FIRST MANHATTAN COMPANY

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

First Manhattan Company is based out of New York. First Manhattan Company is a large advisory firm with 7208 clients and discretionary assets under management (AUM) of $20,258,592,550 (Form ADV from 2018-09-01). Their last reported 13F filing for Q3 2019 included $18,151,043,000 in managed 13F securities and a top 10 holdings concentration of 48.9%. First Manhattan Company's largest holding is Berkshire Hathaway Inc Class A with shares held of 14,280. Whalewisdom has at least 84 13F filings, 15 13D filings, and 325 13G filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $18.152 Billion
  • Prior Market Value $18.013 Billion
  • New Purchases62 stocks
  • Additional Purchases181 stocks
  • Sold out of106 stocks
  • Reduced holdings in497 stocks
  • Top 10 Holdings % 48.90 %
  • Turnover % [1]:12.27%
  • Turnover Alt % [2]: 3.32 %
  • Time Held Top20:19.90 quarters
  • Time Held Top10:22.50 quarters
  • Time Held All:26.56 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 3.95%
Performance Last 4 Quarters: 10.47%
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/A (Subscription required)
  • 2017-06-30 - 13F-HR/A (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR/A (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/A (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR/A (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR/A (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR/A (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)
  • 2003-09-30 - 13F-HR (Subscription required)
  • 2003-06-30 - 13F-HR (Subscription required)
  • 2003-03-31 - 13F-HR (Subscription required)
  • 2002-12-31 - 13F-HR (Subscription required)
  • 2002-09-30 - 13F-HR (Subscription required)
  • 2002-06-30 - 13F-HR (Subscription required)
  • 2002-03-31 - 13F-HR (Subscription required)
  • 2001-12-31 - 13F-HR (Subscription required)
  • 2001-09-30 - 13F-HR (Subscription required)
  • 2001-06-30 - 13F-HR/A (Subscription required)
  • 2001-06-30 - 13F-HR (Subscription required)
  • 2001-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

FIRST MANHATTAN CO
Classified as Hedge Fund
399 PARK AVENUE
NEW YORK NY    10022
Country: United States
Business Phone: 212-756-3300
Fax: 212-671-1676
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Partnership
Organized in: NY
Number of employees: 125
Other Business Activities: broker-dealer
Advisor Fees/Compensation: Percentage of assets under management,Commissions,Performance-based fees
Amount of client funds and securities: 18,313,300,000
Total Number of Clients: 7208
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.D (4),11.E (2)
Data above was derived from SEC filings.

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FIRST MANHATTAN CO

ownership team - last updated 2019-08-01
Name Title Start Date Direct/Indirect % Ownership
GOTTESMAN, DAVID SANFORD LIMITED PARTNER 01/01/2006 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC DIRECTOR direct 1966-06-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC LIMITED PARTNER indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2006-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1964-06-01 2002-03-26
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER/GENERAL PARTNER direct 1964-06-01 2002-03-26
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER direct 2002-07-01 2005-03-07
FIRST MANHATTAN CO CO-CHIEF EXECUTIVE OFFICER direct 2002-07-01 2007-03-19
FIRST MANHATTAN CO MANAGING MEMBER indirect 2002-07-01 2011-03-10
GOTTESMAN, ROBERT WILLIAM EXECUTIVE CHAIRMAN 01/01/2006 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC DIRECTOR direct 1998-04-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER direct 2006-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1989-10-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1989-10-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2002-07-01 2005-03-07
FIRST MANHATTAN CO CO-CHIEF EXECUTIVE OFFICER direct 2002-07-01 2007-03-19
STEARNS, NEAL KRAVIT CHIEF LEGAL OFFICER 07/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC VP/SECY/GENL COUNSEL direct 1993-04-01
FIRST MANHATTAN CO CHIEF LEGAL OFFICER direct 2002-07-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C) AND FINRA RULE 3130) direct 2004-10-01
FIRST MANHATTAN CO INC CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1995-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER/CHIEF LEGAL OFFICER direct 1995-01-01 2002-03-26
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER direct 2004-10-01 2004-10-22
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01 2004-11-02
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) AND NASD RULE 3013 direct 2004-10-01 2006-03-15
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C), NASD RULE 3013 AND NYSE RULE 342.30 (D) direct 2004-10-01 2011-03-31
FIRST MANHATTAN LLC GENERAL PARTNER 07/01/2002 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO GENERAL PARTNER direct 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 2002-07-01
GROVEMAN, BERNARD CHARLES LIMITED PARTNER 01/01/2003 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2003-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1994-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1994-01-01 2002-03-26
STEARNS, NEAL KRAVIT CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C) AND FINRA RULE 3130) 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC VP/SECY/GENL COUNSEL direct 1993-04-01
FIRST MANHATTAN CO CHIEF LEGAL OFFICER direct 2002-07-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C) AND FINRA RULE 3130) direct 2004-10-01
FIRST MANHATTAN CO INC CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1995-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER/CHIEF LEGAL OFFICER direct 1995-01-01 2002-03-26
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER direct 2004-10-01 2004-10-22
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01 2004-11-02
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) AND NASD RULE 3013 direct 2004-10-01 2006-03-15
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C), NASD RULE 3013 AND NYSE RULE 342.30 (D) direct 2004-10-01 2011-03-31
CAPELLINI, SUZANNE MARIE DIRECTOR OF COMPLIANCE 08/01/1986 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC COMPLIANCE DIRECTOR direct 1986-08-01
FIRST MANHATTAN CO DIRECTOR OF COMPLIANCE direct 1986-08-01
