PRINCIPAL indirect 2001-05-01
CNH PARTNERS, LLC PRINCIPAL indirect 2001-05-01 2015-03-31
AQR CAPITAL MANAGEMENT HOLDINGS, LLC MEMBER AQR CAPITAL MANAGEMENT, LLC 11/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC MEMBER direct 2004-11-01
CNH PARTNERS, LLC MEMBER indirect 2004-11-01
ASNESS, CLIFFORD, SCOTT MEMBER AQR CAPITAL MANAGEMENT GROUP, L.P. 01/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC PRESIDENT, FOUNDING AND MANAGING PRINCIPAL direct 1998-01-01
AQR CAPITAL MANAGEMENT II, LLC MANAGING PRINCIPAL direct 1998-01-01
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
AQR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2012-08-01
AQR CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2012-08-01
CNH PARTNERS, LLC MEMBER indirect 2014-01-01
AQR CAPITAL MANAGEMENT, LLC PRESIDENT AND MANAGING PRINCIPAL direct 1998-01-01 2003-04-02
CNH PARTNERS, LLC MANAGING PRINCIPAL indirect 1998-01-01 2005-03-29
AQR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2004-11-01 2014-11-26
AQR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2004-01-01 2017-03-31
AQR CAPITAL MANAGEMENT GROUP, L.P. MEMBER AQR CAPITAL MANAGEMENT HOLDINGS, LLC 09/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC MEMBER indirect 2012-09-01
CNH PARTNERS, LLC MEMBER indirect 2012-09-01
AFFILIATED MANAGERS GROUP, INC. MEMBER TOPSPIN ACQUISITION, LLC 11/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARTWELL J M LTD PARTNERSHIP SOLE MEMBER indirect 1994-05-01
FQN MANAGEMENT LLC OWNER indirect 1995-12-01
BURRIDGE GROUP LLC OWNER indirect 1996-12-01
RORER ASSET MANAGEMENT LLC 100% STOCKHOLDER indirect 1999-01-01
THE MANAGERS FUNDS LLC CORPORATE PARENT indirect 1999-04-01
MANAGERS INVESTMENT GROUP LLC SOLE SHAREHOLDER indirect 1999-04-01
ASTON ASSET MANAGEMENT, LP SOLE SHAREHOLDER indirect 1999-04-01
FRONTIER PERFORMANCE ADVISERS LP MANAGING MEMBER OF THE GENERAL PARTNER indirect 2000-01-01
GIML, LLP SHAREHOLDER indirect 2000-12-01
GENESIS FUND MANAGERS, LLP SHAREHOLDER indirect 2000-12-01
BLUEMOUNTAIN CAPITAL MANAGEMENT L.P. SHAREHOLDER indirect 2000-12-01
SYSTEMATICA INVESTMENTS LIMITED SHAREHOLDER indirect 2000-12-01
BLUEMOUNTAIN CLO MANAGEMENT, LLC SHAREHOLDER indirect 2000-12-01
BLUEMOUNTAIN FUJI MANAGEMENT, LLC SHAREHOLDER indirect 2000-12-01
PANTHEON VENTURES (US) LP CORPORATE PARENT indirect 2000-12-01
PANTHEON VENTURES INC. CORPORATE PARENT indirect 2000-12-01
SYSTEMATICA INVESTMENTS SINGAPORE PTE. LTD. SHAREHOLDER indirect 2000-12-01
SYSTEMATICA INVESTMENTS GP LIMITED SHAREHOLDER indirect 2000-12-01
THIRD AVENUE MANAGEMENT LLC EQUITYHOLDER OF AMG NEW YORK HOLDINGS CORP. indirect 2002-05-01
IVORY INVESTMENT MANAGEMENT, L.P. MEMBER AND MANAGER indirect 2002-09-01
FIRST QUADRANT LP SOLE MANAGING MEMBER indirect 2002-09-01
GENESIS ASSET MANAGERS, LLP SHAREHOLDER indirect 2004-06-01
TIMESSQUARE CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-11-01
AQR CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-11-01
CNH PARTNERS, LLC MEMBER indirect 2004-11-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER indirect 2005-06-01
FOYSTON, GORDON & PAYNE INC. SHAREHOLDER - SERIES A indirect 2005-06-01
MONTRUSCO BOLTON INVESTMENTS, INC. SHAREHOLDER indirect 2005-07-01
CHICAGO EQUITY PARTNERS LLC SHAREHOLDER indirect 2006-12-01
GW&K INVESTMENT MANAGEMENT, LLC MANAGER MEMBER direct 2008-10-01
