06/30/2023
Top Buys (13F)
- Name% Change
- SPY SPDR S&P 500 ETF TRUST 0.92%
- AAPL Apple Inc 0.47%
- NVDA NVIDIA Corp. 0.2%
- SJM Smucker (J.M.) Co. 0.18%
- EOG EOG Resources Inc 0.18%
- Name% Change
- SPY SPDR S&P 500 ETF TRUST $50.574 Million
- AAPL Apple Inc $18.336 Million
- SJM Smucker (J.M.) Co. $8.942 Million
- EOG EOG Resources Inc $8.812 Million
- RVTY Revvity Inc. $8.378 Million
06/30/2023
Top Sells (13F)
- Name% Change
- GSPY Gotham Enhanced 500... 0.73%
- GVLU Gotham 1000 Value ETF- 0.31%
- CEG Constellation Energ... 0.23%
- MRK Merck & Co 0.22%
- EXC Exelon Corp 0.21%
- Name% Change
- GSPY Gotham Enhanced 500... $-25.616 Million
- CEG Constellation Energ... $-11.147 Million
- GVLU Gotham 1000 Value ETF- $-10.912 Million
- MRK Merck & Co $-9.765 Million
- EXC Exelon Corp $-8.158 Million
06/30/2023
13F Holdings Summary
- Stock% Port
- SPY SPDR S&P 500 ETF TRUST 7.2%
- GSPY Gotham Enhanced 500 ETF- 5.81%
- AAPL Apple Inc 1.69%
- IVV iShares Core S&P 500 ETF- 1.61%
- SNOW Snowflake, Inc. 1.5%
06/30/2023
13F Activity
- Market Value $4.598 Billion
- Prior Market Value $4.125 Billion
- New Purchases149 stocks
- Additional Purchases553 stocks
- Sold out of164 stocks
- Reduced holdings in573 stocks
- Top 10 Holdings % 22.68 %
- Turnover % [1]:24.19%
- Turnover Alt % [2]: 13.40 %
- Time Held Top20:6.65 quarters
- Time Held Top10:8.00 quarters
- Time Held All:11.22 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.
06/30/2023
13F Sector Allocation Over Time
Fund Metrics
You are limited to the prior 8 quarters of 13F filings. Subscribe to WhaleWisdom to view all filing data for GOTHAM ASSET MANAGEMENT, LLC
Portfolio Analysis
| Classifications: |
Q2 2023:
|
Consistent Across Past 12 Quarters:
|
| Type of 13F Disclosure | 13F Holdings Report | |
| % of holdings ETF | 3.171 | |
| % of top 20 holdings the same as top 20 most commonly held by all managers | 55.0% |
| ALL HOLDINGS | TOP-20 HOLDINGS | |||||||
|---|---|---|---|---|---|---|---|---|
| min | max | mean | median | min | max | mean | median | |
| Market Cap | Premium subscription required | |||||||
| Time Held (# of quarters) | Premium subscription required | |||||||
| Stock BETA (1-yr) | Premium subscription required | |||||||
| Price/Earnings | Premium subscription required | |||||||
| Dividend Yield | Premium subscription required | |||||||
| Earnings Per Share | Premium subscription required | |||||||
| Piotroski Score | Premium subscription required | |||||||
| Book Value Per Share | Premium subscription required | |||||||
| Price to Book | Premium subscription required | |||||||
| Tangible Book Value Per Share | Premium subscription required | |||||||
| Rev. Growth | Premium subscription required | |||||||
| EPS Growth | Premium subscription required | |||||||
| Current Ratio | Premium subscription required | |||||||
| Quick Ratio | Premium subscription required | |||||||
| Enterprise Value | Premium subscription required | |||||||
| Debt to Equity | Premium subscription required | |||||||
| Price to Sales | Premium subscription required | |||||||
| Altman Z-Score | Premium subscription required | |||||||
| Sector Allocation | 0.05% ( ) | 24.603% (FINANCE) | 7.143% | 4.871% | 1.795% (ENERGY) | 62.898% (FINANCE) | 16.667% | 4.617% |
Risk/Reward Analysis
Portfolio Market Cap Analysis
Portfolio Performance
Top 20 equal-weighted holdings. Performance numbers calculated through 2023-08-14
| Performance for Q2 2023: | 9.71% |
| Performance Last 4 Quarters: | 17.82% |
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 |
Global (ex. US) Holdings
A premium subscription (standard or higher) is required to view global (non-US) holdings
Stale Holdings (no activity in past 21-months or sold out)
View Last Form Adv Compilation Report on Record