FIRST MANHATTAN CO INC COMPLIANCE DIRECTOR direct 1985-02-01 2004-04-29
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER/CROP direct 1985-02-01 2004-07-26
FIRST MANHATTAN CO COMPLIANCE DIRECTOR direct 1986-08-01 2004-10-22
FIRST MANHATTAN CO CROP direct 1988-04-01 2008-06-04
FIRST MANHATTAN CO COMPLIANCE DIRECTOR (FOR PURPOSES OF NYSE RULE 342.13(B) AND NASD RULE 3010(A)(8)) direct 1986-08-01 2011-03-31
FIRST MANHATTAN CO COMPLIANCE DIRECTOR (FOR PURPOSES OF NYSE RULE 342.13(B)) direct 1986-08-01 2016-03-30
GREEN, TODD WILLIAM LIMITED PARTNER 01/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2016-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1997-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1997-01-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2008-01-01 2010-03-02
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER"= "MEMBER") indirect 2002-07-01 2014-05-05
WYDRA, ZACHARY A CHIEF EXECUTIVE OFFICER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2016-09-01
FIRST MANHATTAN CO DEPUTY CHIEF EXECUTIVE OFFICER direct 2016-09-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2016-09-01
BECK, MACK & OLIVER LLC MEMBER direct 2007-01-01
PINTO, ALVARO SPINOLA CHIEF FINANCIAL OFFICER 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO CHIEF FINANCIAL OFFICER direct 2017-05-01
ITAU USA ASSET MANAGEMENT INC. CHIEF FINANCIAL OFFICER AND TREASURER direct 2015-05-01
GOTTESMAN, DAVID SANFORD MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC DIRECTOR direct 1966-06-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC LIMITED PARTNER indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2006-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1964-06-01 2002-03-26
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER/GENERAL PARTNER direct 1964-06-01 2002-03-26
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER direct 2002-07-01 2005-03-07
FIRST MANHATTAN CO CO-CHIEF EXECUTIVE OFFICER direct 2002-07-01 2007-03-19
FIRST MANHATTAN CO MANAGING MEMBER indirect 2002-07-01 2011-03-10
COLIN, SAMUEL FLUG MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1998-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1998-01-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2008-01-01 2010-03-02
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2002-07-01 2014-05-05
GOTTESMAN, ROBERT WILLIAM MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC DIRECTOR direct 1998-04-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER direct 2006-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1989-10-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1989-10-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2002-07-01 2005-03-07
FIRST MANHATTAN CO CO-CHIEF EXECUTIVE OFFICER direct 2002-07-01 2007-03-19
GREEN, TODD WILLIAM MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2016-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1997-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1997-01-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2008-01-01 2010-03-02
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER"= "MEMBER") indirect 2002-07-01 2014-05-05
GROVEMAN, BERNARD CHARLES MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2003-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1994-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1994-01-01 2002-03-26
JOSEPHSON, KEITH BENJAMIN MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1994-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1994-01-01 2002-03-26
STAINMAN, ARTHUR JOEL MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1984-10-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1984-10-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2004-01-01 2008-05-09
STEARNS, NEAL KRAVIT MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC VP/SECY/GENL COUNSEL direct 1993-04-01
FIRST MANHATTAN CO CHIEF LEGAL OFFICER direct 2002-07-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C) AND FINRA RULE 3130) direct 2004-10-01
FIRST MANHATTAN CO INC CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1995-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER/CHIEF LEGAL OFFICER direct 1995-01-01 2002-03-26
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER direct 2004-10-01 2004-10-22
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01 2004-11-02
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) AND NASD RULE 3013 direct 2004-10-01 2006-03-15
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C), NASD RULE 3013 AND NYSE RULE 342.30 (D) direct 2004-10-01 2011-03-31
VARON, JACK HARRY MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 2001-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 2001-01-01 2002-03-26
VODOFSKY, JAY LAWRENCE MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO GENERAL PARTNER direct 2002-01-01 2002-03-26
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 2002-01-01 2002-03-26
MUCCIA, TIMOTHY CARROL MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 01/01/2008 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2008-01-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2008-01-01
FREEDBERG, ANDREW MICHAEL MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 01/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2010-01-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2010-01-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2010-01-01
ZWICKLER, ALLEN SAUL MANAGING MEMBER (FOR 5F BELOW "GENERAL PARNTER" = "MEMBER") FIRST MANHATTAN LLC 01/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARNTER" = "MEMBER" indirect 2012-01-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARNTER" = "MEMBER") indirect 2012-01-01
SCHWARTZ, ADAM HARRIS MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 01/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2014-01-01
WYDRA, ZACHARY A MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 09/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2016-09-01
FIRST MANHATTAN CO DEPUTY CHIEF EXECUTIVE OFFICER direct 2016-09-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2016-09-01
BECK, MACK & OLIVER LLC MEMBER direct 2007-01-01
BERMAN, LEONARD CHARLES MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2017-07-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FIRST HEALTH LIMITED Cayman Islands 805-6496041731 Other Private Fund OFFSHORE PRIVATE INVESTMENT VEHICLE FOCUSED ON HEALTH CARE AND RELATED INDUSTRIES 83,000,000 1,000,000