HARTWELL J M LTD PARTNERSHIP SHAREHOLDER indirect 2009-07-01
HARDING LOEVNER LLC OWNER indirect 2009-08-01
ASTON ASSET MANAGEMENT LLC GENERAL PARTNER direct 2010-04-01
ASTON ASSET MANAGEMENT LLC SHAREHOLDER indirect 2010-04-01
SYSTEMATIC FINANCIAL MANAGEMENT LP SOLE MEMBER indirect 2010-12-01
TRILOGY GLOBAL ADVISORS, LP MANAGING MEMBER AND SOLE SHAREHOLDER indirect 2010-12-01
THE RENAISSANCE GROUP LLC MANAGER MEMBER direct 2011-01-01
THE RENAISSANCE GROUP LLC SOLE MEMBER AND MANAGER indirect 2011-01-01
VERITABLE LP PARTNER indirect 2011-03-01
CLARFELD FINANCIAL ADVISORS INC PARTNER indirect 2011-03-01
WELCH & FORBES LLC SERIES A MEMBER AND MANAGER indirect 2011-03-01
BAKER STREET ADVISORS, LLC GENERAL PARTNER indirect 2011-03-01
MYCIO WEALTH PARTNERS, LLC GENERAL PARTNER indirect 2011-03-01
WP GROUP, LLC GENERAL PARTNER indirect 2011-03-01
YACKTMAN ASSET MANAGEMENT LP LIMITED PARTNER direct 2012-06-01
TWEEDY, BROWNE COMPANY LLC MANAGING MEMBER indirect 2012-12-01
SOUTHERNSUN ASSET MANAGEMENT LLC MEMBER direct 2014-03-01
RIVER ROAD ASSET MANAGEMENT, LLC MEMBER indirect 2014-03-01
RIVER ROAD ASSET MANAGEMENT, LLC MEMBER direct 2014-06-01
SOUTHERNSUN ASSET MANAGEMENT LLC MEMBER indirect 2014-06-01
FRONTIER CAPITAL MANAGEMENT CO LLC MANAGER MEMBER indirect 2014-06-01
GW&K INVESTMENT MANAGEMENT, LLC MANAGER AND SOLE MEMBER indirect 2014-06-01
YACKTMAN ASSET MANAGEMENT LP MANAGER AND SOLE MEMBER indirect 2014-10-01
VERITAS ASSET MANAGEMENT LLP ULTIMATE PARENT COMPANY indirect 2014-10-01
IVORY INVESTMENT MANAGEMENT, L.P. PARTNER indirect 2015-10-01
CAPEVIEW CAPITAL LLP MANAGING MEMBER indirect 2016-06-01
RENAISSANCE INVESTMENT MANAGEMENT GENERAL PARTNER direct 1995-11-01 2001-04-24
HARTWELL J M LTD PARTNERSHIP SHAREHHOLDER OF GENERAL PARTNER direct 1994-05-01 2001-09-26
HARTWELL J M LTD PARTNERSHIP SHAREHHOLDER OF GENERAL PARTNER direct 1995-10-01 2002-03-25
PARADIGM ASSET MANAGEMENT COMPANY, L.L.C MEMBER direct 1995-03-01 2002-06-10
THIRD AVENUE MANAGEMENT LLC EQUITYHOLDER OF AMG NEW YORK HOLDINGS CORP. indirect 2002-05-01 2002-08-13
GEOCAPITAL LLC SOLE STOCKHOLDER OF GCC indirect 1997-09-01 2003-05-29
RESEARCH AFFILIATES, LLC OWNER indirect 1995-12-01 2004-02-06
PW REDWOOD SEQUOIA MANAGEMENT LLC OWNER indirect 2000-01-01 2004-03-30
DAVIS HAMILTON JACKSON & ASSOCIATES LP 100% STOCKHOLDER OF GP & AMG/TBC direct 1998-12-01 2004-03-31
GENESIS ASSET MANAGERS, LLP SHAREHOLDER indirect 2000-12-01 2004-09-03
SKYLINE ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 1995-08-01 2005-03-24
HARTWELL J M LTD PARTNERSHIP SHAREHOLDER OF GENERAL PARTNER direct 1995-10-01 2005-03-29
WELCH & FORBES LLC 100% STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2005-03-31
RORER ASSET MANAGEMENT LLC 100% STOCKHOLDER OF MANAGING MEMBER indirect 1999-01-01 2005-05-24
RORER ASSET MANAGEMENT LLC 100% STOCKHOLDER OF MANAGING MEMBER indirect 1999-01-01 2006-03-27
GOFEN AND GLOSSBERG, L.L.C. MANAGER MEMBER direct 1997-05-01 2006-03-29
GEOCAPITAL LLC MANAGER MEMBER direct 1997-09-01 2006-04-04
GEOCAPITAL LLC SOLE STOCKHOLDER OF AMG CAPITAL indirect 1997-09-01 2006-04-04
CHICAGO EQUITY PARTNERS LLC MEMBER direct 2006-12-01 2007-01-03
CHICAGO EQUITY PARTNERS LLC SHAREHOLDER indirect 2006-12-01 2007-03-23
FRONTIER CAPITAL MANAGEMENT CO LLC MANAGER MEMBER indirect 2000-01-01 2007-03-28
DAVIS HAMILTON JACKSON & ASSOCIATES LP 100% STOCKHOLDER OF GP & AMG/TBC indirect 1998-12-01 2008-03-28
