D. E. SHAW & COMPANY ., INC.

http://www.deshaw.com/ • NEW YORK, NY • Investment Advisor • Hedge Fund How do I update this listing?

Also known as:

  • DE SHAW & CO (LONDON) LLP
  • D E SHAW & CO (LONDON) LLP
  • D E SHAW & CO LP
  • D E SHAW & CO INC
  • SHAW D E & CO INC
  • David Shaw

D. E. Shaw & Company . is based out of New York and is run by David Shaw. D. E. Shaw & Company . is a large advisory firm with 37 clients and discretionary assets under management (AUM) of $77,142,952,363 (Form ADV from 2019-03-28). Their last reported 13F filing for Q2 2019 included $80,193,230,000 in managed 13F securities and a top 10 holdings concentration of 9.83%. D. E. Shaw & Company .'s largest holding is Alibaba Group Holding Ltd ADR with shares held of 6,194,320. Whalewisdom has at least 113 13F filings

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06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $80.193 Billion
  • Prior Market Value $77.391 Billion
  • New Purchases512 stocks
  • Additional Purchases1427 stocks
  • Sold out of429 stocks
  • Reduced holdings in1462 stocks
  • Top 10 Holdings % 9.83 %
  • Turnover % [1]:25.94%
  • Turnover Alt % [2]: 24.28 %
  • Time Held Top20:2.10 quarters
  • Time Held Top10:2.10 quarters
  • Time Held All:15.39 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: -3.73%
Performance Last 4 Quarters: -6.38%
Performance Metrics
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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)
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This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
D. E. SHAW CO, L.P.
D. E. Shaw Adviser II, L.L.C.
D. E. Shaw Heliant Adviser, L.L.C.
D. E. Shaw Investment Management, L.L.C.

View Last Form Adv Compilation Report on Record

D. E. SHAW & CO., L.P.
Classified as Hedge Fund
1166 AVENUE OF THE AMERICAS 9TH FLOOR
NEW YORK NY    10036
Country: United States
Business Phone: 212-478-0000
Fax: 212-478-0100
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Partnership
Organized in: DE
Number of employees: 576
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees,REIMBURSEMENT OF CERTAIN EXPENSES
Amount of client funds and securities:
Total Number of Clients: 37
Amount of client funds and securities by related persons: 26,621,500,000
Total Number of clients from related persons: 37
Disclosures: 11.C (2),11.C (4),11.C (5),11.D (2),11.D (4),11.E (2)
Data above was derived from SEC filings.

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D. E. SHAW & CO., L.P.