FIRST HEALTH, L.P. United States 805-8773971554 Other Private Fund PRIVATE INVESTMENT VEHICLE FOCUSED ON HEALTH CARE AND RELATED INDUSTRIES 224,000,000 1,000,000
FIRST HEALTH ASSOCIATES, L.P. United States 805-1124620636 Other Private Fund PRIVATE INVESTMENT VEHICLE FOCUSED ON HEALTH CARE AND RELATED INDUSTRIES 37,000,000 1,000,000
FIRST BIOMED, L.P. United States 805-5499434652 Other Private Fund PRIVATE INVESTMENT VEHICLE FOCUSED ON HEALTH CARE AND RELATED INDUSTRIES 160,000,000 1,000,000
FM FIRST CHINA PORTFOLIO, L.P. Cayman Islands 805-4691939479 Other Private Fund OFFSHORE PRIVATE INVESTMENT VEHICHLE FOCUSED ON INVESTING IN SECURITIES ISSUED BY CHINESE AND HONG KONG ISSUERS 21,000,000 500,000 Master Fund
FIRST DE NOVO, L.P. United States 805-8239896362 Other Private Fund PRIVATE INVESTMENT VEHICLE FOCUSED ON DE NOVO BANKS 7,000,000 1,000,000
FIRST BIOMED PORTFOLIO, L.P. Cayman Islands 805-7084878756 Other Private Fund OFFSHORE PRIVATE INVESTMENT VEHICLE FOCUSED ON HEALTH CARE AND RELATED INDUSTRIES 61,000,000 1,000,000 Master Fund
SECOND FIRST DE NOVO, L.P. United States 805-7853229357 Other Private Fund PRIVATE INVESTMENT VEHICLE VOCUSED ON DE NOVO BANKS 37,000,000 1,000,000
FM LAUREL ASSOCIATES, LP United States 805-2813379435 Other Private Fund SINGLE PURPOSE PVTE INVESTMENT VEHICLE FORMED TO INVEST IN CORRIDOR MARKETPLACE LLC IN LAUREL, MD 21,000 10,000
FM FRANKFORD ASSOCIATES, L.P. United States 805-4910569871 Other Private Fund REAL ESTATE PARTNERSHIP FORMED TO OWN AND OPERATE A SINGLE COMMERCIAL PROPERTY LOCATED IN THE FRANKFORD AREA OF PHILADELPHIA, PA 142,000 10,000
FM FIRST CHINA FUND, LLC United States 805-4018407646 Other Private Fund PRIVATE INVESTMENT VEHICLE FOCUSED ON INVESTING IN SECURITIES ISSUED BY CHINESE AND HONG KONG ISSUERS 199,000,000 500,000
NAUTICAN CAPITAL, LP United States 805-4235269117 Other Private Fund PRIVATE INVESTMENT 3,600,000 500,000

FIRST MANHATTAN CO

ownership team - last updated 2019-05-16
Name Title Start Date Direct/Indirect % Ownership
GOTTESMAN, DAVID SANFORD LIMITED PARTNER 01/01/2006 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC DIRECTOR direct 1966-06-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC LIMITED PARTNER indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2006-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1964-06-01 2002-03-26
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER/GENERAL PARTNER direct 1964-06-01 2002-03-26
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER direct 2002-07-01 2005-03-07
FIRST MANHATTAN CO CO-CHIEF EXECUTIVE OFFICER direct 2002-07-01 2007-03-19
FIRST MANHATTAN CO MANAGING MEMBER indirect 2002-07-01 2011-03-10
GOTTESMAN, ROBERT WILLIAM CHIEF EXECUTIVE OFFICER 01/01/2006 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC DIRECTOR direct 1998-04-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER direct 2006-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1989-10-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1989-10-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2002-07-01 2005-03-07
FIRST MANHATTAN CO CO-CHIEF EXECUTIVE OFFICER direct 2002-07-01 2007-03-19
STEARNS, NEAL KRAVIT CHIEF LEGAL OFFICER 07/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC VP/SECY/GENL COUNSEL direct 1993-04-01
FIRST MANHATTAN CO CHIEF LEGAL OFFICER direct 2002-07-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C) AND FINRA RULE 3130) direct 2004-10-01
FIRST MANHATTAN CO INC CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1995-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER/CHIEF LEGAL OFFICER direct 1995-01-01 2002-03-26
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER direct 2004-10-01 2004-10-22
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01 2004-11-02
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) AND NASD RULE 3013 direct 2004-10-01 2006-03-15
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C), NASD RULE 3013 AND NYSE RULE 342.30 (D) direct 2004-10-01 2011-03-31
FIRST MANHATTAN LLC GENERAL PARTNER 07/01/2002 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO GENERAL PARTNER direct 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 2002-07-01
GROVEMAN, BERNARD CHARLES LIMITED PARTNER 01/01/2003 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2003-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1994-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1994-01-01 2002-03-26
STEARNS, NEAL KRAVIT CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C) AND FINRA RULE 3130) 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC VP/SECY/GENL COUNSEL direct 1993-04-01
FIRST MANHATTAN CO CHIEF LEGAL OFFICER direct 2002-07-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C) AND FINRA RULE 3130) direct 2004-10-01
FIRST MANHATTAN CO INC CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1995-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER/CHIEF LEGAL OFFICER direct 1995-01-01 2002-03-26
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER direct 2004-10-01 2004-10-22
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01 2004-11-02
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) AND NASD RULE 3013 direct 2004-10-01 2006-03-15
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C), NASD RULE 3013 AND NYSE RULE 342.30 (D) direct 2004-10-01 2011-03-31
CAPELLINI, SUZANNE MARIE DIRECTOR OF COMPLIANCE 08/01/1986 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC COMPLIANCE DIRECTOR direct 1986-08-01
FIRST MANHATTAN CO DIRECTOR OF COMPLIANCE direct 1986-08-01
FIRST MANHATTAN CO INC COMPLIANCE DIRECTOR direct 1985-02-01 2004-04-29
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER/CROP direct 1985-02-01 2004-07-26
FIRST MANHATTAN CO COMPLIANCE DIRECTOR direct 1986-08-01 2004-10-22
FIRST MANHATTAN CO CROP direct 1988-04-01 2008-06-04
FIRST MANHATTAN CO COMPLIANCE DIRECTOR (FOR PURPOSES OF NYSE RULE 342.13(B) AND NASD RULE 3010(A)(8)) direct 1986-08-01 2011-03-31
FIRST MANHATTAN CO COMPLIANCE DIRECTOR (FOR PURPOSES OF NYSE RULE 342.13(B)) direct 1986-08-01 2016-03-30
GREEN, TODD WILLIAM LIMITED PARTNER 01/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2016-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1997-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1997-01-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2008-01-01 2010-03-02
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER"= "MEMBER") indirect 2002-07-01 2014-05-05