SKYLINE ASSET MANAGEMENT, L.P. SPECIAL LIMITED PARTNER direct 2005-10-01 2008-03-28
DEANS KNIGHT CAPITAL MANAGEMENT STOCKHOLDER indirect 2006-07-01 2009-02-19
GOFEN AND GLOSSBERG, L.L.C. NON-MANAGER MEMBER indirect 1997-05-01 2009-03-23
GANNETT WELSH & KOTLER, LLC DIRECT OWNER direct 2008-09-01 2009-03-31
HARTWELL J M LTD PARTNERSHIP SHAREHOLDER indirect 1994-05-01 2010-03-24
FIRST QUADRANT LP OWNER indirect 1995-12-01 2010-03-30
DAVIS HAMILTON JACKSON & ASSOCIATES LP 100% STOCKHOLDER OF AMG/TBC indirect 1998-12-01 2010-03-30
FIRST QUADRANT LP OWNER indirect 2002-09-01 2010-06-02
SYSTEMATIC FINANCIAL MANAGEMENT LP GENERAL PARTNER direct 1995-05-01 2010-08-06
WELCH & FORBES LLC STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2010-10-05
WELCH & FORBES LLC MEMBER direct 2001-11-01 2010-10-05
RENAISSANCE INVESTMENT MANAGEMENT LLC MEMBER direct 1995-11-01 2010-10-11
TRILOGY GLOBAL ADVISORS, LLC GENERAL PARTNER direct 2010-12-01 2010-12-22
WELCH & FORBES LLC STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2011-03-31
FFT WEALTH MANAGEMENT LLC EQUITY HOLDER OF AMG NEW YORK HOLDINGS CORP indirect 2002-05-01 2011-03-31
ESSEX INVESTMENT MANAGEMENT CO LLC MANAGING MEMBER direct 1998-03-01 2011-05-03
SYSTEMATIC FINANCIAL MANAGEMENT LP SOLE MEMBER indirect 2010-12-01 2012-01-10
TWEEDY, BROWNE COMPANY LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 1997-10-01 2012-03-16
FORTIGENT, LLC OWNER indirect 2010-08-01 2012-03-30
FORTIGENT, LLC OWNER indirect 2010-08-01 2012-03-30
ESSEX INVESTMENT MANAGEMENT COMPANY, LLC MANAGER MEMBER indirect 2010-12-01 2012-03-30
DEANS KNIGHT CAPITAL MANAGEMENT STOCKHOLDER indirect 2006-07-01 2012-04-17
WELCH & FORBES LLC SOLE MEMBER indirect 2010-12-01 2013-03-27
FRIESS ASSOCIATES, LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 2001-10-01 2013-03-28
FRIESS ASSOCIATES OF DELAWARE,LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 2001-10-01 2013-03-28
TRILOGY GLOBAL ADVISORS, LLC MANAGER MEMBER AND SOLE SHAREHOLDER indirect 2010-12-01 2013-05-01
TWEEDY, BROWNE COMPANY LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 1997-10-01 2013-07-08
GANNETT WELSH & KOTLER, LLC MANAGING MEMBER direct 2008-10-01 2014-03-14
GANNETT WELSH & KOTLER, LLC SHAREHOLDER indirect 2008-10-01 2014-03-14
TWEEDY, BROWNE COMPANY LLC AUTHORIZED PERSON OF MANAGING MEMBER indirect 2012-12-01 2014-03-25
WELCH & FORBES LLC STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2014-03-27
WELCH & FORBES LLC SERIES A MEMBER AND AUTHORIZED PERSON indirect 2011-03-01 2014-03-27
MANAGERS INVESTMENT GROUP LLC CORPORATE PARENT indirect 1999-04-01 2014-03-31
FRONTIER CAPITAL MANAGEMENT CO LLC MANAGER MEMBER indirect 2000-01-01 2014-03-31
ASTON ASSET MANAGEMENT, LP GENERAL PARTNER direct 2010-04-01 2014-03-31
ASTON ASSET MANAGEMENT, LP MANAGING MEMBER indirect 2010-04-01 2014-03-31
SOUTHERNSUN ASSET MANAGEMENT LLC MEMBER indirect 2013-12-01 2014-04-10
TWEEDY, BROWNE COMPANY LLC SOLE SHAREHOLDER indirect 1997-10-01 2014-12-01
YACKTMAN ASSET MANAGEMENT LP MEMBER indirect 2012-06-01 2015-01-05
FIRST QUADRANT LP SOLE MEMBER AND MANAGER indirect 2002-09-01 2015-03-30
FOYSTON, GORDON & PAYNE INC. SHAREHOLDER indirect 2005-06-01 2015-03-30
GANNETT WELSH & KOTLER, LLC MANAGER AND SOLE MEMBER indirect 2014-06-01 2015-03-30
BAKER STREET ADVISORS, LLC PARTNER indirect 2011-03-01 2015-04-07
