EDGESTREAM PARTNERS, L.P.

HTTPS://WWW.LINKEDIN.COM/COMPANY/EDGESTREAM-PARTNERS-L-P-/ PRINCETON, NJ Investment Advisor Hedge Fund How do I update this listing?

Edgestream Partners is based out of Princeton. Edgestream Partners is a large advisory firm with 5 clients and discretionary assets under management (AUM) of $1,487,931,595 (Form ADV from 2019-08-09). Their last reported 13F filing for Q3 2019 included $1,045,324,000 in managed 13F securities and a top 10 holdings concentration of 17.83%. Edgestream Partners's largest holding is Union Pacific Corp. with shares held of 150,302. Edgestream Partners has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 24 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $1.045 Billion
  • Prior Market Value $886.525 Million
  • New Purchases100 stocks
  • Additional Purchases98 stocks
  • Sold out of72 stocks
  • Reduced holdings in57 stocks
  • Top 10 Holdings % 17.83 %
  • Turnover % [1]:67.45%
  • Turnover Alt % [2]: 50.81 %
  • Time Held Top20:0.65 quarters
  • Time Held Top10:0.70 quarters
  • Time Held All:3.05 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: -2.27%
Performance Last 4 Quarters: 3.27%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 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)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

EDGESTREAM PARTNERS, L.P.
Classified as Hedge Fund
902 CARNEGIE CENTER, SUITE 200
PRINCETON NJ    08540
Country: United States

Business Phone: 609-681-2200
Fax: 609-681-2222
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Partnership
Organized in: DE
Number of employees: 35
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:
Total Number of Clients: 5
Amount of client funds and securities by related persons: 1,487,930,000
Total Number of clients from related persons: 5
Disclosures:
Data above was derived from SEC filings.

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EDGESTREAM PARTNERS, L.P.