ownership team - last updated 2019-03-28
Name Title Start Date Direct/Indirect % Ownership
SHAW, DAVID, ELLIOT LIMITED PARTNER 12/01/1992 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
D. E. SHAW DIRECT CAPITAL, L.L.C. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01
D. E. SHAW & CO., L.P. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT, D. E. SHAW & CO., INC. indirect 1992-11-01
LAMINAR DIRECT CAPITAL GP, INC. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01
D. E. SHAW & CO., L.P. LIMITED PARTNER direct 1992-12-01
D. E. SHAW DIRECT CAPITAL, L.L.C. LIMITED PARTNER indirect 1993-01-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. LIMITED PARTNER indirect 1993-01-01
LAMINAR DIRECT CAPITAL GP, INC. LIMITED PARTNER, CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. indirect 1993-01-01
D.E. SHAW & CO., LLC MEMBER, CHAIRMAN & PRESIDENT OF D. E. SHAW & CO. II, INC. direct 1996-09-01
D.E. SHAW & CO., LLC SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 2001-02-01
D E SHAW & CO LP SOLE STOCKHOLDER, CHAIRMAN & PRESIDENT indirect 1992-11-01 2002-01-02
D E SHAW & CO LP LIMITED PARTNER,CHAIRMAN AND PRESIDENT OF DESCO INC direct 1993-01-01 2002-01-02
D E SHAW & CO LP SOLE STOCKHOLDER, CHAIRMAN & PRESIDENT indirect 1992-11-01 2004-03-30
D E SHAW & CO LP LIMITED PARTNER,CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. direct 1993-01-01 2004-03-30
D.E. SHAW & CO., LLC SOLE STOCKHOLDER, CHAIRMAN & PRESIDENT indirect 2001-02-01 2004-03-30
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. direct 1993-01-01 2005-04-21
LAMINAR DIRECT CAPITAL GP, INC. SOLE STOCKHOLDER, CHAIRMAN AND PRESIDENT indirect 1992-11-01 2005-08-31
LAMINAR DIRECT CAPITAL GP, INC. LIMITED PARTNER,CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. indirect 1993-01-01 2005-08-31
D. E. SHAW & CO., L.P. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01 2013-11-18
D E SHAW & CO LP LIMITED PARTNER, CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. direct 1993-01-01 2013-11-18
D. E. SHAW & CO., L.P. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT, D. E. SHAW & CO., INC. AND LIMITED PARTNER, D. E. SHAW & CO., L.P. indirect 1992-11-01 2015-10-08
D. E. SHAW & CO., L.P. LIMITED PARTNER direct 1993-01-01 2015-10-08
D. E. SHAW & CO., INC. GENERAL PARTNER 11/01/1992 Direct less than 5%
Fund Name Position direct/indirect start date end date
D E SHAW & CO LP GENERAL PARTNER direct 1992-11-01
D.E. SHAW DIRECT CAPITAL, L.L.C. GENERAL PARTNER indirect 1992-11-01
LAMINAR DIRECT CAPITAL GP, INC. GENERAL PARTNER indirect 1992-11-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. GENERAL PARTNER indirect 1992-11-01
GAUDIO, JULIUS, RALPH EXECUTIVE COMMITTEE MEMBER 08/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. MANAGING DIRECTOR direct 1999-01-01
D.E. SHAW & CO., LLC MANAGING DIRECTOR direct 2001-02-01
LAMINAR DIRECT CAPITAL GP, INC. MANAGING DIRECTOR direct 2004-03-01
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. direct 1999-01-01
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 1999-01-01
D.E. SHAW DIRECT CAPITAL, L.L.C. MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. direct 1999-01-01
D. E. SHAW DIRECT CAPITAL, L.L.C. MANAGING DIRECTOR direct 2014-09-01
D. E. SHAW DIRECT CAPITAL, L.L.C. MANAGING DIRECTOR direct 2014-10-01
WEPSIC, ERIC, KARL EXECUTIVE COMMITTEE MEMBER 08/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
D E SHAW & CO LP MANAGING DIRECTOR direct 2000-01-01
D.E. SHAW & CO., LLC MANAGING DIRECTOR direct 2001-02-01
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. direct 2000-01-01
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2000-01-01
D.E. SHAW DIRECT CAPITAL, L.L.C. MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. direct 2000-01-01
STONE, MAXIMILIAN, DANA EXECUTIVE COMMITTEE MEMBER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
D E SHAW & CO LP MANAGING DIRECTOR direct 1997-01-01
D.E. SHAW & CO., LLC MANAGING DIRECTOR direct 2005-01-01
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. direct 1997-01-01
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 1997-01-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2017-03-01
D.E. SHAW DIRECT CAPITAL, L.L.C. MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. direct 1997-01-01
ZABACK, CHRISTOPHER, MARTIN CHIEF FINANCIAL OFFICER 08/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR direct 2008-08-01
D.E. SHAW & CO., LLC CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR direct 2008-08-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR direct 2012-07-01
SANDELMAN PARTNERS, LP LIMITED PARTNER, CHIEF FINANCIAL OFFICER AND CO-CHIEF OPERATING OFFICER direct 2005-03-01
SANDELMAN PARTNERS, LP LIMITED PARTNER, CO-CHIEF OPERATING OFFICER direct 2005-03-01
FISHMAN, EDWARD, LAURENCE CHIEF OPERATING OFFICER, EXECUTIVE COMMITTEE MEMBER 10/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. CHIEF OPERATING OFFICER, MANAGING DIRECTOR direct 2010-10-01
THOMAS, NATHAN, CLARK CHIEF COMPLIANCE OFFICER 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2011-06-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2011-06-01
D. E. SHAW DIRECT CAPITAL, L.L.C. CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2011-06-01
TECHNICAL FINANCIAL SERVICES LLC LEGAL/COMPLIANCE OFFICER direct 2001-02-01 2002-05-23
TECHNICAL FINANCIAL SERVICES LLC DIRECTOR OF RESEARCH AND LEGAL AFFAIRS direct 2001-02-01 2003-11-06
D. E. SHAW DIRECT CAPITAL, L.L.C. CHIEF COMPLIANCE OFFICER direct 2011-06-01 2012-07-26
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. CHIEF COMPLIANCE OFFICER direct 2011-06-01 2012-07-26
D. E. SHAW & CO., L.P. CHIEF COMPLIANCE OFFICER direct 2011-06-01 2013-01-31
PLAINTEXT HOLDINGS, LLC LIMITED PARTNER 04/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. LIMITED PARTNER direct 2015-04-01
SWEET, DAVID, MCINTYRE CO-GENERAL COUNSEL 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. CO-GENERAL COUNSEL, MANAGING DIRECTOR direct 2017-01-01