LATTICE STRATEGIES LLC SOLE MEMBER indirect 2011-12-01 2015-05-05
LATTICE STRATEGIES LLC MEMBER direct 2012-02-01 2015-05-05
GANNETT WELSH & KOTLER, LLC MANAGER direct 2008-10-01 2016-03-21
GW&K INVESTMENT MANAGEMENT, LLC MANAGER AND SOLE MEMBER indirect 2014-06-01 2016-03-21
FOYSTON, GORDON & PAYNE INC. SHAREHOLDER indirect 2005-06-01 2016-03-29
PANTHEON VENTURES (US) LLP CORPORATE PARENT indirect 2010-02-01 2016-06-13
PANTHEON VENTURES INC. CORPORATE PARENT indirect 2010-06-01 2016-06-13
THE RENAISSANCE GROUP LLC SOLE MEMBER AND MANAGER indirect 2011-01-01 2016-07-11
FFT WEALTH MANAGEMENT LLC GENERAL PARTNER indirect 2011-03-01 2017-04-19
TOPSPIN ACQUISITION, LLC MEMBER AQR CAPITAL MANAGEMENT HOLDINGS, LLC 12/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-12-01
CNH PARTNERS, LLC MEMBER indirect 2014-12-01
RAIM CORP MEMBER CNH CAPITAL MANAGEMENT, LLC 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC MEMBER indirect 2015-03-01
CNH PARTNERS, LLC MEMBER direct 2001-05-01 2015-03-31

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CNH OPPORTUNISTIC PREMIUM OFFSHORE FUND, L.P. Cayman Islands 805-6815022129 Hedge Fund 1,083,845 5,000,000
CNH CA MASTER ACCOUNT L.P. Cayman Islands 805-6870761539 Hedge Fund 191,774,441 5,000,000 Master Fund
CNH MASTER ACCOUNT, L.P. Cayman Islands 805-1981002488 Hedge Fund 196,905,454 5,000,000
AQR LIQUIDITY FUND, L.P. United States 805-1755478373 Hedge Fund 31,597,239 5,000,000
CNH DIVERSIFIED OPPORTUNITIES MASTER ACCOUNT, L.P. Cayman Islands 805-3835816892 Hedge Fund 1,581,653 5,000,000

CNH PARTNERS, LLC

ownership team - last updated 2018-05-29
Name Title Start Date Direct/Indirect % Ownership
AQR CAPITAL MANAGEMENT, LLC MEMBER 05/01/2001 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC MEMBER direct 2001-05-01
ASNESS, CLIFF, SCOTT PRINCIPAL 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC PRESIDENT, FOUNDING AND MANAGING PRINCIPAL direct 1998-01-01
AQR CAPITAL MANAGEMENT II, LLC MANAGING PRINCIPAL direct 1998-01-01
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
AQR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2012-08-01
AQR CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2012-08-01
CNH PARTNERS, LLC MEMBER indirect 2014-01-01
AQR CAPITAL MANAGEMENT, LLC PRESIDENT AND MANAGING PRINCIPAL direct 1998-01-01 2003-04-02
CNH PARTNERS, LLC MANAGING PRINCIPAL indirect 1998-01-01 2005-03-29
AQR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2004-11-01 2014-11-26
AQR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2004-01-01 2017-03-31
KABILLER, DAVID, GARY PRINCIPAL 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT II, LLC PRINCIPAL direct 1998-01-01
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
AQR CAPITAL MANAGEMENT, LLC FOUNDING PRINCIPAL direct 1998-01-01
AQR CAPITAL MANAGEMENT, LLC PRINCIPAL direct 1998-01-01 2003-04-02
CNH PARTNERS, LLC PRINCIPAL indirect 1998-01-01 2005-03-29
LIEW, JOHN, MIHN SOO PRINCIPAL 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC FOUNDING PRINCIPAL direct 1998-01-01
AQR CAPITAL MANAGEMENT II, LLC PRINCIPAL direct 1998-01-01
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
AQR CAPITAL MANAGEMENT, LLC PRINCIPAL direct 1998-01-01 2003-04-02
CNH PARTNERS, LLC PRINCIPAL indirect 1998-01-01 2005-03-29
MITCHELL, MARK, L PRINCIPAL 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