WYDRA, ZACHARY A DEPUTY CHIEF EXECUTIVE OFFICER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2016-09-01
FIRST MANHATTAN CO DEPUTY CHIEF EXECUTIVE OFFICER direct 2016-09-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2016-09-01
BECK, MACK & OLIVER LLC MEMBER direct 2007-01-01
PINTO, ALVARO SPINOLA CHIEF FINANCIAL OFFICER 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO CHIEF FINANCIAL OFFICER direct 2017-05-01
ITAU USA ASSET MANAGEMENT INC. CHIEF FINANCIAL OFFICER AND TREASURER direct 2015-05-01
GOTTESMAN, DAVID SANFORD MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC DIRECTOR direct 1966-06-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC LIMITED PARTNER indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2006-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1964-06-01 2002-03-26
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER/GENERAL PARTNER direct 1964-06-01 2002-03-26
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER direct 2002-07-01 2005-03-07
FIRST MANHATTAN CO CO-CHIEF EXECUTIVE OFFICER direct 2002-07-01 2007-03-19
FIRST MANHATTAN CO MANAGING MEMBER indirect 2002-07-01 2011-03-10
COLIN, SAMUEL FLUG MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1998-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1998-01-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2008-01-01 2010-03-02
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2002-07-01 2014-05-05
GOTTESMAN, ROBERT WILLIAM MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC DIRECTOR direct 1998-04-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER direct 2006-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1989-10-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1989-10-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2002-07-01 2005-03-07
FIRST MANHATTAN CO CO-CHIEF EXECUTIVE OFFICER direct 2002-07-01 2007-03-19
GREEN, TODD WILLIAM MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2016-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1997-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1997-01-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2008-01-01 2010-03-02
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER"= "MEMBER") indirect 2002-07-01 2014-05-05
GROVEMAN, BERNARD CHARLES MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2003-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1994-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1994-01-01 2002-03-26
JOSEPHSON, KEITH BENJAMIN MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1994-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1994-01-01 2002-03-26
STAINMAN, ARTHUR JOEL MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1984-10-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1984-10-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2004-01-01 2008-05-09
STEARNS, NEAL KRAVIT MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC VP/SECY/GENL COUNSEL direct 1993-04-01
FIRST MANHATTAN CO CHIEF LEGAL OFFICER direct 2002-07-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C) AND FINRA RULE 3130) direct 2004-10-01
FIRST MANHATTAN CO INC CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1995-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER/CHIEF LEGAL OFFICER direct 1995-01-01 2002-03-26
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER direct 2004-10-01 2004-10-22
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01 2004-11-02
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) AND NASD RULE 3013 direct 2004-10-01 2006-03-15
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C), NASD RULE 3013 AND NYSE RULE 342.30 (D) direct 2004-10-01 2011-03-31
VARON, JACK HARRY MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 2001-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 2001-01-01 2002-03-26
VODOFSKY, JAY LAWRENCE MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO GENERAL PARTNER direct 2002-01-01 2002-03-26
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 2002-01-01 2002-03-26
MUCCIA, TIMOTHY CARROL MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 01/01/2008 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2008-01-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2008-01-01
FREEDBERG, ANDREW MICHAEL MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 01/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2010-01-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2010-01-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2010-01-01
ZWICKLER, ALLEN SAUL MANAGING MEMBER (FOR 5F BELOW "GENERAL PARNTER" = "MEMBER") FIRST MANHATTAN LLC 01/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARNTER" = "MEMBER" indirect 2012-01-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARNTER" = "MEMBER") indirect 2012-01-01
SCHWARTZ, ADAM HARRIS MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 01/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2014-01-01
WYDRA, ZACHARY A MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 09/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2016-09-01
FIRST MANHATTAN CO DEPUTY CHIEF EXECUTIVE OFFICER direct 2016-09-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2016-09-01
BECK, MACK & OLIVER LLC MEMBER direct 2007-01-01
BERMAN, LEONARD CHARLES MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2017-07-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FIRST DE NOVO, L.P. United States 805-8239896362 Other Private Fund PRIVATE INVESTMENT VEHICLE FOCUSED ON DE NOVO BANKS 7,000,000 1,000,000
FIRST BIOMED PORTFOLIO, L.P. Cayman Islands 805-7084878756 Other Private Fund OFFSHORE PRIVATE INVESTMENT VEHICLE FOCUSED ON HEALTH CARE AND RELATED INDUSTRIES 61,000,000 1,000,000 Master Fund
SECOND FIRST DE NOVO, L.P. United States 805-7853229357 Other Private Fund PRIVATE INVESTMENT VEHICLE VOCUSED ON DE NOVO BANKS 37,000,000 1,000,000
FM LAUREL ASSOCIATES, LP United States 805-2813379435 Other Private Fund SINGLE PURPOSE PVTE INVESTMENT VEHICLE FORMED TO INVEST IN CORRIDOR MARKETPLACE LLC IN LAUREL, MD 21,000 10,000
FM FRANKFORD ASSOCIATES, L.P. United States 805-4910569871 Other Private Fund REAL ESTATE PARTNERSHIP FORMED TO OWN AND OPERATE A SINGLE COMMERCIAL PROPERTY LOCATED IN THE FRANKFORD AREA OF PHILADELPHIA, PA 142,000 10,000
FM FIRST CHINA FUND, LLC United States 805-4018407646 Other Private Fund PRIVATE INVESTMENT VEHICLE FOCUSED ON INVESTING IN SECURITIES ISSUED BY CHINESE AND HONG KONG ISSUERS 199,000,000 500,000