LEBWOHL, MARTIN, NMN CO-GENERAL COUNSEL 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. CO-GENERAL COUNSEL, MANAGING DIRECTOR direct 2017-01-01
DINNING, ANNE, CAROLYN EXECUTIVE COMMITTEE MEMBER 07/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. MANAGING DIRECTOR direct 2002-08-01
D.E. SHAW & CO., LLC MANAGING DIRECTOR direct 2002-08-01
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. direct 2002-02-01
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2002-02-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. CHIEF INVESTMENT OFFICER, MANAGING DIRECTOR direct 2005-06-01
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2005-06-01
D.E. SHAW DIRECT CAPITAL, L.L.C. MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. direct 2002-08-01
SHAW, DAVID, ELLIOT SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT, D. E. SHAW & CO., INC. D. E. SHAW & CO., INC. 11/01/1992 Indirect 75% or more
Fund Name Position direct/indirect start date end date
D. E. SHAW DIRECT CAPITAL, L.L.C. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01
D. E. SHAW & CO., L.P. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT, D. E. SHAW & CO., INC. indirect 1992-11-01
LAMINAR DIRECT CAPITAL GP, INC. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01
D. E. SHAW & CO., L.P. LIMITED PARTNER direct 1992-12-01
D. E. SHAW DIRECT CAPITAL, L.L.C. LIMITED PARTNER indirect 1993-01-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. LIMITED PARTNER indirect 1993-01-01
LAMINAR DIRECT CAPITAL GP, INC. LIMITED PARTNER, CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. indirect 1993-01-01
D.E. SHAW & CO., LLC MEMBER, CHAIRMAN & PRESIDENT OF D. E. SHAW & CO. II, INC. direct 1996-09-01
D.E. SHAW & CO., LLC SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 2001-02-01
D E SHAW & CO LP SOLE STOCKHOLDER, CHAIRMAN & PRESIDENT indirect 1992-11-01 2002-01-02
D E SHAW & CO LP LIMITED PARTNER,CHAIRMAN AND PRESIDENT OF DESCO INC direct 1993-01-01 2002-01-02
D E SHAW & CO LP SOLE STOCKHOLDER, CHAIRMAN & PRESIDENT indirect 1992-11-01 2004-03-30
D E SHAW & CO LP LIMITED PARTNER,CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. direct 1993-01-01 2004-03-30
D.E. SHAW & CO., LLC SOLE STOCKHOLDER, CHAIRMAN & PRESIDENT indirect 2001-02-01 2004-03-30
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. direct 1993-01-01 2005-04-21
LAMINAR DIRECT CAPITAL GP, INC. SOLE STOCKHOLDER, CHAIRMAN AND PRESIDENT indirect 1992-11-01 2005-08-31
LAMINAR DIRECT CAPITAL GP, INC. LIMITED PARTNER,CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. indirect 1993-01-01 2005-08-31
D. E. SHAW & CO., L.P. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01 2013-11-18
D E SHAW & CO LP LIMITED PARTNER, CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. direct 1993-01-01 2013-11-18
D. E. SHAW & CO., L.P. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT, D. E. SHAW & CO., INC. AND LIMITED PARTNER, D. E. SHAW & CO., L.P. indirect 1992-11-01 2015-10-08
D. E. SHAW & CO., L.P. LIMITED PARTNER direct 1993-01-01 2015-10-08
BIG HEN GROUP I, LLC SOLE MEMBER, PLAINTEXT HOLDINGS, LLC PLAINTEXT HOLDINGS, LLC 12/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. SOLE MEMBER, PLAINTEXT HOLDINGS, LLC indirect 2014-12-01
THE SCHMIDT FAMILY LIVING TRUST MEMBER, BIG HEN GROUP I, LLC BIG HEN GROUP I, LLC 10/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. MEMBER, BIG HEN GROUP I, LLC indirect 2004-10-01
SCHMIDT, ERIC, EMERSON TRUSTEE, THE SCHMIDT FAMILY LIVING TRUST THE SCHMIDT FAMILY LIVING TRUST 01/01/1987 Indirect Other
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. TRUSTEE, THE SCHMIDT FAMILY LIVING TRUST indirect 1987-01-01
SCHMIDT, WENDY, BOYLE TRUSTEE, THE SCHMIDT FAMILY LIVING TRUST THE SCHMIDT FAMILY LIVING TRUST 01/01/1987 Indirect Other
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. TRUSTEE, THE SCHMIDT FAMILY LIVING TRUST indirect 1987-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
D. E. SHAW DIRECT CAPITAL PORTFOLIOS, L.L.C. United States 805-3481875279 Hedge Fund 10,343,509 1,000,000 Master Fund
RENEWABLE ENERGY ASSETCO II, L.L.C. United States 805-3484281200 Private Equity Fund 100,124,566 125,000
RENEWABLE ENERGY HOLDCO, L.L.C. United States 805-7707495923 Private Equity Fund 16,520,374 125,000
DESRI IV, L.L.C. United States 805-6053838054 Private Equity Fund 122,303,025 250,000
DESRI V, L.L.C. United States 805-4156359015 Private Equity Fund 48,061,328 250,000
D. E. SHAW TERRELLA FUND, L.P. Cayman Islands 805-7657170835 Hedge Fund 2,069 1,000,000
DESRI II, L.L.C. United States 805-8534156947 Private Equity Fund 39,458,356 100,000
D. E. SHAW ASYMPTOTE PORTFOLIOS, L.L.C. United States 805-6240797695 Hedge Fund 140,432,716 1,000,000 Master Fund
D. E. SHAW RENEWABLE INVESTMENTS POWER COUNTY, L.L.C. United States 805-1363788371 Private Equity Fund 26,885,897 100,000
D. E. SHAW COMPOSITE PORTFOLIOS, L.L.C. United States 805-6926572168 Hedge Fund 35,750,975,763 1,000,000 Master Fund
D. E. SHAW OCULUS PORTFOLIOS, L.L.C. United States 805-9678869862 Hedge Fund 23,655,944,883 1,000,000 Master Fund
RENEWABLE ENERGY ASSETCO, L.L.C. United States 805-1695761208 Private Equity Fund 170,877,186 125,000
D. E. SHAW MULTI-ASSET PORTFOLIOS, L.L.C. United States 805-3232297563 Hedge Fund 2,210,971,777 1,000,000 Master Fund
D. E. SHAW ALKALI PORTFOLIOS II, L.L.C. United States 805-3031545284 Hedge Fund 132,696,735 1,000,000 Master Fund
DESRI VI, L.L.C. United States 805-3139569976 Private Equity Fund 69,079,409 250,000
D. E. SHAW VALENCE PORTFOLIOS, L.L.C. United States 805-4712338271 Hedge Fund 13,659,049,411 1,000,000 Master Fund
DESALKIV PORTFOLIOS, L.L.C. United States 805-4607439220 Hedge Fund 403,008,328 1,000,000 Master Fund
DESRI VII, L.L.C. United States 805-6292787851 Private Equity Fund 10,095,548 0
RENEWABLE ENERGY HOLDCO II, L.L.C. United States 805-1553129112 Private Equity Fund 32,778,037 125,000
D. E. SHAW ALKALI PORTFOLIOS III, L.L.C. United States 805-1200207843 Hedge Fund 553,686,955 1,000,000 Master Fund