ownership team - last updated 2019-08-09
Name Title Start Date Direct/Indirect % Ownership
CREATIVE EDGE MANAGEMENT, LLC GENERAL PARTNER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15
PNY FAMILY, L.P. LIMITED PARTNER 12/01/2012 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15
CHATRAEI, SHEILA, SHIDEH CHIEF FINANCIAL OFFICER 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER direct 2013-06-01
EDGESTREAM PARTNERS, L.P. CHIEF FINANCIAL OFFICER direct 2013-06-01
YIANILOS, PETER, NICHOLAS CHIEF EXECUTIVE OFFICER 12/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 1988-04-01
EDGESTREAM PARTNERS, L.P. EXECUTIVE VICE PRESIDENT direct 2003-01-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2007-12-01
EDGESTREAM PARTNERS, L.P. MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER (RELYING ADVISER) direct 2007-12-01
EDGESTREAM PARTNERS, L.P. CHIEF EXECUTIVE OFFICER direct 2007-12-01
EDGESTREAM PARTNERS, L.P. GRANTOR AND TRUSTEE indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. SOLE MEMBER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. TRUSTEE indirect 2012-12-01
GALL, NATALIE, MARIE CHIEF COMPLIANCE OFFICER 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. CHIEF COMPLIANCE OFFICER direct 2013-11-01
GOLDMAN SACHS PRINCETON LLC VICE PRESIDENT direct 1998-12-01 2003-01-06
GOLDMAN SACHS PRINCETON LLC VICE PRESIDENT & COMPLIANCE OFFICER direct 2001-11-01 2004-02-26
SOBTI, SUMEET LIMITED PARTNER 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. EXECUTIVE VICE PRESIDENT direct 2017-07-01
EDGESTREAM PARTNERS, L.P. EXECUTIVE VICE PRESIDENT direct 2018-01-01
NATBONY, WILLIAM, NMN GENERAL COUNSEL/DEPUTY CEO 08/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE ELECTRUM GROUP LLC TRUSTEE indirect 2004-02-01
THE ELECTRUM GROUP LLC TRUSTEE indirect 2004-04-01
THE ELECTRUM GROUP LLC MANAGER indirect 2007-07-01
THE ELECTRUM GROUP LLC MANAGER indirect 2008-01-01
THE ELECTRUM GROUP LLC TRUSTEE indirect 2012-01-01
THE ELECTRUM GROUP LLC TRUSTEE indirect 2014-04-01
YIANILOS, PETER, NICHOLAS LIMITED PARTNER PNY FAMILY, L.P. 12/01/2012 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 1988-04-01
EDGESTREAM PARTNERS, L.P. EXECUTIVE VICE PRESIDENT direct 2003-01-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2007-12-01
EDGESTREAM PARTNERS, L.P. MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER (RELYING ADVISER) direct 2007-12-01
EDGESTREAM PARTNERS, L.P. CHIEF EXECUTIVE OFFICER direct 2007-12-01
EDGESTREAM PARTNERS, L.P. GRANTOR AND TRUSTEE indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. SOLE MEMBER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. TRUSTEE indirect 2012-12-01
PNY FAMILY GP, LLC GENERAL PARTNER PNY FAMILY, L.P. 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15
YIANILOS, PETER, NICHOLAS SOLE MEMBER PNY FAMILY GP, LLC 12/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 1988-04-01
EDGESTREAM PARTNERS, L.P. EXECUTIVE VICE PRESIDENT direct 2003-01-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2007-12-01
EDGESTREAM PARTNERS, L.P. MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER (RELYING ADVISER) direct 2007-12-01
EDGESTREAM PARTNERS, L.P. CHIEF EXECUTIVE OFFICER direct 2007-12-01
EDGESTREAM PARTNERS, L.P. GRANTOR AND TRUSTEE indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. SOLE MEMBER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. TRUSTEE indirect 2012-12-01
THE YIANILOS 2012 FAMILY TRUST LIMITED PARTNER PNY FAMILY, L.P. 12/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15
PNY FAMILY, L.P. SOLE SHAREHOLDER CREATIVE EDGE MANAGEMENT, LLC 01/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15
YIANILOS, PETER, NICHOLAS TRUSTEE THE YIANILOS 2012 FAMILY TRUST 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 1988-04-01
EDGESTREAM PARTNERS, L.P. EXECUTIVE VICE PRESIDENT direct 2003-01-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2007-12-01
EDGESTREAM PARTNERS, L.P. MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER (RELYING ADVISER) direct 2007-12-01
EDGESTREAM PARTNERS, L.P. CHIEF EXECUTIVE OFFICER direct 2007-12-01
EDGESTREAM PARTNERS, L.P. GRANTOR AND TRUSTEE indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. SOLE MEMBER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. TRUSTEE indirect 2012-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
EDGESTREAM SUMATRA FUND, L.P. United States 805-4683516993 Hedge Fund 100,028,151 1,000,000 Fund of Funds
EDGESTREAM EQUITIES FUND, L.P. Cayman Islands 805-9495604670 Hedge Fund 205,776,880 1,000,000
EDGESTREAM EXTENDED TACTICAL MASTER FUND, LTD. Cayman Islands 805-6340386851 Hedge Fund 296,710,335 5,000,000 Master Fund Fund of Funds
EDGESTREAM NIAS FUND, LTD. Cayman Islands 805-7468533991 Hedge Fund 696,696,079 1,000,000 Fund of Funds
EDGESTREAM EXTENDED TACTICAL EQUITIES MASTER FUND, LTD. Cayman Islands 805-4591457178 Hedge Fund 808,787,769 5,000,000

EDGESTREAM PARTNERS, L.P.