NAUTICAN CAPITAL, LP United States 805-4235269117 Other Private Fund PRIVATE INVESTMENT 3,600,000 500,000
FIRST HEALTH LIMITED Cayman Islands 805-6496041731 Other Private Fund OFFSHORE PRIVATE INVESTMENT VEHICLE FOCUSED ON HEALTH CARE AND RELATED INDUSTRIES 83,000,000 1,000,000
FIRST HEALTH, L.P. United States 805-8773971554 Other Private Fund PRIVATE INVESTMENT VEHICLE FOCUSED ON HEALTH CARE AND RELATED INDUSTRIES 224,000,000 1,000,000
FIRST HEALTH ASSOCIATES, L.P. United States 805-1124620636 Other Private Fund PRIVATE INVESTMENT VEHICLE FOCUSED ON HEALTH CARE AND RELATED INDUSTRIES 37,000,000 1,000,000
FIRST BIOMED, L.P. United States 805-5499434652 Other Private Fund PRIVATE INVESTMENT VEHICLE FOCUSED ON HEALTH CARE AND RELATED INDUSTRIES 160,000,000 1,000,000
FM FIRST CHINA PORTFOLIO, L.P. Cayman Islands 805-4691939479 Other Private Fund OFFSHORE PRIVATE INVESTMENT VEHICHLE FOCUSED ON INVESTING IN SECURITIES ISSUED BY CHINESE AND HONG KONG ISSUERS 21,000,000 500,000 Master Fund

FIRST MANHATTAN CO

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
GOTTESMAN, DAVID SANFORD LIMITED PARTNER 01/01/2006 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC DIRECTOR direct 1966-06-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC LIMITED PARTNER indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2006-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1964-06-01 2002-03-26
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER/GENERAL PARTNER direct 1964-06-01 2002-03-26
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER direct 2002-07-01 2005-03-07
FIRST MANHATTAN CO CO-CHIEF EXECUTIVE OFFICER direct 2002-07-01 2007-03-19
FIRST MANHATTAN CO MANAGING MEMBER indirect 2002-07-01 2011-03-10
GOTTESMAN, ROBERT WILLIAM CHIEF EXECUTIVE OFFICER 01/01/2006 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC DIRECTOR direct 1998-04-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER direct 2006-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1989-10-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1989-10-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2002-07-01 2005-03-07
FIRST MANHATTAN CO CO-CHIEF EXECUTIVE OFFICER direct 2002-07-01 2007-03-19
STEARNS, NEAL KRAVIT CHIEF LEGAL OFFICER 07/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC VP/SECY/GENL COUNSEL direct 1993-04-01
FIRST MANHATTAN CO CHIEF LEGAL OFFICER direct 2002-07-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C) AND FINRA RULE 3130) direct 2004-10-01
FIRST MANHATTAN CO INC CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1995-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER/CHIEF LEGAL OFFICER direct 1995-01-01 2002-03-26
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER direct 2004-10-01 2004-10-22
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01 2004-11-02
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) AND NASD RULE 3013 direct 2004-10-01 2006-03-15
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C), NASD RULE 3013 AND NYSE RULE 342.30 (D) direct 2004-10-01 2011-03-31
FIRST MANHATTAN LLC GENERAL PARTNER 07/01/2002 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO GENERAL PARTNER direct 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 2002-07-01
GROVEMAN, BERNARD CHARLES LIMITED PARTNER 01/01/2003 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2003-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1994-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1994-01-01 2002-03-26
STEARNS, NEAL KRAVIT CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C) AND FINRA RULE 3130) 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC VP/SECY/GENL COUNSEL direct 1993-04-01
FIRST MANHATTAN CO CHIEF LEGAL OFFICER direct 2002-07-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C) AND FINRA RULE 3130) direct 2004-10-01
FIRST MANHATTAN CO INC CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1995-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER/CHIEF LEGAL OFFICER direct 1995-01-01 2002-03-26
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER direct 2004-10-01 2004-10-22
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01 2004-11-02
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) AND NASD RULE 3013 direct 2004-10-01 2006-03-15
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C), NASD RULE 3013 AND NYSE RULE 342.30 (D) direct 2004-10-01 2011-03-31
CAPELLINI, SUZANNE MARIE DIRECTOR OF COMPLIANCE 08/01/1986 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC COMPLIANCE DIRECTOR direct 1986-08-01
FIRST MANHATTAN CO DIRECTOR OF COMPLIANCE direct 1986-08-01
FIRST MANHATTAN CO INC COMPLIANCE DIRECTOR direct 1985-02-01 2004-04-29
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER/CROP direct 1985-02-01 2004-07-26
FIRST MANHATTAN CO COMPLIANCE DIRECTOR direct 1986-08-01 2004-10-22
FIRST MANHATTAN CO CROP direct 1988-04-01 2008-06-04
FIRST MANHATTAN CO COMPLIANCE DIRECTOR (FOR PURPOSES OF NYSE RULE 342.13(B) AND NASD RULE 3010(A)(8)) direct 1986-08-01 2011-03-31
FIRST MANHATTAN CO COMPLIANCE DIRECTOR (FOR PURPOSES OF NYSE RULE 342.13(B)) direct 1986-08-01 2016-03-30
GREEN, TODD WILLIAM LIMITED PARTNER 01/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2016-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1997-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1997-01-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2008-01-01 2010-03-02
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER"= "MEMBER") indirect 2002-07-01 2014-05-05
WYDRA, ZACHARY A DEPUTY CHIEF EXECUTIVE OFFICER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2016-09-01
FIRST MANHATTAN CO DEPUTY CHIEF EXECUTIVE OFFICER direct 2016-09-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2016-09-01
BECK, MACK & OLIVER LLC MEMBER direct 2007-01-01
PINTO, ALVARO SPINOLA CHIEF FINANCIAL OFFICER 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO CHIEF FINANCIAL OFFICER direct 2017-05-01
ITAU USA ASSET MANAGEMENT INC. CHIEF FINANCIAL OFFICER AND TREASURER direct 2015-05-01
GOTTESMAN, DAVID SANFORD MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC DIRECTOR direct 1966-06-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC LIMITED PARTNER indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2006-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1964-06-01 2002-03-26
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER/GENERAL PARTNER direct 1964-06-01 2002-03-26