D. E. SHAW & CO., L.P.

ownership team - last updated 2018-11-09
Name Title Start Date Direct/Indirect % Ownership
SHAW, DAVID, ELLIOT LIMITED PARTNER 12/01/1992 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
D. E. SHAW DIRECT CAPITAL, L.L.C. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01
D. E. SHAW & CO., L.P. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT, D. E. SHAW & CO., INC. indirect 1992-11-01
LAMINAR DIRECT CAPITAL GP, INC. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01
D. E. SHAW & CO., L.P. LIMITED PARTNER direct 1992-12-01
D. E. SHAW DIRECT CAPITAL, L.L.C. LIMITED PARTNER indirect 1993-01-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. LIMITED PARTNER indirect 1993-01-01
LAMINAR DIRECT CAPITAL GP, INC. LIMITED PARTNER, CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. indirect 1993-01-01
D.E. SHAW & CO., LLC MEMBER, CHAIRMAN & PRESIDENT OF D. E. SHAW & CO. II, INC. direct 1996-09-01
D.E. SHAW & CO., LLC SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 2001-02-01
D E SHAW & CO LP SOLE STOCKHOLDER, CHAIRMAN & PRESIDENT indirect 1992-11-01 2002-01-02
D E SHAW & CO LP LIMITED PARTNER,CHAIRMAN AND PRESIDENT OF DESCO INC direct 1993-01-01 2002-01-02
D E SHAW & CO LP SOLE STOCKHOLDER, CHAIRMAN & PRESIDENT indirect 1992-11-01 2004-03-30
D E SHAW & CO LP LIMITED PARTNER,CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. direct 1993-01-01 2004-03-30
D.E. SHAW & CO., LLC SOLE STOCKHOLDER, CHAIRMAN & PRESIDENT indirect 2001-02-01 2004-03-30
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. direct 1993-01-01 2005-04-21
LAMINAR DIRECT CAPITAL GP, INC. SOLE STOCKHOLDER, CHAIRMAN AND PRESIDENT indirect 1992-11-01 2005-08-31
LAMINAR DIRECT CAPITAL GP, INC. LIMITED PARTNER,CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. indirect 1993-01-01 2005-08-31
D. E. SHAW & CO., L.P. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01 2013-11-18
D E SHAW & CO LP LIMITED PARTNER, CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. direct 1993-01-01 2013-11-18
D. E. SHAW & CO., L.P. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT, D. E. SHAW & CO., INC. AND LIMITED PARTNER, D. E. SHAW & CO., L.P. indirect 1992-11-01 2015-10-08
D. E. SHAW & CO., L.P. LIMITED PARTNER direct 1993-01-01 2015-10-08
D. E. SHAW & CO., INC. GENERAL PARTNER 11/01/1992 Direct less than 5%
Fund Name Position direct/indirect start date end date
D E SHAW & CO LP GENERAL PARTNER direct 1992-11-01
D.E. SHAW DIRECT CAPITAL, L.L.C. GENERAL PARTNER indirect 1992-11-01
LAMINAR DIRECT CAPITAL GP, INC. GENERAL PARTNER indirect 1992-11-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. GENERAL PARTNER indirect 1992-11-01
GAUDIO, JULIUS, RALPH MANAGING DIRECTOR 01/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. MANAGING DIRECTOR direct 1999-01-01
D.E. SHAW & CO., LLC MANAGING DIRECTOR direct 2001-02-01
LAMINAR DIRECT CAPITAL GP, INC. MANAGING DIRECTOR direct 2004-03-01
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. direct 1999-01-01
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 1999-01-01
D.E. SHAW DIRECT CAPITAL, L.L.C. MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. direct 1999-01-01
D. E. SHAW DIRECT CAPITAL, L.L.C. MANAGING DIRECTOR direct 2014-09-01
D. E. SHAW DIRECT CAPITAL, L.L.C. MANAGING DIRECTOR direct 2014-10-01
WEPSIC, ERIC, KARL MANAGING DIRECTOR 01/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
D E SHAW & CO LP MANAGING DIRECTOR direct 2000-01-01
D.E. SHAW & CO., LLC MANAGING DIRECTOR direct 2001-02-01
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. direct 2000-01-01
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2000-01-01
D.E. SHAW DIRECT CAPITAL, L.L.C. MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. direct 2000-01-01
STONE, MAXIMILIAN, DANA MANAGING DIRECTOR 01/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
D E SHAW & CO LP MANAGING DIRECTOR direct 1997-01-01
D.E. SHAW & CO., LLC MANAGING DIRECTOR direct 2005-01-01
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. direct 1997-01-01
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 1997-01-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2017-03-01
D.E. SHAW DIRECT CAPITAL, L.L.C. MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. direct 1997-01-01
ZABACK, CHRISTOPHER, MARTIN CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR 08/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR direct 2008-08-01
D.E. SHAW & CO., LLC CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR direct 2008-08-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR direct 2012-07-01
SANDELMAN PARTNERS, LP LIMITED PARTNER, CHIEF FINANCIAL OFFICER AND CO-CHIEF OPERATING OFFICER direct 2005-03-01
SANDELMAN PARTNERS, LP LIMITED PARTNER, CO-CHIEF OPERATING OFFICER direct 2005-03-01
FISHMAN, EDWARD, LAURENCE CHIEF OPERATING OFFICER, MANAGING DIRECTOR 10/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. CHIEF OPERATING OFFICER, MANAGING DIRECTOR direct 2010-10-01
THOMAS, NATHAN, CLARK CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2011-06-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2011-06-01
D. E. SHAW DIRECT CAPITAL, L.L.C. CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2011-06-01
TECHNICAL FINANCIAL SERVICES LLC LEGAL/COMPLIANCE OFFICER direct 2001-02-01 2002-05-23
TECHNICAL FINANCIAL SERVICES LLC DIRECTOR OF RESEARCH AND LEGAL AFFAIRS direct 2001-02-01 2003-11-06
D. E. SHAW DIRECT CAPITAL, L.L.C. CHIEF COMPLIANCE OFFICER direct 2011-06-01 2012-07-26
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. CHIEF COMPLIANCE OFFICER direct 2011-06-01 2012-07-26
D. E. SHAW & CO., L.P. CHIEF COMPLIANCE OFFICER direct 2011-06-01 2013-01-31
PLAINTEXT HOLDINGS, LLC LIMITED PARTNER 04/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. LIMITED PARTNER direct 2015-04-01
SWEET, DAVID, MCINTYRE CO-GENERAL COUNSEL, MANAGING DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. CO-GENERAL COUNSEL, MANAGING DIRECTOR direct 2017-01-01
LEBWOHL, MARTIN, NMN CO-GENERAL COUNSEL, MANAGING DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. CO-GENERAL COUNSEL, MANAGING DIRECTOR direct 2017-01-01
SHAW, DAVID, ELLIOT SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT, D. E. SHAW & CO., INC. D. E. SHAW & CO., INC. 11/01/1992 Indirect 75% or more
Fund Name Position direct/indirect start date end date
D. E. SHAW DIRECT CAPITAL, L.L.C. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01
D. E. SHAW & CO., L.P. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT, D. E. SHAW & CO., INC. indirect 1992-11-01
LAMINAR DIRECT CAPITAL GP, INC. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01
D. E. SHAW & CO., L.P. LIMITED PARTNER direct 1992-12-01
D. E. SHAW DIRECT CAPITAL, L.L.C. LIMITED PARTNER indirect 1993-01-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. LIMITED PARTNER indirect 1993-01-01
LAMINAR DIRECT CAPITAL GP, INC. LIMITED PARTNER, CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. indirect 1993-01-01
D.E. SHAW & CO., LLC MEMBER, CHAIRMAN & PRESIDENT OF D. E. SHAW & CO. II, INC. direct 1996-09-01
D.E. SHAW & CO., LLC SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 2001-02-01
D E SHAW & CO LP SOLE STOCKHOLDER, CHAIRMAN & PRESIDENT indirect 1992-11-01 2002-01-02
D E SHAW & CO LP LIMITED PARTNER,CHAIRMAN AND PRESIDENT OF DESCO INC direct 1993-01-01 2002-01-02
D E SHAW & CO LP SOLE STOCKHOLDER, CHAIRMAN & PRESIDENT indirect 1992-11-01 2004-03-30
D E SHAW & CO LP LIMITED PARTNER,CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. direct 1993-01-01 2004-03-30
D.E. SHAW & CO., LLC SOLE STOCKHOLDER, CHAIRMAN & PRESIDENT indirect 2001-02-01 2004-03-30
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. direct 1993-01-01 2005-04-21
LAMINAR DIRECT CAPITAL GP, INC. SOLE STOCKHOLDER, CHAIRMAN AND PRESIDENT indirect 1992-11-01 2005-08-31
LAMINAR DIRECT CAPITAL GP, INC. LIMITED PARTNER,CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. indirect 1993-01-01 2005-08-31
D. E. SHAW & CO., L.P. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01 2013-11-18
D E SHAW & CO LP LIMITED PARTNER, CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. direct 1993-01-01 2013-11-18
D. E. SHAW & CO., L.P. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT, D. E. SHAW & CO., INC. AND LIMITED PARTNER, D. E. SHAW & CO., L.P. indirect 1992-11-01 2015-10-08
D. E. SHAW & CO., L.P. LIMITED PARTNER direct 1993-01-01 2015-10-08
BIG HEN GROUP I, LLC SOLE MEMBER, PLAINTEXT HOLDINGS, LLC PLAINTEXT HOLDINGS, LLC 12/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. SOLE MEMBER, PLAINTEXT HOLDINGS, LLC indirect 2014-12-01
THE SCHMIDT FAMILY LIVING TRUST MEMBER, BIG HEN GROUP I, LLC BIG HEN GROUP I, LLC 10/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. MEMBER, BIG HEN GROUP I, LLC indirect 2004-10-01
SCHMIDT, ERIC, EMERSON TRUSTEE, THE SCHMIDT FAMILY LIVING TRUST THE SCHMIDT FAMILY LIVING TRUST 01/01/1987 Indirect Other
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. TRUSTEE, THE SCHMIDT FAMILY LIVING TRUST indirect 1987-01-01
SCHMIDT, WENDY, BOYLE TRUSTEE, THE SCHMIDT FAMILY LIVING TRUST THE SCHMIDT FAMILY LIVING TRUST 01/01/1987 Indirect Other
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. TRUSTEE, THE SCHMIDT FAMILY LIVING TRUST indirect 1987-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
RENEWABLE ENERGY ASSETCO II, L.L.C. United States 805-3484281200 Private Equity Fund 58,546,771 0
RENEWABLE ENERGY HOLDCO, L.L.C. United States 805-7707495923 Private Equity Fund 19,481,701 125,000
DESRI IV, L.L.C. United States 805-6053838054 Private Equity Fund 116,382,716 250,000
DESRI V, L.L.C. United States 805-4156359015 Private Equity Fund 61,916,632 250,000
D. E. SHAW TERRELLA FUND, L.P. Bermuda 805-7657170835 Hedge Fund 2,069 1,000,000
DESRI II, L.L.C. United States 805-8534156947 Private Equity Fund 41,042,143 100,000
D. E. SHAW ASYMPTOTE PORTFOLIOS, L.L.C. United States 805-6240797695 Hedge Fund 133,760,902 1,000,000 Master Fund
D. E. SHAW RENEWABLE INVESTMENTS POWER COUNTY, L.L.C. United States 805-1363788371 Private Equity Fund 32,920,312 100,000
D. E. SHAW COMPOSITE PORTFOLIOS, L.L.C. United States 805-6926572168 Hedge Fund 34,176,145,813 1,000,000 Master Fund
D. E. SHAW OCULUS PORTFOLIOS, L.L.C. United States 805-9678869862 Hedge Fund 25,707,749,548 1,000,000 Master Fund
D. E. SHAW PLASMA PORTFOLIOS, L.L.C. United States 805-2978622275 Hedge Fund 0 1,000,000
RENEWABLE ENERGY ASSETCO, L.L.C. United States 805-1695761208 Private Equity Fund 199,045,519 125,000
D. E. SHAW ALKALI PORTFOLIOS, L.L.C. United States 805-5881185746 Hedge Fund 268,208 1,000,000 Master Fund
D. E. SHAW MULTI-ASSET PORTFOLIOS, L.L.C. United States 805-3232297563 Hedge Fund 2,533,168,667 1,000,000 Master Fund
D. E. SHAW ALKALI PORTFOLIOS II, L.L.C. United States 805-3031545284 Hedge Fund 217,187,355 1,000,000 Master Fund
DESRI VI, L.L.C. United States 805-3139569976 Private Equity Fund 94,152,133 250,000
D. E. SHAW VALENCE PORTFOLIOS, L.L.C. United States 805-4712338271 Hedge Fund 16,207,837,504 1,000,000 Master Fund
DESALKIV PORTFOLIOS, L.L.C. United States 805-4607439220 Hedge Fund 0 1,000,000 Master Fund
DESRI VII, L.L.C. United States 805-6292787851 Private Equity Fund 10,521,915 0
RENEWABLE ENERGY HOLDCO II, L.L.C. United States 805-1553129112 Private Equity Fund 19,170,182 0
D. E. SHAW ALKALI PORTFOLIOS III, L.L.C. United States 805-1200207843 Hedge Fund 556,132,169 1,000,000 Master Fund