GOTHAM ASSET MANAGEMENT, LLCClassified as Hedge Fund
825 THIRD AVENUE SUITE 1750NEW YORK NY 10022-9525
Country: United States
Business Phone: 212-319-4100
Fax: 212-319-4419
| SEC Registration as : | Large Advisory Firm,Investment advisor to an investment company |
| Form of Organization: | Limited Liability Company |
| Organized in: | DE |
| Number of employees: | 37 |
| 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: | 57 |
| Amount of client funds and securities by related persons: | 1,635,590,000 |
| Total Number of clients from related persons: | 29 |
| Disclosures: |
- https://www.gothamfunds.com/
- https://am.gotham.com/
- https://www.gotham.com/
- https://www.linkedin.com/company/gotham-asset-management-llc/
- https://www.gothametfs.com/
Data above was derived from SEC filings.
Active Schedule 13D and 13G events
Sign in to see
GOTHAM ASSET MANAGEMENT, LLC
| Name | Title | Start Date | Direct/Indirect | % Ownership | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| GREENBLATT, JOEL, MICHAEL | MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER | 09/01/2010 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| GOLDSTEIN, ROBERT, LAURENCE | MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER | 09/01/2010 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| GOTHAM ASSET MANAGEMENT HOLDINGS, LP | OWNER / MEMBER | 08/01/2008 | Direct | 75% or more | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| SEIBERT, BERNARD, PHILIPS | CHIEF FINANCIAL OFFICER | 09/01/2010 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| LAROCCA, LOUIS, NMM | GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 03/01/2013 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| GREENBLATT, JOEL, MICHAEL | PARTNER GOTHAM ASSET MANAGEMENT HOLDINGS, LP | 08/01/2008 | Indirect | 25 - 50% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| GOLDSTEIN, ROBERT, LAURENCE | PARTNER GOTHAM ASSET MANAGEMENT HOLDINGS, LP | 08/01/2008 | Indirect | 25 - 50% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| GOTHAM GP, LLC | GENERAL PARTNER GOTHAM ASSET MANAGEMENT HOLDINGS, LP | 09/01/2010 | Indirect | Other | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Private Funds
| Name | Country | Fund Identification Number | Fund Type | Gross Asset Value | Minimum Investment | Other |
|---|---|---|---|---|---|---|
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES M102 | United States | 805-1486068398 | Hedge Fund | 114,590,357 | 10,000,000 | |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES R102 | United States | 805-4781253426 | Hedge Fund | 26,941,092 | 10,000,000 | |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES M101 | United States | 805-5899799261 | Hedge Fund | 16,869,780 | 10,000,000 | |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES R100 | United States | 805-5841386093 | Hedge Fund | 19,701,105 | 10,000,000 | |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES M100 | United States | 805-4554857482 | Hedge Fund | 223,500,640 | 10,000,000 | |
| GOTHAM HEDGED VALUE STRATEGIES 115/65 (MASTER), L.P. | Cayman Islands | 805-5351553335 | Hedge Fund | 13,026,153 | 1,000,000 | Master Fund |
| GOTHAM PENGUIN FUND, LP | United States | 805-4985441928 | Hedge Fund | 123,982,954 | 1,000,000 | |
| GOTHAM INDEX PLUS MASTER FUND, LP | Cayman Islands | 805-6126112899 | Hedge Fund | 53,774,057 | 1,000,000 | Master Fund |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES B | United States | 805-3065767089 | Hedge Fund | 288,234,554 | 250,000 | |
| GOTHAM HEDGED VALUE STRATEGIES 140/40 (MASTER), L.P. | Cayman Islands | 805-2938306006 | Hedge Fund | 44,168,620 | 1,000,000 | Master Fund |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES A | United States | 805-2988984705 | Hedge Fund | 26,771,434 | 250,000 | |