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
CREATIVE EDGE MANAGEMENT, LLC GENERAL PARTNER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15
PNY FAMILY, L.P. LIMITED PARTNER 12/01/2012 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15
CHATRAEI, SHEILA, SHIDEH CHIEF FINANCIAL OFFICER 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER direct 2013-06-01
EDGESTREAM PARTNERS, L.P. CHIEF FINANCIAL OFFICER direct 2013-06-01
YIANILOS, PETER, NICHOLAS CHIEF EXECUTIVE OFFICER 12/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 1988-04-01
EDGESTREAM PARTNERS, L.P. EXECUTIVE VICE PRESIDENT direct 2003-01-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2007-12-01
EDGESTREAM PARTNERS, L.P. MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER (RELYING ADVISER) direct 2007-12-01
EDGESTREAM PARTNERS, L.P. CHIEF EXECUTIVE OFFICER direct 2007-12-01
EDGESTREAM PARTNERS, L.P. GRANTOR AND TRUSTEE indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. SOLE MEMBER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. TRUSTEE indirect 2012-12-01
GALL, NATALIE, MARIE CHIEF COMPLIANCE OFFICER 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. CHIEF COMPLIANCE OFFICER direct 2013-11-01
GOLDMAN SACHS PRINCETON LLC VICE PRESIDENT direct 1998-12-01 2003-01-06
GOLDMAN SACHS PRINCETON LLC VICE PRESIDENT & COMPLIANCE OFFICER direct 2001-11-01 2004-02-26
SOBTI, SUMEET EXECUTIVE VICE PRESIDENT 01/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. EXECUTIVE VICE PRESIDENT direct 2017-07-01
EDGESTREAM PARTNERS, L.P. EXECUTIVE VICE PRESIDENT direct 2018-01-01
YIANILOS, PETER, NICHOLAS LIMITED PARTNER PNY FAMILY, L.P. 12/01/2012 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 1988-04-01
EDGESTREAM PARTNERS, L.P. EXECUTIVE VICE PRESIDENT direct 2003-01-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2007-12-01
EDGESTREAM PARTNERS, L.P. MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER (RELYING ADVISER) direct 2007-12-01
EDGESTREAM PARTNERS, L.P. CHIEF EXECUTIVE OFFICER direct 2007-12-01
EDGESTREAM PARTNERS, L.P. GRANTOR AND TRUSTEE indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. SOLE MEMBER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. TRUSTEE indirect 2012-12-01
PNY FAMILY GP, LLC GENERAL PARTNER PNY FAMILY, L.P. 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15
YIANILOS, PETER, NICHOLAS SOLE MEMBER PNY FAMILY GP, LLC 12/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 1988-04-01
EDGESTREAM PARTNERS, L.P. EXECUTIVE VICE PRESIDENT direct 2003-01-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2007-12-01
EDGESTREAM PARTNERS, L.P. MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER (RELYING ADVISER) direct 2007-12-01
EDGESTREAM PARTNERS, L.P. CHIEF EXECUTIVE OFFICER direct 2007-12-01
EDGESTREAM PARTNERS, L.P. GRANTOR AND TRUSTEE indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. SOLE MEMBER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. TRUSTEE indirect 2012-12-01
THE YIANILOS 2012 FAMILY TRUST LIMITED PARTNER PNY FAMILY, L.P. 12/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15
PNY FAMILY, L.P. SOLE SHAREHOLDER CREATIVE EDGE MANAGEMENT, LLC 01/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15
YIANILOS, PETER, NICHOLAS TRUSTEE THE YIANILOS 2012 FAMILY TRUST 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 1988-04-01
EDGESTREAM PARTNERS, L.P. EXECUTIVE VICE PRESIDENT direct 2003-01-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2007-12-01
EDGESTREAM PARTNERS, L.P. MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER (RELYING ADVISER) direct 2007-12-01
EDGESTREAM PARTNERS, L.P. CHIEF EXECUTIVE OFFICER direct 2007-12-01
EDGESTREAM PARTNERS, L.P. GRANTOR AND TRUSTEE indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. SOLE MEMBER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. TRUSTEE indirect 2012-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
EDGESTREAM SUMATRA FUND, L.P. United States 805-4683516993 Hedge Fund 100,028,151 1,000,000 Fund of Funds
EDGESTREAM EQUITIES FUND, L.P. Cayman Islands 805-9495604670 Hedge Fund 205,776,880 1,000,000
EDGESTREAM EXTENDED TACTICAL MASTER FUND, LTD. Cayman Islands 805-6340386851 Hedge Fund 296,710,335 5,000,000 Master Fund Fund of Funds
EDGESTREAM NIAS FUND, LTD. Cayman Islands 805-7468533991 Hedge Fund 696,696,079 1,000,000 Fund of Funds
EDGESTREAM EXTENDED TACTICAL EQUITIES MASTER FUND, LTD. Cayman Islands 805-4591457178 Hedge Fund 808,787,769 5,000,000

EDGESTREAM PARTNERS, L.P.