CNH PARTNERS, LLC MEMBER indirect 2001-05-01
CNH PARTNERS, LLC PRINCIPAL indirect 2001-05-01 2005-03-29
CNH PARTNERS, LLC MEMBER indirect 2001-05-01 2015-03-31
PULVINO, TODD PRINCIPAL 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
CNH PARTNERS, LLC PRINCIPAL indirect 2001-05-01
CNH PARTNERS, LLC PRINCIPAL indirect 2001-05-01 2015-03-31
BRYANT, ROBERT, FISK PRINCIPAL 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC PRINCIPAL direct 2012-01-01
WILLCOX, HERBERT, JAMES CHIEF COMPLIANCE OFFICER 08/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
CNH PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2013-08-01
PRISMA CAPITAL PARTNERS LP CHIEF COMPLIANCE OFFICER direct 2013-02-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. CHIEF COMPLIANCE OFFICER direct 2008-06-01
CNH CAPITAL MANAGEMENT, LLC MEMBER 03/01/2015 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC MEMBER direct 2015-03-01
FENRICH, WILLIAM, JOSEPH CHIEF LEGAL OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC CHIEF LEGAL OFFICER direct 2017-07-01
CNH PARTNERS, LLC CHIEF LEGAL OFFICER direct 2017-07-01
POINTSTATE CAPITAL LP MANAGING DIRECTOR; GENERAL COUNSEL; CHIEF COMPLIANCE OFFICER direct 2010-12-01
POINTSTATE CAPITAL LP MANAGING DIRECTOR; GENERAL COUNSEL direct 2010-12-01
POINTSTATE CAPITAL LP CHIEF OPERATING OFFICER direct 2013-01-01
MITCHELL, MARK, L MEMBER RAIM CORP 05/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
CNH PARTNERS, LLC MEMBER indirect 2001-05-01
CNH PARTNERS, LLC PRINCIPAL indirect 2001-05-01 2005-03-29
CNH PARTNERS, LLC MEMBER indirect 2001-05-01 2015-03-31
PULVINO, TODD PRINCIPAL RAIM CORP 05/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
CNH PARTNERS, LLC PRINCIPAL indirect 2001-05-01
CNH PARTNERS, LLC PRINCIPAL indirect 2001-05-01 2015-03-31
AQR CAPITAL MANAGEMENT HOLDINGS, LLC MEMBER AQR CAPITAL MANAGEMENT, LLC 11/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC MEMBER direct 2004-11-01
CNH PARTNERS, LLC MEMBER indirect 2004-11-01
ASNESS, CLIFFORD, SCOTT MEMBER AQR CAPITAL MANAGEMENT GROUP, L.P. 01/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC PRESIDENT, FOUNDING AND MANAGING PRINCIPAL direct 1998-01-01
AQR CAPITAL MANAGEMENT II, LLC MANAGING PRINCIPAL direct 1998-01-01
CNH PARTNERS, LLC PRINCIPAL direct 2001-05-01
AQR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2012-08-01
AQR CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2012-08-01
CNH PARTNERS, LLC MEMBER indirect 2014-01-01
AQR CAPITAL MANAGEMENT, LLC PRESIDENT AND MANAGING PRINCIPAL direct 1998-01-01 2003-04-02
CNH PARTNERS, LLC MANAGING PRINCIPAL indirect 1998-01-01 2005-03-29
AQR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2004-11-01 2014-11-26
AQR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2004-01-01 2017-03-31
AQR CAPITAL MANAGEMENT GROUP, L.P. MEMBER AQR CAPITAL MANAGEMENT HOLDINGS, LLC 09/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC MEMBER indirect 2012-09-01
CNH PARTNERS, LLC MEMBER indirect 2012-09-01
AFFILIATED MANAGERS GROUP, INC. MEMBER TOPSPIN ACQUISITION, LLC 11/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARTWELL J M LTD PARTNERSHIP SOLE MEMBER indirect 1994-05-01
FQN MANAGEMENT LLC OWNER indirect 1995-12-01
BURRIDGE GROUP LLC OWNER indirect 1996-12-01
RORER ASSET MANAGEMENT LLC 100% STOCKHOLDER indirect 1999-01-01
THE MANAGERS FUNDS LLC CORPORATE PARENT indirect 1999-04-01