| GOTHAM CUSTOMIZED STRATEGIES, LLC (SEPTEMBER 2015 SERIES-C) | United States | 805-5135350127 | Hedge Fund | 3,808,171 | 1,000,000 | |
| GOTHAM TAX ENHANCED NEUTRAL FUND, LP - SERIES A | United States | 805-5449621436 | Hedge Fund | 57,753,554 | 250,000 | |
| GOTHAM BALANCED VALUE STRATEGIES (MASTER), LP | Cayman Islands | 805-8964953240 | Hedge Fund | 28,336,415 | 1,000,000 | Master Fund |
| GOTHAM TAX ENHANCED LONG FUND, LP - SERIES A | United States | 805-7412919790 | Hedge Fund | 104,486,350 | 250,000 | |
| GOTHAM NEUTRAL STRATEGIES (MASTER), LP | Cayman Islands | 805-9676948375 | Hedge Fund | 450,516,994 | 1,000,000 | Master Fund |
| GOTHAM CAPITAL VI, LLC - CLASS F-1 | United States | 805-6393206059 | Hedge Fund | 11,261,845 | 10,000 | Fund of Funds |
| GOTHAM CAPITAL VI, LLC - CLASS S | United States | 805-7670927100 | Hedge Fund | 11,242,843 | 10,000 | Fund of Funds |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES G102 | United States | 805-2411336214 | Hedge Fund | 21,701,272 | 10,000,000 | |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES G100 | United States | 805-5104788115 | Hedge Fund | 7,509,434 | 10,000,000 | |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES R101 | United States | 805-4453863417 | Hedge Fund | 54,182,081 | 10,000,000 | |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES C | United States | 805-9215554994 | Hedge Fund | 65,092,328 | 250,000 | |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES G103 | United States | 805-3134078850 | Hedge Fund | 9,669,527 | 10,000,000 | |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES G105 | United States | 805-6408832788 | Hedge Fund | 9,653,509 | 10,000,000 |
GOTHAM ASSET MANAGEMENT, LLC
| Name | Title | Start Date | Direct/Indirect | % Ownership | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| GREENBLATT, JOEL, MICHAEL | MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER | 09/01/2010 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| GOLDSTEIN, ROBERT, LAURENCE | MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER | 09/01/2010 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| GOTHAM ASSET MANAGEMENT HOLDINGS, LP | OWNER / MEMBER | 08/01/2008 | Direct | 75% or more | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| SEIBERT, BERNARD, PHILIPS | CHIEF FINANCIAL OFFICER | 09/01/2010 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| LAROCCA, LOUIS, NMM | GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 03/01/2013 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| GREENBLATT, JOEL, MICHAEL | PARTNER GOTHAM ASSET MANAGEMENT HOLDINGS, LP | 08/01/2008 | Indirect | 25 - 50% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| GOLDSTEIN, ROBERT, LAURENCE | PARTNER GOTHAM ASSET MANAGEMENT HOLDINGS, LP | 08/01/2008 | Indirect | 25 - 50% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| GOTHAM GP, LLC | GENERAL PARTNER GOTHAM ASSET MANAGEMENT HOLDINGS, LP | 09/01/2010 | Indirect | Other | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Private Funds
| Name | Country | Fund Identification Number | Fund Type | Gross Asset Value | Minimum Investment | Other |
|---|---|---|---|---|---|---|
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES M101 | United States | 805-5899799261 | Hedge Fund | 16,869,780 | 10,000,000 | |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES R100 | United States | 805-5841386093 | Hedge Fund | 19,701,105 | 10,000,000 | |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES M100 | United States | 805-4554857482 | Hedge Fund | 223,500,640 | 10,000,000 | |
| GOTHAM HEDGED VALUE STRATEGIES 115/65 (MASTER), L.P. | Cayman Islands | 805-5351553335 | Hedge Fund | 13,026,153 | 1,000,000 | Master Fund |