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER direct 2002-07-01 2005-03-07
FIRST MANHATTAN CO CO-CHIEF EXECUTIVE OFFICER direct 2002-07-01 2007-03-19
FIRST MANHATTAN CO MANAGING MEMBER indirect 2002-07-01 2011-03-10
COLIN, SAMUEL FLUG MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1998-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1998-01-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2008-01-01 2010-03-02
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2002-07-01 2014-05-05
GOTTESMAN, ROBERT WILLIAM MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC DIRECTOR direct 1998-04-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER direct 2006-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1989-10-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1989-10-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2002-07-01 2005-03-07
FIRST MANHATTAN CO CO-CHIEF EXECUTIVE OFFICER direct 2002-07-01 2007-03-19
GREEN, TODD WILLIAM MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2016-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1997-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1997-01-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2008-01-01 2010-03-02
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER"= "MEMBER") indirect 2002-07-01 2014-05-05
GROVEMAN, BERNARD CHARLES MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2003-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1994-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1994-01-01 2002-03-26
JOSEPHSON, KEITH BENJAMIN MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1994-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1994-01-01 2002-03-26
STAINMAN, ARTHUR JOEL MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1984-10-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1984-10-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2004-01-01 2008-05-09
STEARNS, NEAL KRAVIT MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC VP/SECY/GENL COUNSEL direct 1993-04-01
FIRST MANHATTAN CO CHIEF LEGAL OFFICER direct 2002-07-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C) AND FINRA RULE 3130) direct 2004-10-01
FIRST MANHATTAN CO INC CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1995-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER/CHIEF LEGAL OFFICER direct 1995-01-01 2002-03-26
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER direct 2004-10-01 2004-10-22
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01 2004-11-02
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) AND NASD RULE 3013 direct 2004-10-01 2006-03-15
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C), NASD RULE 3013 AND NYSE RULE 342.30 (D) direct 2004-10-01 2011-03-31
VARON, JACK HARRY MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 2001-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 2001-01-01 2002-03-26
VODOFSKY, JAY LAWRENCE MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO GENERAL PARTNER direct 2002-01-01 2002-03-26
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 2002-01-01 2002-03-26
MUCCIA, TIMOTHY CARROL MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 01/01/2008 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2008-01-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2008-01-01
FREEDBERG, ANDREW MICHAEL MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 01/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2010-01-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2010-01-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2010-01-01
ZWICKLER, ALLEN SAUL MANAGING MEMBER (FOR 5F BELOW "GENERAL PARNTER" = "MEMBER") FIRST MANHATTAN LLC 01/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARNTER" = "MEMBER" indirect 2012-01-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARNTER" = "MEMBER") indirect 2012-01-01
SCHWARTZ, ADAM HARRIS MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 01/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2014-01-01
WYDRA, ZACHARY A MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 09/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2016-09-01
FIRST MANHATTAN CO DEPUTY CHIEF EXECUTIVE OFFICER direct 2016-09-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2016-09-01
BECK, MACK & OLIVER LLC MEMBER direct 2007-01-01
BERMAN, LEONARD CHARLES MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2017-07-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FIRST DE NOVO, L.P. United States 805-8239896362 Other Private Fund PRIVATE INVESTMENT VEHICLE FOCUSED ON DE NOVO BANKS 7,000,000 1,000,000
FM LAUREL ASSOCIATES, LP United States 805-2813379435 Other Private Fund SINGLE PURPOSE PVTE INVESTMENT VEHICLE FORMED TO INVEST IN CORRIDOR MARKETPLACE LLC IN LAUREL, MD 21,000 10,000
FIRST BIOMED PORTFOLIO, L.P. Cayman Islands 805-7084878756 Other Private Fund OFFSHORE PRIVATE INVESTMENT VEHICLE FOCUSED ON HEALTH CARE AND RELATED INDUSTRIES 61,000,000 1,000,000 Master Fund
SECOND FIRST DE NOVO, L.P. United States 805-7853229357 Other Private Fund PRIVATE INVESTMENT VEHICLE VOCUSED ON DE NOVO BANKS 37,000,000 1,000,000
FM FRANKFORD ASSOCIATES, L.P. United States 805-4910569871 Other Private Fund REAL ESTATE PARTNERSHIP FORMED TO OWN AND OPERATE A SINGLE COMMERCIAL PROPERTY LOCATED IN THE FRANKFORD AREA OF PHILADELPHIA, PA 142,000 10,000
FM FIRST CHINA FUND, LLC United States 805-4018407646 Other Private Fund PRIVATE INVESTMENT VEHICLE FOCUSED ON INVESTING IN SECURITIES ISSUED BY CHINESE AND HONG KONG ISSUERS 199,000,000 500,000
NAUTICAN CAPITAL, LP United States 805-4235269117 Other Private Fund PRIVATE INVESTMENT 3,600,000 500,000
FIRST HEALTH LIMITED Cayman Islands 805-6496041731 Other Private Fund OFFSHORE PRIVATE INVESTMENT VEHICLE FOCUSED ON HEALTH CARE AND RELATED INDUSTRIES 83,000,000 1,000,000
FIRST HEALTH, L.P. United States 805-8773971554 Other Private Fund PRIVATE INVESTMENT VEHICLE FOCUSED ON HEALTH CARE AND RELATED INDUSTRIES 224,000,000 1,000,000
FIRST HEALTH ASSOCIATES, L.P. United States 805-1124620636 Other Private Fund PRIVATE INVESTMENT VEHICLE FOCUSED ON HEALTH CARE AND RELATED INDUSTRIES 37,000,000 1,000,000
FIRST BIOMED, L.P. United States 805-5499434652 Other Private Fund PRIVATE INVESTMENT VEHICLE FOCUSED ON HEALTH CARE AND RELATED INDUSTRIES 160,000,000 1,000,000
FM FIRST CHINA PORTFOLIO, L.P. Cayman Islands 805-4691939479 Other Private Fund OFFSHORE PRIVATE INVESTMENT VEHICHLE FOCUSED ON INVESTING IN SECURITIES ISSUED BY CHINESE AND HONG KONG ISSUERS 21,000,000 500,000 Master Fund