D. E. SHAW & CO., L.P.

ownership team - last updated 2018-05-30
Name Title Start Date Direct/Indirect % Ownership
STONE, MAXIMILIAN, DANA MANAGING DIRECTOR 01/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
D E SHAW & CO LP MANAGING DIRECTOR direct 1997-01-01
D.E. SHAW & CO., LLC MANAGING DIRECTOR direct 2005-01-01
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. direct 1997-01-01
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 1997-01-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2017-03-01
D.E. SHAW DIRECT CAPITAL, L.L.C. MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. direct 1997-01-01
SHAW, DAVID, ELLIOT LIMITED PARTNER 12/01/1992 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
D. E. SHAW DIRECT CAPITAL, L.L.C. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01
D. E. SHAW & CO., L.P. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT, D. E. SHAW & CO., INC. indirect 1992-11-01
LAMINAR DIRECT CAPITAL GP, INC. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01
D. E. SHAW & CO., L.P. LIMITED PARTNER direct 1992-12-01
D. E. SHAW DIRECT CAPITAL, L.L.C. LIMITED PARTNER indirect 1993-01-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. LIMITED PARTNER indirect 1993-01-01
LAMINAR DIRECT CAPITAL GP, INC. LIMITED PARTNER, CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. indirect 1993-01-01
D.E. SHAW & CO., LLC MEMBER, CHAIRMAN & PRESIDENT OF D. E. SHAW & CO. II, INC. direct 1996-09-01
D.E. SHAW & CO., LLC SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 2001-02-01
D E SHAW & CO LP SOLE STOCKHOLDER, CHAIRMAN & PRESIDENT indirect 1992-11-01 2002-01-02
D E SHAW & CO LP LIMITED PARTNER,CHAIRMAN AND PRESIDENT OF DESCO INC direct 1993-01-01 2002-01-02
D E SHAW & CO LP SOLE STOCKHOLDER, CHAIRMAN & PRESIDENT indirect 1992-11-01 2004-03-30
D E SHAW & CO LP LIMITED PARTNER,CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. direct 1993-01-01 2004-03-30
D.E. SHAW & CO., LLC SOLE STOCKHOLDER, CHAIRMAN & PRESIDENT indirect 2001-02-01 2004-03-30
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. direct 1993-01-01 2005-04-21
LAMINAR DIRECT CAPITAL GP, INC. SOLE STOCKHOLDER, CHAIRMAN AND PRESIDENT indirect 1992-11-01 2005-08-31
LAMINAR DIRECT CAPITAL GP, INC. LIMITED PARTNER,CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. indirect 1993-01-01 2005-08-31
D. E. SHAW & CO., L.P. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01 2013-11-18
D E SHAW & CO LP LIMITED PARTNER, CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. direct 1993-01-01 2013-11-18
D. E. SHAW & CO., L.P. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT, D. E. SHAW & CO., INC. AND LIMITED PARTNER, D. E. SHAW & CO., L.P. indirect 1992-11-01 2015-10-08
D. E. SHAW & CO., L.P. LIMITED PARTNER direct 1993-01-01 2015-10-08
D. E. SHAW & CO., INC. GENERAL PARTNER 11/01/1992 Direct less than 5%
Fund Name Position direct/indirect start date end date
D E SHAW & CO LP GENERAL PARTNER direct 1992-11-01
D.E. SHAW DIRECT CAPITAL, L.L.C. GENERAL PARTNER indirect 1992-11-01
LAMINAR DIRECT CAPITAL GP, INC. GENERAL PARTNER indirect 1992-11-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. GENERAL PARTNER indirect 1992-11-01
GAUDIO, JULIUS, RALPH MANAGING DIRECTOR 01/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. MANAGING DIRECTOR direct 1999-01-01
D.E. SHAW & CO., LLC MANAGING DIRECTOR direct 2001-02-01
LAMINAR DIRECT CAPITAL GP, INC. MANAGING DIRECTOR direct 2004-03-01
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. direct 1999-01-01
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 1999-01-01
D.E. SHAW DIRECT CAPITAL, L.L.C. MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. direct 1999-01-01
D. E. SHAW DIRECT CAPITAL, L.L.C. MANAGING DIRECTOR direct 2014-09-01
D. E. SHAW DIRECT CAPITAL, L.L.C. MANAGING DIRECTOR direct 2014-10-01
WEPSIC, ERIC, KARL MANAGING DIRECTOR 01/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
D E SHAW & CO LP MANAGING DIRECTOR direct 2000-01-01
D.E. SHAW & CO., LLC MANAGING DIRECTOR direct 2001-02-01
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. direct 2000-01-01
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. MANAGING DIRECTOR direct 2000-01-01
D.E. SHAW DIRECT CAPITAL, L.L.C. MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. direct 2000-01-01
ZABACK, CHRISTOPHER, MARTIN CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR 08/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR direct 2008-08-01
D.E. SHAW & CO., LLC CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR direct 2008-08-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR direct 2012-07-01
SANDELMAN PARTNERS, LP LIMITED PARTNER, CHIEF FINANCIAL OFFICER AND CO-CHIEF OPERATING OFFICER direct 2005-03-01
SANDELMAN PARTNERS, LP LIMITED PARTNER, CO-CHIEF OPERATING OFFICER direct 2005-03-01
FISHMAN, EDWARD, LAURENCE CHIEF OPERATING OFFICER, MANAGING DIRECTOR 10/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. CHIEF OPERATING OFFICER, MANAGING DIRECTOR direct 2010-10-01
THOMAS, NATHAN, CLARK CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2011-06-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2011-06-01
D. E. SHAW DIRECT CAPITAL, L.L.C. CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2011-06-01
TECHNICAL FINANCIAL SERVICES LLC LEGAL/COMPLIANCE OFFICER direct 2001-02-01 2002-05-23
TECHNICAL FINANCIAL SERVICES LLC DIRECTOR OF RESEARCH AND LEGAL AFFAIRS direct 2001-02-01 2003-11-06
D. E. SHAW DIRECT CAPITAL, L.L.C. CHIEF COMPLIANCE OFFICER direct 2011-06-01 2012-07-26
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. CHIEF COMPLIANCE OFFICER direct 2011-06-01 2012-07-26
D. E. SHAW & CO., L.P. CHIEF COMPLIANCE OFFICER direct 2011-06-01 2013-01-31