MANAGERS INVESTMENT GROUP LLC SOLE SHAREHOLDER indirect 1999-04-01
ASTON ASSET MANAGEMENT, LP SOLE SHAREHOLDER indirect 1999-04-01
FRONTIER PERFORMANCE ADVISERS LP MANAGING MEMBER OF THE GENERAL PARTNER indirect 2000-01-01
GIML, LLP SHAREHOLDER indirect 2000-12-01
GENESIS FUND MANAGERS, LLP SHAREHOLDER indirect 2000-12-01
BLUEMOUNTAIN CAPITAL MANAGEMENT L.P. SHAREHOLDER indirect 2000-12-01
SYSTEMATICA INVESTMENTS LIMITED SHAREHOLDER indirect 2000-12-01
BLUEMOUNTAIN CLO MANAGEMENT, LLC SHAREHOLDER indirect 2000-12-01
BLUEMOUNTAIN FUJI MANAGEMENT, LLC SHAREHOLDER indirect 2000-12-01
PANTHEON VENTURES (US) LP CORPORATE PARENT indirect 2000-12-01
PANTHEON VENTURES INC. CORPORATE PARENT indirect 2000-12-01
SYSTEMATICA INVESTMENTS SINGAPORE PTE. LTD. SHAREHOLDER indirect 2000-12-01
SYSTEMATICA INVESTMENTS GP LIMITED SHAREHOLDER indirect 2000-12-01
THIRD AVENUE MANAGEMENT LLC EQUITYHOLDER OF AMG NEW YORK HOLDINGS CORP. indirect 2002-05-01
IVORY INVESTMENT MANAGEMENT, L.P. MEMBER AND MANAGER indirect 2002-09-01
FIRST QUADRANT LP SOLE MANAGING MEMBER indirect 2002-09-01
GENESIS ASSET MANAGERS, LLP SHAREHOLDER indirect 2004-06-01
TIMESSQUARE CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-11-01
AQR CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-11-01
CNH PARTNERS, LLC MEMBER indirect 2004-11-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER indirect 2005-06-01
FOYSTON, GORDON & PAYNE INC. SHAREHOLDER - SERIES A indirect 2005-06-01
MONTRUSCO BOLTON INVESTMENTS, INC. SHAREHOLDER indirect 2005-07-01
CHICAGO EQUITY PARTNERS LLC SHAREHOLDER indirect 2006-12-01
GW&K INVESTMENT MANAGEMENT, LLC MANAGER MEMBER direct 2008-10-01
HARTWELL J M LTD PARTNERSHIP SHAREHOLDER indirect 2009-07-01
HARDING LOEVNER LLC OWNER indirect 2009-08-01
ASTON ASSET MANAGEMENT LLC GENERAL PARTNER direct 2010-04-01
ASTON ASSET MANAGEMENT LLC SHAREHOLDER indirect 2010-04-01
SYSTEMATIC FINANCIAL MANAGEMENT LP SOLE MEMBER indirect 2010-12-01
TRILOGY GLOBAL ADVISORS, LP MANAGING MEMBER AND SOLE SHAREHOLDER indirect 2010-12-01
THE RENAISSANCE GROUP LLC MANAGER MEMBER direct 2011-01-01
THE RENAISSANCE GROUP LLC SOLE MEMBER AND MANAGER indirect 2011-01-01
VERITABLE LP PARTNER indirect 2011-03-01
CLARFELD FINANCIAL ADVISORS INC PARTNER indirect 2011-03-01
WELCH & FORBES LLC SERIES A MEMBER AND MANAGER indirect 2011-03-01
BAKER STREET ADVISORS, LLC GENERAL PARTNER indirect 2011-03-01
MYCIO WEALTH PARTNERS, LLC GENERAL PARTNER indirect 2011-03-01
WP GROUP, LLC GENERAL PARTNER indirect 2011-03-01
YACKTMAN ASSET MANAGEMENT LP LIMITED PARTNER direct 2012-06-01
TWEEDY, BROWNE COMPANY LLC MANAGING MEMBER indirect 2012-12-01
SOUTHERNSUN ASSET MANAGEMENT LLC MEMBER direct 2014-03-01
RIVER ROAD ASSET MANAGEMENT, LLC MEMBER indirect 2014-03-01
RIVER ROAD ASSET MANAGEMENT, LLC MEMBER direct 2014-06-01
SOUTHERNSUN ASSET MANAGEMENT LLC MEMBER indirect 2014-06-01
FRONTIER CAPITAL MANAGEMENT CO LLC MANAGER MEMBER indirect 2014-06-01
GW&K INVESTMENT MANAGEMENT, LLC MANAGER AND SOLE MEMBER indirect 2014-06-01
YACKTMAN ASSET MANAGEMENT LP MANAGER AND SOLE MEMBER indirect 2014-10-01
VERITAS ASSET MANAGEMENT LLP ULTIMATE PARENT COMPANY indirect 2014-10-01
IVORY INVESTMENT MANAGEMENT, L.P. PARTNER indirect 2015-10-01
CAPEVIEW CAPITAL LLP MANAGING MEMBER indirect 2016-06-01
RENAISSANCE INVESTMENT MANAGEMENT GENERAL PARTNER direct 1995-11-01 2001-04-24