FIRST MANHATTAN CO

ownership team - last updated 2018-06-28
Name Title Start Date Direct/Indirect % Ownership
GOTTESMAN, DAVID SANFORD LIMITED PARTNER 01/01/2006 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC DIRECTOR direct 1966-06-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC LIMITED PARTNER indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2006-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1964-06-01 2002-03-26
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER/GENERAL PARTNER direct 1964-06-01 2002-03-26
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER direct 2002-07-01 2005-03-07
FIRST MANHATTAN CO CO-CHIEF EXECUTIVE OFFICER direct 2002-07-01 2007-03-19
FIRST MANHATTAN CO MANAGING MEMBER indirect 2002-07-01 2011-03-10
GOTTESMAN, ROBERT WILLIAM CHIEF EXECUTIVE OFFICER 01/01/2006 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC DIRECTOR direct 1998-04-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER direct 2006-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1989-10-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1989-10-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2002-07-01 2005-03-07
FIRST MANHATTAN CO CO-CHIEF EXECUTIVE OFFICER direct 2002-07-01 2007-03-19
STEARNS, NEAL KRAVIT CHIEF LEGAL OFFICER 07/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC VP/SECY/GENL COUNSEL direct 1993-04-01
FIRST MANHATTAN CO CHIEF LEGAL OFFICER direct 2002-07-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C) AND FINRA RULE 3130) direct 2004-10-01
FIRST MANHATTAN CO INC CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1995-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER/CHIEF LEGAL OFFICER direct 1995-01-01 2002-03-26
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER direct 2004-10-01 2004-10-22
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01 2004-11-02
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) AND NASD RULE 3013 direct 2004-10-01 2006-03-15
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C), NASD RULE 3013 AND NYSE RULE 342.30 (D) direct 2004-10-01 2011-03-31
FIRST MANHATTAN LLC GENERAL PARTNER 07/01/2002 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO GENERAL PARTNER direct 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 2002-07-01
GROVEMAN, BERNARD CHARLES LIMITED PARTNER 01/01/2003 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2003-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1994-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1994-01-01 2002-03-26
STEARNS, NEAL KRAVIT CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C) AND FINRA RULE 3130) 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC VP/SECY/GENL COUNSEL direct 1993-04-01
FIRST MANHATTAN CO CHIEF LEGAL OFFICER direct 2002-07-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C) AND FINRA RULE 3130) direct 2004-10-01
FIRST MANHATTAN CO INC CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1995-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER/CHIEF LEGAL OFFICER direct 1995-01-01 2002-03-26
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER direct 2004-10-01 2004-10-22
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01 2004-11-02
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) AND NASD RULE 3013 direct 2004-10-01 2006-03-15
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C), NASD RULE 3013 AND NYSE RULE 342.30 (D) direct 2004-10-01 2011-03-31
CAPELLINI, SUZANNE MARIE DIRECTOR OF COMPLIANCE 08/01/1986 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC COMPLIANCE DIRECTOR direct 1986-08-01
FIRST MANHATTAN CO DIRECTOR OF COMPLIANCE direct 1986-08-01
FIRST MANHATTAN CO INC COMPLIANCE DIRECTOR direct 1985-02-01 2004-04-29
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER/CROP direct 1985-02-01 2004-07-26
FIRST MANHATTAN CO COMPLIANCE DIRECTOR direct 1986-08-01 2004-10-22
FIRST MANHATTAN CO CROP direct 1988-04-01 2008-06-04
FIRST MANHATTAN CO COMPLIANCE DIRECTOR (FOR PURPOSES OF NYSE RULE 342.13(B) AND NASD RULE 3010(A)(8)) direct 1986-08-01 2011-03-31
FIRST MANHATTAN CO COMPLIANCE DIRECTOR (FOR PURPOSES OF NYSE RULE 342.13(B)) direct 1986-08-01 2016-03-30
GREEN, TODD WILLIAM LIMITED PARTNER 01/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2016-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1997-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1997-01-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2008-01-01 2010-03-02
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER"= "MEMBER") indirect 2002-07-01 2014-05-05
WYDRA, ZACHARY A DEPUTY CHIEF EXECUTIVE OFFICER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2016-09-01
FIRST MANHATTAN CO DEPUTY CHIEF EXECUTIVE OFFICER direct 2016-09-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2016-09-01
BECK, MACK & OLIVER LLC MEMBER direct 2007-01-01
PINTO, ALVARO SPINOLA CHIEF FINANCIAL OFFICER 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO CHIEF FINANCIAL OFFICER direct 2017-05-01
ITAU USA ASSET MANAGEMENT INC. CHIEF FINANCIAL OFFICER AND TREASURER direct 2015-05-01
GOTTESMAN, DAVID SANFORD MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC DIRECTOR direct 1966-06-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC LIMITED PARTNER indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2006-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1964-06-01 2002-03-26
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER/GENERAL PARTNER direct 1964-06-01 2002-03-26
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER direct 2002-07-01 2005-03-07
FIRST MANHATTAN CO CO-CHIEF EXECUTIVE OFFICER direct 2002-07-01 2007-03-19
FIRST MANHATTAN CO MANAGING MEMBER indirect 2002-07-01 2011-03-10
COLIN, SAMUEL FLUG MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1998-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1998-01-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2008-01-01 2010-03-02
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2002-07-01 2014-05-05
GLICK, ALLAN HOWARD MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC DIRECTOR direct 1978-08-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1977-10-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1977-10-01 2002-03-26