PLAINTEXT HOLDINGS, LLC LIMITED PARTNER 04/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. LIMITED PARTNER direct 2015-04-01
SWEET, DAVID, MCINTYRE CO-GENERAL COUNSEL, MANAGING DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. CO-GENERAL COUNSEL, MANAGING DIRECTOR direct 2017-01-01
LEBWOHL, MARTIN, NMN CO-GENERAL COUNSEL, MANAGING DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. CO-GENERAL COUNSEL, MANAGING DIRECTOR direct 2017-01-01
SHAW, DAVID, ELLIOT SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT, D. E. SHAW & CO., INC. D. E. SHAW & CO., INC. 11/01/1992 Indirect 75% or more
Fund Name Position direct/indirect start date end date
D. E. SHAW DIRECT CAPITAL, L.L.C. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01
D. E. SHAW & CO., L.P. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT, D. E. SHAW & CO., INC. indirect 1992-11-01
LAMINAR DIRECT CAPITAL GP, INC. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01
D. E. SHAW & CO., L.P. LIMITED PARTNER direct 1992-12-01
D. E. SHAW DIRECT CAPITAL, L.L.C. LIMITED PARTNER indirect 1993-01-01
D. E. SHAW INVESTMENT MANAGEMENT, L.L.C. LIMITED PARTNER indirect 1993-01-01
LAMINAR DIRECT CAPITAL GP, INC. LIMITED PARTNER, CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. indirect 1993-01-01
D.E. SHAW & CO., LLC MEMBER, CHAIRMAN & PRESIDENT OF D. E. SHAW & CO. II, INC. direct 1996-09-01
D.E. SHAW & CO., LLC SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 2001-02-01
D E SHAW & CO LP SOLE STOCKHOLDER, CHAIRMAN & PRESIDENT indirect 1992-11-01 2002-01-02
D E SHAW & CO LP LIMITED PARTNER,CHAIRMAN AND PRESIDENT OF DESCO INC direct 1993-01-01 2002-01-02
D E SHAW & CO LP SOLE STOCKHOLDER, CHAIRMAN & PRESIDENT indirect 1992-11-01 2004-03-30
D E SHAW & CO LP LIMITED PARTNER,CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. direct 1993-01-01 2004-03-30
D.E. SHAW & CO., LLC SOLE STOCKHOLDER, CHAIRMAN & PRESIDENT indirect 2001-02-01 2004-03-30
D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. direct 1993-01-01 2005-04-21
LAMINAR DIRECT CAPITAL GP, INC. SOLE STOCKHOLDER, CHAIRMAN AND PRESIDENT indirect 1992-11-01 2005-08-31
LAMINAR DIRECT CAPITAL GP, INC. LIMITED PARTNER,CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. indirect 1993-01-01 2005-08-31
D. E. SHAW & CO., L.P. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT indirect 1992-11-01 2013-11-18
D E SHAW & CO LP LIMITED PARTNER, CHAIRMAN AND PRESIDENT OF D. E. SHAW & CO., INC. direct 1993-01-01 2013-11-18
D. E. SHAW & CO., L.P. SOLE STOCKHOLDER, CHAIRMAN, AND PRESIDENT, D. E. SHAW & CO., INC. AND LIMITED PARTNER, D. E. SHAW & CO., L.P. indirect 1992-11-01 2015-10-08
D. E. SHAW & CO., L.P. LIMITED PARTNER direct 1993-01-01 2015-10-08
BIG HEN GROUP I, LLC SOLE MEMBER, PLAINTEXT HOLDINGS, LLC PLAINTEXT HOLDINGS, LLC 12/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. SOLE MEMBER, PLAINTEXT HOLDINGS, LLC indirect 2014-12-01
THE SCHMIDT FAMILY LIVING TRUST MEMBER, BIG HEN GROUP I, LLC BIG HEN GROUP I, LLC 10/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. MEMBER, BIG HEN GROUP I, LLC indirect 2004-10-01
SCHMIDT, ERIC, EMERSON TRUSTEE, THE SCHMIDT FAMILY LIVING TRUST THE SCHMIDT FAMILY LIVING TRUST 01/01/1987 Indirect Other
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. TRUSTEE, THE SCHMIDT FAMILY LIVING TRUST indirect 1987-01-01
SCHMIDT, WENDY, BOYLE TRUSTEE, THE SCHMIDT FAMILY LIVING TRUST THE SCHMIDT FAMILY LIVING TRUST 01/01/1987 Indirect Other
Fund Name Position direct/indirect start date end date
D. E. SHAW & CO., L.P. TRUSTEE, THE SCHMIDT FAMILY LIVING TRUST indirect 1987-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
RENEWABLE ENERGY ASSETCO II, L.L.C. United States 805-3484281200 Private Equity Fund 58,546,771 0
RENEWABLE ENERGY HOLDCO, L.L.C. United States 805-7707495923 Private Equity Fund 19,481,701 125,000
DESRI IV, L.L.C. United States 805-6053838054 Private Equity Fund 116,382,716 250,000
DESRI V, L.L.C. United States 805-4156359015 Private Equity Fund 61,916,632 250,000
D. E. SHAW TERRELLA FUND, L.P. Bermuda 805-7657170835 Hedge Fund 2,069 1,000,000
DESRI II, L.L.C. United States 805-8534156947 Private Equity Fund 41,042,143 100,000
D. E. SHAW ASYMPTOTE PORTFOLIOS, L.L.C. United States 805-6240797695 Hedge Fund 133,760,902 1,000,000 Master Fund
D. E. SHAW RENEWABLE INVESTMENTS POWER COUNTY, L.L.C. United States 805-1363788371 Private Equity Fund 32,920,312 100,000
D. E. SHAW COMPOSITE PORTFOLIOS, L.L.C. United States 805-6926572168 Hedge Fund 34,176,145,813 1,000,000 Master Fund
D. E. SHAW OCULUS PORTFOLIOS, L.L.C. United States 805-9678869862 Hedge Fund 25,707,749,548 1,000,000 Master Fund
D. E. SHAW PLASMA PORTFOLIOS, L.L.C. United States 805-2978622275 Hedge Fund 0 1,000,000
RENEWABLE ENERGY ASSETCO, L.L.C. United States 805-1695761208 Private Equity Fund 199,045,519 125,000
D. E. SHAW ALKALI PORTFOLIOS, L.L.C. United States 805-5881185746 Hedge Fund 268,208 1,000,000 Master Fund
D. E. SHAW MULTI-ASSET PORTFOLIOS, L.L.C. United States 805-3232297563 Hedge Fund 2,533,168,667 1,000,000 Master Fund
D. E. SHAW ALKALI PORTFOLIOS II, L.L.C. United States 805-3031545284 Hedge Fund 217,187,355 1,000,000 Master Fund
DESRI VI, L.L.C. United States 805-3139569976 Private Equity Fund 94,152,133 250,000
D. E. SHAW VALENCE PORTFOLIOS, L.L.C. United States 805-4712338271 Hedge Fund 16,207,837,504 1,000,000 Master Fund
D. E. SHAW ALKALI PORTFOLIOS III, L.L.C. United States 805-1200207843 Hedge Fund 556,132,169 1,000,000 Master Fund
DESALKIV PORTFOLIOS, L.L.C. United States 805-4607439220 Hedge Fund 0 1,000,000 Master Fund
DESRI VII, L.L.C. United States 805-6292787851 Private Equity Fund 10,521,915 0
RENEWABLE ENERGY HOLDCO II, L.L.C. United States 805-1553129112 Private Equity Fund 19,170,182 0

