PLIMPTON CAPITAL LLC
MEMBER
06/01/2003
Direct
75% or more
Fund Name
Position
direct/indirect
start date
end date
EQUINOX FUND MANAGEMENT, LLC
OWNER
direct
2003-06-01
EQUINOX FUND MANAGEMENT, LLC
MEMBER
direct
2003-06-01
EQUINOX FUND MANAGEMENT, LLC
OWNER
direct
2006-02-01
GILLESPIE, STACEY, JEAN
CHIEF COMPLIANCE OFFICER
08/01/2016
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
BOENNING & SCATTERGOOD, INC.
CCO
direct
2013-12-01
BOENNING & SCATTERGOOD, INC.
CHIEF COMPLIANCE OFFICER / DIRECTOR
direct
2013-12-01
EQUINOX INSTITUTIONAL ASSET MANAGEMENT, LP
CHIEF COMPLIANCE OFFICER
direct
2016-08-01
AQUA TERRA ASSET MANAGEMENT LLC
CHIEF COMPLIANCE OFFICER
direct
2007-09-01
EQUINOX FUND MANAGEMENT, LLC
CHIEF COMPLIANCE OFFICER
direct
2016-08-01
PALLADIEM LLC
CHIEF COMPLIANCE OFFICER
direct
2016-01-01
JB INVESTMENTS MANAGEMENT, LLC
CHIEF COMPLIANCE OFFICER
direct
2017-06-01
ENCK, ROBERT, JOSEPH
PRESIDENT/CHIEF EXECUTIVE OFFICER
03/01/2007
Direct
5 - 10%
Fund Name
Position
direct/indirect
start date
end date
EQUINOX INSTITUTIONAL ASSET MANAGEMENT, LP
PRESIDENT OF THE GP
direct
2014-11-01
EQUINOX INSTITUTIONAL ASSET MANAGEMENT, LP
PRESIDENT/CEO
direct
2014-11-01
EQUINOX INSTITUTIONAL ASSET MANAGEMENT, LP
CHIEF COMPLIANCE OFFICER
direct
2015-10-01
EQUINOX FUND MANAGEMENT, LLC
PRESIDENT/CEO
direct
2003-06-01
EQUINOX FUND MANAGEMENT, LLC
PRESIDENT/CEO
direct
2007-03-01
EQUINOX FUND MANAGEMENT, LLC
PRESIDENT/CHIEF EXECUTIVE OFFICER
direct
2007-03-01
EQUINOX FUND MANAGEMENT, LLC
PRESIDENT/CHIEF EXECUTIVE OFFICER/CCO
direct
2007-03-01
magolis, kristina
LEGAL COUNSEL
10/01/2016
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
EQUINOX INSTITUTIONAL ASSET MANAGEMENT, LP
LEGAL COUNSEL
direct
2016-10-01
EQUINOX FUND MANAGEMENT, LLC
LEGAL COUNSEL
direct
2016-10-01
EQUINOX FINANCIAL GROUP, LLC
MEMBER PLIMPTON CAPITAL, LLC
08/01/2003
Indirect
50 - 75%
Fund Name
Position
direct/indirect
start date
end date
EQUINOX INSTITUTIONAL ASSET MANAGEMENT, LP
MEMBER
indirect
2013-01-01
EQUINOX FUND MANAGEMENT, LLC
MEMBER
indirect
2003-08-01
EQUINOX FUND MANAGEMENT, LLC
MEMBER
indirect
2003-08-01
EQUINOX FUND MANAGEMENT, LLC
MEMBER
indirect
2003-08-01
SCAN PARTNERS, LTD
MEMBER EQUINOX FINANCIAL GROUP, LLC
08/01/2003
Indirect
75% or more
Fund Name
Position
direct/indirect
start date
end date
EQUINOX INSTITUTIONAL ASSET MANAGEMENT, LP
MEMBER
indirect
2013-01-01
EQUINOX FUND MANAGEMENT, LLC
MEMBER
indirect
2003-08-01
EQUINOX FUND MANAGEMENT, LLC
MEMBER
indirect
2003-08-01
EQUINOX FUND MANAGEMENT, LLC
MEMBER
indirect
2003-08-01
MONOGHAN PALLAT, CAROLINE
GENERAL PARTNER SCAN PARTNERS, LTD
08/01/2003
Indirect
Other
Fund Name
Position
direct/indirect
start date
end date
EQUINOX INSTITUTIONAL ASSET MANAGEMENT, LP
GENERAL PARTNER
indirect
2003-08-01
EQUINOX FUND MANAGEMENT, LLC
GENERAL PARTNER
indirect
2003-08-01