HARTWELL J M LTD PARTNERSHIP SHAREHHOLDER OF GENERAL PARTNER direct 1994-05-01 2001-09-26
HARTWELL J M LTD PARTNERSHIP SHAREHHOLDER OF GENERAL PARTNER direct 1995-10-01 2002-03-25
PARADIGM ASSET MANAGEMENT COMPANY, L.L.C MEMBER direct 1995-03-01 2002-06-10
THIRD AVENUE MANAGEMENT LLC EQUITYHOLDER OF AMG NEW YORK HOLDINGS CORP. indirect 2002-05-01 2002-08-13
GEOCAPITAL LLC SOLE STOCKHOLDER OF GCC indirect 1997-09-01 2003-05-29
RESEARCH AFFILIATES, LLC OWNER indirect 1995-12-01 2004-02-06
PW REDWOOD SEQUOIA MANAGEMENT LLC OWNER indirect 2000-01-01 2004-03-30
DAVIS HAMILTON JACKSON & ASSOCIATES LP 100% STOCKHOLDER OF GP & AMG/TBC direct 1998-12-01 2004-03-31
GENESIS ASSET MANAGERS, LLP SHAREHOLDER indirect 2000-12-01 2004-09-03
SKYLINE ASSET MANAGEMENT, L.P. GENERAL PARTNER direct 1995-08-01 2005-03-24
HARTWELL J M LTD PARTNERSHIP SHAREHOLDER OF GENERAL PARTNER direct 1995-10-01 2005-03-29
WELCH & FORBES LLC 100% STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2005-03-31
RORER ASSET MANAGEMENT LLC 100% STOCKHOLDER OF MANAGING MEMBER indirect 1999-01-01 2005-05-24
RORER ASSET MANAGEMENT LLC 100% STOCKHOLDER OF MANAGING MEMBER indirect 1999-01-01 2006-03-27
GOFEN AND GLOSSBERG, L.L.C. MANAGER MEMBER direct 1997-05-01 2006-03-29
GEOCAPITAL LLC MANAGER MEMBER direct 1997-09-01 2006-04-04
GEOCAPITAL LLC SOLE STOCKHOLDER OF AMG CAPITAL indirect 1997-09-01 2006-04-04
CHICAGO EQUITY PARTNERS LLC MEMBER direct 2006-12-01 2007-01-03
CHICAGO EQUITY PARTNERS LLC SHAREHOLDER indirect 2006-12-01 2007-03-23
FRONTIER CAPITAL MANAGEMENT CO LLC MANAGER MEMBER indirect 2000-01-01 2007-03-28
DAVIS HAMILTON JACKSON & ASSOCIATES LP 100% STOCKHOLDER OF GP & AMG/TBC indirect 1998-12-01 2008-03-28
SKYLINE ASSET MANAGEMENT, L.P. SPECIAL LIMITED PARTNER direct 2005-10-01 2008-03-28
DEANS KNIGHT CAPITAL MANAGEMENT STOCKHOLDER indirect 2006-07-01 2009-02-19
GOFEN AND GLOSSBERG, L.L.C. NON-MANAGER MEMBER indirect 1997-05-01 2009-03-23
GANNETT WELSH & KOTLER, LLC DIRECT OWNER direct 2008-09-01 2009-03-31
HARTWELL J M LTD PARTNERSHIP SHAREHOLDER indirect 1994-05-01 2010-03-24
FIRST QUADRANT LP OWNER indirect 1995-12-01 2010-03-30
DAVIS HAMILTON JACKSON & ASSOCIATES LP 100% STOCKHOLDER OF AMG/TBC indirect 1998-12-01 2010-03-30
FIRST QUADRANT LP OWNER indirect 2002-09-01 2010-06-02
SYSTEMATIC FINANCIAL MANAGEMENT LP GENERAL PARTNER direct 1995-05-01 2010-08-06
WELCH & FORBES LLC STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2010-10-05
WELCH & FORBES LLC MEMBER direct 2001-11-01 2010-10-05
RENAISSANCE INVESTMENT MANAGEMENT LLC MEMBER direct 1995-11-01 2010-10-11
TRILOGY GLOBAL ADVISORS, LLC GENERAL PARTNER direct 2010-12-01 2010-12-22
WELCH & FORBES LLC STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2011-03-31
FFT WEALTH MANAGEMENT LLC EQUITY HOLDER OF AMG NEW YORK HOLDINGS CORP indirect 2002-05-01 2011-03-31
ESSEX INVESTMENT MANAGEMENT CO LLC MANAGING MEMBER direct 1998-03-01 2011-05-03
SYSTEMATIC FINANCIAL MANAGEMENT LP SOLE MEMBER indirect 2010-12-01 2012-01-10
TWEEDY, BROWNE COMPANY LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 1997-10-01 2012-03-16
FORTIGENT, LLC OWNER indirect 2010-08-01 2012-03-30
FORTIGENT, LLC OWNER indirect 2010-08-01 2012-03-30
ESSEX INVESTMENT MANAGEMENT COMPANY, LLC MANAGER MEMBER indirect 2010-12-01 2012-03-30
DEANS KNIGHT CAPITAL MANAGEMENT STOCKHOLDER indirect 2006-07-01 2012-04-17