**EXPERIMENTAL** Current International Short Positions

Get more info on our International short position coverage here

Holder Issuer Net Short Position Position Date Origin
D. E. Shaw & Co. LP MICRO FOCUS INTERNATIONAL 0.62% 2019-09-12 UK
D. E. Shaw & Co. LP TUI AG 0.62% 2019-07-29 UK
D. E. Shaw & Co. LP VITEC GROUP PLC (THE) 0.79% 2019-07-04 UK

Short Position History (last 100)

Holder Net Short Position Position Date Origin
D. E. Shaw & Co. LP AA PLC 0.49% 2015-05-05 UK
D. E. Shaw & Co. LP AA PLC 0.56% 2015-03-20 UK
D. E. Shaw & Co. (Asia Pacific) Limited ALPS ELECTRIC CO.,LTD. 0.48% 2015-09-11 Japan
D. E. Shaw & Co. (Asia Pacific) Limited ALPS ELECTRIC CO.,LTD. 0.48% 2015-08-28 Japan
D. E. Shaw & Co. LP ARM HOLDINGS PLC 0.49% 2013-12-12 UK
D. E. Shaw & Co. LP ARM HOLDINGS PLC 0.5% 2013-11-22 UK
D. E. Shaw & Co. LP ASOS PLC 0.49% 2013-06-14 UK
D. E. Shaw & Co. LP ASOS PLC 0.5% 2013-03-20 UK
D.E. Shaw & Co. (London), LLP CANCOM SE 0.61% 2014-05-30 GERMANY
D. E. Shaw & Co. LP CARNIVAL PLC 0.49% 2013-03-18 UK
D. E. Shaw & Co. LP CARNIVAL PLC 0.5% 2013-02-27 UK
D.E. SHAW & CO., L.P. CARREFOUR 0.39% 2015-11-18 FRANCE
D.E. SHAW & CO., L.P. CARREFOUR 0.53% 2015-11-17 FRANCE
D.E. SHAW & CO., L.P. CARREFOUR 0.49% 2015-11-13 FRANCE
D.E. SHAW & CO., L.P. CARREFOUR 0.54% 2015-10-22 FRANCE
D.E. SHAW & CO., L.P. CARREFOUR 0.54% 2015-10-22 FRANCE
D.E. SHAW & CO., L.P. CARREFOUR 0.48% 2015-10-19 FRANCE
D.E. SHAW & CO., L.P. CARREFOUR 0.5% 2015-10-16 FRANCE
D.E. SHAW & CO., L.P. CARREFOUR 0.48% 2015-10-12 FRANCE
D.E. SHAW & CO., L.P. CARREFOUR 0.5% 2015-10-07 FRANCE
D.E. SHAW & CO., L.P. CARREFOUR 0.5% 2015-08-27 FRANCE
D. E. Shaw & Co. LP CENTAMIN PLC 0.5% 2017-01-27 UK
D. E. Shaw & Co. LP CENTAMIN PLC 0.5% 2017-01-19 UK
D. E. Shaw & Co. LP CENTAMIN PLC 0.5% 2017-01-11 UK
D. E. Shaw & Co. LP CENTAMIN PLC 0.5% 2016-11-18 UK
D. E. Shaw & Co. (Asia Pacific) Limited COSMO ENERGY HOLDINGS COMPANY,LIMITED 0.47000000000000003% 2019-08-02 Japan
D. E. Shaw & Co. (Asia Pacific) Limited COSMO ENERGY HOLDINGS COMPANY,LIMITED 0.51% 2019-06-26 Japan
D. E. Shaw & Co. (Asia Pacific) Limited COSMO ENERGY HOLDINGS COMPANY,LIMITED 0.47000000000000003% 2019-05-24 Japan
D. E. Shaw & Co. LP CYBG PLC 0.69% 2016-09-21 UK
D. E. Shaw & Co. LP CYBG PLC 0.7% 2016-07-25 UK
D. E. Shaw & Co., L.P. CYBG PLC 0.7% 2016-07-25 UK
D. E. Shaw & Co. LP CYBG PLC 0.62% 2016-07-11 UK
D. E. Shaw & Co., L.P. CYBG PLC 0.62% 2016-07-11 UK
D. E. Shaw & Co. LP CYBG PLC 0.5% 2016-07-05 UK
D. E. Shaw & Co., L.P. CYBG PLC 0.5% 2016-07-05 UK
D.E. Shaw & Co. (London), LLP Drägerwerk AG & Co. KGaA 1.0% 2014-07-24 GERMANY
D. E. Shaw & Co. (U.K.), Ltd. Drägerwerk AG & Co. KGaA 0.97% 2012-11-02 GERMANY
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.55% 2016-11-04 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.61% 2016-11-02 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.77% 2016-10-27 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.8% 2016-10-26 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.78% 2016-10-20 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.81% 2016-10-11 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.74% 2016-10-07 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.57% 2016-10-05 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.69% 2016-09-30 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.72% 2016-09-26 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.65% 2016-09-23 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.78% 2016-09-21 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.82% 2016-09-20 UK
D. E. Shaw & Co., L.P. GW PHARMACEUTICALS PLC 0.99% 2016-09-16 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.99% 2016-09-16 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 1.04% 2016-09-13 UK
D. E. Shaw & Co., L.P. GW PHARMACEUTICALS PLC 1.04% 2016-09-13 UK
D. E. Shaw & Co., L.P. GW PHARMACEUTICALS PLC 1.12% 2016-09-12 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 1.12% 2016-09-12 UK
D. E. Shaw & Co., L.P. GW PHARMACEUTICALS PLC 1.24% 2016-09-09 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 1.24% 2016-09-09 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 1.46% 2016-09-08 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 1.68% 2016-09-07 UK
D. E. Shaw & Co., L.P. GW PHARMACEUTICALS PLC 1.31% 2016-09-05 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 1.31% 2016-09-05 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 1.31% 2016-09-02 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 1.22% 2016-08-31 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 1.11% 2016-08-25 UK
D. E. Shaw & Co., L.P. GW PHARMACEUTICALS PLC 1.11% 2016-08-25 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 1.07% 2016-08-24 UK
D. E. Shaw & Co., L.P. GW PHARMACEUTICALS PLC 1.07% 2016-08-24 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 1.1% 2016-08-23 UK
D. E. Shaw & Co., L.P. GW PHARMACEUTICALS PLC 1.1% 2016-08-23 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 1.04% 2016-08-18 UK
D. E. Shaw & Co., L.P. GW PHARMACEUTICALS PLC 1.04% 2016-08-18 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.9% 2016-08-16 UK
D. E. Shaw & Co., L.P. GW PHARMACEUTICALS PLC 0.9% 2016-08-16 UK
D. E. Shaw & Co., L.P. GW PHARMACEUTICALS PLC 1.03% 2016-08-15 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 1.03% 2016-08-15 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 1.15% 2016-08-09 UK
D. E. Shaw & Co., L.P. GW PHARMACEUTICALS PLC 1.15% 2016-08-09 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 1.24% 2016-08-05 UK
D. E. Shaw & Co., L.P. GW PHARMACEUTICALS PLC 1.24% 2016-08-05 UK
D. E. Shaw & Co., L.P. GW PHARMACEUTICALS PLC 1.31% 2016-07-29 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 1.31% 2016-07-29 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 1.2% 2016-07-22 UK
D. E. Shaw & Co., L.P. GW PHARMACEUTICALS PLC 1.2% 2016-07-22 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 1.15% 2016-07-19 UK
D. E. Shaw & Co., L.P. GW PHARMACEUTICALS PLC 1.15% 2016-07-19 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 1.35% 2016-07-15 UK
D. E. Shaw & Co., L.P. GW PHARMACEUTICALS PLC 1.35% 2016-07-15 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 1.25% 2016-07-13 UK
D. E. Shaw & Co., L.P. GW PHARMACEUTICALS PLC 1.25% 2016-07-13 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.97% 2016-07-11 UK
D. E. Shaw & Co., L.P. GW PHARMACEUTICALS PLC 0.97% 2016-07-11 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.8% 2016-07-05 UK
D. E. Shaw & Co., L.P. GW PHARMACEUTICALS PLC 0.8% 2016-07-05 UK
D. E. Shaw & Co., L.P. GW PHARMACEUTICALS PLC 0.77% 2016-06-27 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.77% 2016-06-27 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.47% 2015-03-04 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.5% 2015-02-20 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.49% 2015-02-19 UK
D. E. Shaw & Co. LP GW PHARMACEUTICALS PLC 0.56% 2015-02-18 UK