GOTTESMAN, ROBERT WILLIAM MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC DIRECTOR direct 1998-04-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO CHIEF EXECUTIVE OFFICER direct 2006-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1989-10-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1989-10-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2002-07-01 2005-03-07
FIRST MANHATTAN CO CO-CHIEF EXECUTIVE OFFICER direct 2002-07-01 2007-03-19
GREEN, TODD WILLIAM MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2016-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1997-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1997-01-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2008-01-01 2010-03-02
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER"= "MEMBER") indirect 2002-07-01 2014-05-05
GROVEMAN, BERNARD CHARLES MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO LIMITED PARTNER direct 2003-01-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1994-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1994-01-01 2002-03-26
JOSEPHSON, KEITH BENJAMIN MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1994-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1994-01-01 2002-03-26
ROSENBLOOM, DANIEL MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1971-10-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1971-10-01 2002-03-26
STAINMAN, ARTHUR JOEL MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1984-10-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 1984-10-01 2002-03-26
FIRST MANHATTAN CO LIMITED PARTNER direct 2004-01-01 2008-05-09
STEARNS, NEAL KRAVIT MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO INC VP/SECY/GENL COUNSEL direct 1993-04-01
FIRST MANHATTAN CO CHIEF LEGAL OFFICER direct 2002-07-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C) AND FINRA RULE 3130) direct 2004-10-01
FIRST MANHATTAN CO INC CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 1995-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER/CHIEF LEGAL OFFICER direct 1995-01-01 2002-03-26
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER direct 2004-10-01 2004-10-22
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) direct 2004-10-01 2004-11-02
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C)) AND NASD RULE 3013 direct 2004-10-01 2006-03-15
FIRST MANHATTAN CO CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF THE INVESTMENT ADVISERS ACT RULE 206(4)-7(C), NASD RULE 3013 AND NYSE RULE 342.30 (D) direct 2004-10-01 2011-03-31
VARON, JACK HARRY MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 2001-01-01 2002-03-26
FIRST MANHATTAN CO GENERAL PARTNER direct 2001-01-01 2002-03-26
VODOFSKY, JAY LAWRENCE MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2002 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2002-07-01
FIRST MANHATTAN CO GENERAL PARTNER direct 2002-01-01 2002-03-26
FIRST MANHATTAN CO INC GENERAL PARTNER indirect 2002-01-01 2002-03-26
MUCCIA, TIMOTHY CARROL MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 01/01/2008 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2008-01-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2008-01-01
FREEDBERG, ANDREW MICHAEL MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 01/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2010-01-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2010-01-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2010-01-01
ZWICKLER, ALLEN SAUL MANAGING MEMBER (FOR 5F BELOW "GENERAL PARNTER" = "MEMBER") FIRST MANHATTAN LLC 01/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARNTER" = "MEMBER" indirect 2012-01-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARNTER" = "MEMBER") indirect 2012-01-01
SCHWARTZ, ADAM HARRIS MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 01/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2014-01-01
WYDRA, ZACHARY A MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 09/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER" indirect 2016-09-01
FIRST MANHATTAN CO DEPUTY CHIEF EXECUTIVE OFFICER direct 2016-09-01
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2016-09-01
BECK, MACK & OLIVER LLC MEMBER direct 2007-01-01
BERMAN, LEONARD CHARLES MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") FIRST MANHATTAN LLC 07/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST MANHATTAN CO MANAGING MEMBER (FOR 5F BELOW "GENERAL PARTNER" = "MEMBER") indirect 2017-07-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FIRST HEALTH LIMITED Cayman Islands 805-6496041731 Other Private Fund OFFSHORE PRIVATE INVESTMENT VEHICLE FOCUSED ON HEALTH CARE AND RELATED INDUSTRIES 76,000,000 1,000,000
FIRST HEALTH, L.P. United States 805-8773971554 Other Private Fund PRIVATE INVESTMENT VEHICLE FOCUSED ON HEALTH CARE AND RELATED INDUSTRIES 207,000,000 1,000,000
FIRST HEALTH ASSOCIATES, L.P. United States 805-1124620636 Other Private Fund PRIVATE INVESTMENT VEHICLE FOCUSED ON HEALTH CARE AND RELATED INDUSTRIES 35,000,000 1,000,000
FIRST BIOMED, L.P. United States 805-5499434652 Other Private Fund PRIVATE INVESTMENT VEHICLE FOCUSED ON HEALTH CARE AND RELATED INDUSTRIES 140,000,000 1,000,000
FM FIRST CHINA PORTFOLIO, L.P. Cayman Islands 805-4691939479 Other Private Fund OFFSHORE PRIVATE INVESTMENT VEHICHLE FOCUSED ON INVESTING IN SECURITIES ISSUED BY CHINESE AND HONG KONG ISSUERS 23,000,000 500,000 Master Fund
FM LAUREL ASSOCIATES, LLC United States 805-2813379435 Other Private Fund SINGLE PURPOSE PVTE INVESTMENT VEHICLE FORMED TO INVEST IN CORRIDOR MARKETPLACE LLC IN LAUREL, MD 0 10,000
FIRST BIOMED PORTFOLIO, L.P. Cayman Islands 805-7084878756 Other Private Fund OFFSHORE PRIVATE INVESTMENT VEHICLE FOCUSED ON HEALTH CARE AND RELATED INDUSTRIES 50,000,000 1,000,000 Master Fund
SECOND FIRST DE NOVO, L.P. United States 805-7853229357 Other Private Fund PRIVATE INVESTMENT VEHICLE VOCUSED ON DE NOVO BANKS 38,000,000 1,000,000
FM FRANKFORD ASSOCIATES, L.P. United States 805-4910569871 Other Private Fund REAL ESTATE PARTNERSHIP FORMED TO OWN AND OPERATE A SINGLE COMMERCIAL PROPERTY LOCATED IN THE FRANKFORD AREA OF PHILADELPHIA, PA 138,000 10,000
FIRST DE NOVO, L.P. United States 805-8239896362 Other Private Fund PRIVATE INVESTMENT VEHICLE FOCUSED ON DE NOVO BANKS 11,000,000 1,000,000
FM FIRST CHINA FUND, LLC United States 805-4018407646 Other Private Fund PRIVATE INVESTMENT VEHICLE FOCUSED ON INVESTING IN SECURITIES ISSUED BY CHINESE AND HONG KONG ISSUERS 222,000,000 500,000
NAUTICAN CAPITAL, LP United States 805-4235269117 Other Private Fund PRIVATE INVESTMENT 5,900,000 500,000

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