WELCH & FORBES LLC SOLE MEMBER indirect 2010-12-01 2013-03-27
FRIESS ASSOCIATES, LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 2001-10-01 2013-03-28
FRIESS ASSOCIATES OF DELAWARE,LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 2001-10-01 2013-03-28
TRILOGY GLOBAL ADVISORS, LLC MANAGER MEMBER AND SOLE SHAREHOLDER indirect 2010-12-01 2013-05-01
TWEEDY, BROWNE COMPANY LLC SOLE SHAREHOLDER OF MANAGING MEMBER indirect 1997-10-01 2013-07-08
GANNETT WELSH & KOTLER, LLC MANAGING MEMBER direct 2008-10-01 2014-03-14
GANNETT WELSH & KOTLER, LLC SHAREHOLDER indirect 2008-10-01 2014-03-14
TWEEDY, BROWNE COMPANY LLC AUTHORIZED PERSON OF MANAGING MEMBER indirect 2012-12-01 2014-03-25
WELCH & FORBES LLC STOCKHOLDER OF MANAGING MEMBER indirect 2001-11-01 2014-03-27
WELCH & FORBES LLC SERIES A MEMBER AND AUTHORIZED PERSON indirect 2011-03-01 2014-03-27
MANAGERS INVESTMENT GROUP LLC CORPORATE PARENT indirect 1999-04-01 2014-03-31
FRONTIER CAPITAL MANAGEMENT CO LLC MANAGER MEMBER indirect 2000-01-01 2014-03-31
ASTON ASSET MANAGEMENT, LP GENERAL PARTNER direct 2010-04-01 2014-03-31
ASTON ASSET MANAGEMENT, LP MANAGING MEMBER indirect 2010-04-01 2014-03-31
SOUTHERNSUN ASSET MANAGEMENT LLC MEMBER indirect 2013-12-01 2014-04-10
TWEEDY, BROWNE COMPANY LLC SOLE SHAREHOLDER indirect 1997-10-01 2014-12-01
YACKTMAN ASSET MANAGEMENT LP MEMBER indirect 2012-06-01 2015-01-05
FIRST QUADRANT LP SOLE MEMBER AND MANAGER indirect 2002-09-01 2015-03-30
FOYSTON, GORDON & PAYNE INC. SHAREHOLDER indirect 2005-06-01 2015-03-30
GANNETT WELSH & KOTLER, LLC MANAGER AND SOLE MEMBER indirect 2014-06-01 2015-03-30
BAKER STREET ADVISORS, LLC PARTNER indirect 2011-03-01 2015-04-07
LATTICE STRATEGIES LLC SOLE MEMBER indirect 2011-12-01 2015-05-05
LATTICE STRATEGIES LLC MEMBER direct 2012-02-01 2015-05-05
GANNETT WELSH & KOTLER, LLC MANAGER direct 2008-10-01 2016-03-21
GW&K INVESTMENT MANAGEMENT, LLC MANAGER AND SOLE MEMBER indirect 2014-06-01 2016-03-21
FOYSTON, GORDON & PAYNE INC. SHAREHOLDER indirect 2005-06-01 2016-03-29
PANTHEON VENTURES (US) LLP CORPORATE PARENT indirect 2010-02-01 2016-06-13
PANTHEON VENTURES INC. CORPORATE PARENT indirect 2010-06-01 2016-06-13
THE RENAISSANCE GROUP LLC SOLE MEMBER AND MANAGER indirect 2011-01-01 2016-07-11
FFT WEALTH MANAGEMENT LLC GENERAL PARTNER indirect 2011-03-01 2017-04-19
TOPSPIN ACQUISITION, LLC MEMBER AQR CAPITAL MANAGEMENT HOLDINGS, LLC 12/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
AQR CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-12-01
CNH PARTNERS, LLC MEMBER indirect 2014-12-01
RAIM CORP MEMBER CNH CAPITAL MANAGEMENT, LLC 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CNH PARTNERS, LLC MEMBER indirect 2015-03-01
CNH PARTNERS, LLC MEMBER direct 2001-05-01 2015-03-31

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CNH OPPORTUNISTIC PREMIUM OFFSHORE FUND, L.P. Cayman Islands 805-6815022129 Hedge Fund 1,083,845 5,000,000
CNH CA MASTER ACCOUNT L.P. Cayman Islands 805-6870761539 Hedge Fund 191,774,441 5,000,000 Master Fund
CNH MASTER ACCOUNT, L.P. Cayman Islands 805-1981002488 Hedge Fund 196,905,454 5,000,000
AQR LIQUIDITY FUND, L.P. United States 805-1755478373 Hedge Fund 31,597,239 5,000,000
CNH DIVERSIFIED OPPORTUNITIES MASTER ACCOUNT, L.P. Cayman Islands 805-3835816892 Hedge Fund 1,581,653 5,000,000

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