**EXPERIMENTAL** Current Hong Kong Exchange Long Positions

Updated daily

Holder Issuer Transaction Date Transaction Type Avg PPS Shares Involved Shares Owned % Capital Origin
Asia Pacific Forest Company Limited Creative Energy Solutions Holdings Ltd. 2015-07-08 Long 0.0 626,074,400 626,074,400 27.43% Hong Kong
HCC & Co Limited Pinestone Captial Ltd. 2015-06-12 Long 0.0 252,000,000 252,000,000 52.5% Hong Kong

Position History

Holder Issuer Transaction Date Transaction Type Avg PPS Shares Involved Shares Owned % Capital Origin

**EXPERIMENTAL** Current UK Positions

Updated daily

Contains transactions from January 1st, 2015 on.

Holder Issuer Transaction Date Number of Voting Rights % of Voting Rights
D. E. SHAW & COMPANY ., INC. Belvoir Lettings PLC 2015-10-22 1,570,828 5.14%
D. E. SHAW & COMPANY ., INC. River and Mercantile UK Micro Cap Investment Co Ltd 2015-10-06 2,194,342 4.33%
D. E. SHAW & COMPANY ., INC. Petropavlovsk PLC 2015-09-14 396,152,268 12.08%

Position History

Holder Issuer Transaction Date Number of Voting Rights % of Voting Rights
D. E. SHAW & COMPANY ., INC. Petropavlovsk PLC 2015-09-14 396,152,268 12.08%
D. E. SHAW & COMPANY ., INC. Petropavlovsk PLC 2015-09-11 390,396,738 11.91%
D. E. SHAW & COMPANY ., INC. Petropavlovsk PLC 2015-08-17 396,745,461 12.1%
D. E. SHAW & COMPANY ., INC. Petropavlovsk PLC 2015-08-06 388,840,391 11.86%
D. E. SHAW & COMPANY ., INC. Petropavlovsk PLC 2015-07-24 389,982,440 11.9%
D. E. SHAW & COMPANY ., INC. Petropavlovsk PLC 2015-06-24 399,612,484 12.19%
D. E. SHAW & COMPANY ., INC. Petropavlovsk PLC 2015-06-23 117,609,333 3.59%
D. E. SHAW & COMPANY ., INC. Petropavlovsk PLC 2015-05-14 117,609,333 3.59%
D. E. SHAW & COMPANY ., INC. Petropavlovsk PLC 2015-04-23 420,158,345 12.82%
D. E. SHAW & COMPANY ., INC. Petropavlovsk PLC 2015-04-03 389,570,227 11.88%
D. E. SHAW & COMPANY ., INC. Petropavlovsk PLC 2015-03-20 394,808,429 12.04%
D. E. SHAW & COMPANY ., INC. Petropavlovsk PLC 2015-03-16 428,075,593 13.06%
D. E. SHAW & COMPANY ., INC. Mithril Capital PLC 0 0%
D. E. SHAW & COMPANY ., INC. Mithril Capital PLC 0 0%

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