ownership team - last updated 2017-03-29
Name Title Start Date Direct/Indirect % Ownership
YIANILOS LABORATORIES CORP. GENERAL PARTNER 12/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2007-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER direct 2007-12-01
STRAUS, SANDOR, HOWARD LIMITED PARTNER 12/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER direct 1995-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2007-12-01
EDGESTREAM PARTNERS, L.P. EXECUTIVE VICE PRESIDENT (RELYING ADVISER) direct 2007-12-01
EDGESTREAM PARTNERS, L.P. EXECUTIVE VICE PRESIDENT AND LIMITED PARTNER direct 2007-12-01
EDGESTREAM PARTNERS, L.P. EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND LIMITED PARTNER direct 2007-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2007-12-01
PNY FAMILY, L.P. LIMITED PARTNER 12/01/2012 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15
CHATRAEI, SHEILA, SHIDEH CHIEF FINANCIAL OFFICER 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER direct 2013-06-01
EDGESTREAM PARTNERS, L.P. CHIEF FINANCIAL OFFICER direct 2013-06-01
YIANILOS, PETER, NICHOLAS CHIEF EXECUTIVE OFFICER 12/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 1988-04-01
EDGESTREAM PARTNERS, L.P. EXECUTIVE VICE PRESIDENT direct 2003-01-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2007-12-01
EDGESTREAM PARTNERS, L.P. MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER (RELYING ADVISER) direct 2007-12-01
EDGESTREAM PARTNERS, L.P. CHIEF EXECUTIVE OFFICER direct 2007-12-01
EDGESTREAM PARTNERS, L.P. GRANTOR AND TRUSTEE indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. SOLE MEMBER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. TRUSTEE indirect 2012-12-01
GALL, NATALIE, MARIE CHIEF COMPLIANCE OFFICER 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. CHIEF COMPLIANCE OFFICER direct 2013-11-01
GOLDMAN SACHS PRINCETON LLC VICE PRESIDENT direct 1998-12-01 2003-01-06
GOLDMAN SACHS PRINCETON LLC VICE PRESIDENT & COMPLIANCE OFFICER direct 2001-11-01 2004-02-26
YIANILOS, PETER, NICHOLAS LIMITED PARTNER PNY FAMILY, L.P. 12/01/2012 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 1988-04-01
EDGESTREAM PARTNERS, L.P. EXECUTIVE VICE PRESIDENT direct 2003-01-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2007-12-01
EDGESTREAM PARTNERS, L.P. MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER (RELYING ADVISER) direct 2007-12-01
EDGESTREAM PARTNERS, L.P. CHIEF EXECUTIVE OFFICER direct 2007-12-01
EDGESTREAM PARTNERS, L.P. GRANTOR AND TRUSTEE indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. SOLE MEMBER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. TRUSTEE indirect 2012-12-01
PNY FAMILY GP, LLC GENERAL PARTNER PNY FAMILY, L.P. 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15
YIANILOS, PETER, NICHOLAS SOLE MEMBER PNY FAMILY GP, LLC 12/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 1988-04-01
EDGESTREAM PARTNERS, L.P. EXECUTIVE VICE PRESIDENT direct 2003-01-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2007-12-01
EDGESTREAM PARTNERS, L.P. MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER (RELYING ADVISER) direct 2007-12-01
EDGESTREAM PARTNERS, L.P. CHIEF EXECUTIVE OFFICER direct 2007-12-01
EDGESTREAM PARTNERS, L.P. GRANTOR AND TRUSTEE indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. SOLE MEMBER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. TRUSTEE indirect 2012-12-01
THE YIANILOS 2012 FAMILY TRUST LIMITED PARTNER PNY FAMILY, L.P. 12/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15
PNY FAMILY, L.P. SOLE SHAREHOLDER YIANILOS LABORATORIES CORP. 12/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15
YIANILOS, PETER, NICHOLAS TRUSTEE YIANILOS 2012 FAMILY TRUST 12/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 1988-04-01
EDGESTREAM PARTNERS, L.P. EXECUTIVE VICE PRESIDENT direct 2003-01-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2007-12-01
EDGESTREAM PARTNERS, L.P. MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER (RELYING ADVISER) direct 2007-12-01
EDGESTREAM PARTNERS, L.P. CHIEF EXECUTIVE OFFICER direct 2007-12-01
EDGESTREAM PARTNERS, L.P. GRANTOR AND TRUSTEE indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. SOLE MEMBER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. TRUSTEE indirect 2012-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
EDGESTREAM EQUITIES FUND, L.P. Cayman Islands 805-9495604670 Hedge Fund 295,716,313 1,000,000

WhaleScore history for EDGESTREAM PARTNERS, L.P.

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