| GOTHAM PENGUIN FUND, LP | United States | 805-4985441928 | Hedge Fund | 123,982,954 | 1,000,000 | |
| GOTHAM INDEX PLUS MASTER FUND, LP | Cayman Islands | 805-6126112899 | Hedge Fund | 53,774,057 | 1,000,000 | Master Fund |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES B | United States | 805-3065767089 | Hedge Fund | 288,234,554 | 250,000 | |
| GOTHAM HEDGED VALUE STRATEGIES 140/40 (MASTER), L.P. | Cayman Islands | 805-2938306006 | Hedge Fund | 44,168,620 | 1,000,000 | Master Fund |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES A | United States | 805-2988984705 | Hedge Fund | 26,771,434 | 250,000 | |
| GOTHAM CUSTOMIZED STRATEGIES, LLC (SEPTEMBER 2015 SERIES-C) | United States | 805-5135350127 | Hedge Fund | 3,808,171 | 1,000,000 | |
| GOTHAM TAX ENHANCED NEUTRAL FUND, LP - SERIES A | United States | 805-5449621436 | Hedge Fund | 57,753,554 | 250,000 | |
| GOTHAM BALANCED VALUE STRATEGIES (MASTER), LP | Cayman Islands | 805-8964953240 | Hedge Fund | 28,336,415 | 1,000,000 | Master Fund |
| GOTHAM TAX ENHANCED LONG FUND, LP - SERIES A | United States | 805-7412919790 | Hedge Fund | 104,486,350 | 250,000 | |
| GOTHAM NEUTRAL STRATEGIES (MASTER), LP | Cayman Islands | 805-9676948375 | Hedge Fund | 450,516,994 | 1,000,000 | Master Fund |
| GOTHAM CAPITAL VI, LLC - CLASS F-1 | United States | 805-6393206059 | Hedge Fund | 11,261,845 | 10,000 | Fund of Funds |
| GOTHAM CAPITAL VI, LLC - CLASS S | United States | 805-7670927100 | Hedge Fund | 11,242,843 | 10,000 | Fund of Funds |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES G102 | United States | 805-2411336214 | Hedge Fund | 21,701,272 | 10,000,000 | |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES G100 | United States | 805-5104788115 | Hedge Fund | 7,509,434 | 10,000,000 | |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES R101 | United States | 805-4453863417 | Hedge Fund | 54,182,081 | 10,000,000 | |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES C | United States | 805-9215554994 | Hedge Fund | 65,092,328 | 250,000 | |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES G103 | United States | 805-3134078850 | Hedge Fund | 9,669,527 | 10,000,000 |
GOTHAM ASSET MANAGEMENT, LLC
| Name | Title | Start Date | Direct/Indirect | % Ownership | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| GREENBLATT, JOEL, MICHAEL | MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER | 09/01/2010 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| GOLDSTEIN, ROBERT, LAURENCE | MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER | 09/01/2010 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| GOTHAM ASSET MANAGEMENT HOLDINGS, LP | OWNER / MEMBER | 08/01/2008 | Direct | 75% or more | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| SEIBERT, BERNARD, PHILIPS | CHIEF FINANCIAL OFFICER | 09/01/2010 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| LAROCCA, LOUIS, NMM | GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 03/01/2013 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| GREENBLATT, JOEL, MICHAEL | PARTNER GOTHAM ASSET MANAGEMENT HOLDINGS, LP | 08/01/2008 | Indirect | 25 - 50% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| GOLDSTEIN, ROBERT, LAURENCE | PARTNER GOTHAM ASSET MANAGEMENT HOLDINGS, LP | 08/01/2008 | Indirect | 25 - 50% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| GOTHAM GP, LLC | GENERAL PARTNER GOTHAM ASSET MANAGEMENT HOLDINGS, LP | 09/01/2010 | Indirect | Other | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Private Funds
| Name | Country | Fund Identification Number | Fund Type | Gross Asset Value | Minimum Investment | Other |
|---|---|---|---|---|---|---|
| GOTHAM HEDGED VALUE STRATEGIES 115/65 (MASTER), L.P. | Cayman Islands | 805-5351553335 | Hedge Fund | 45,849,422 | 1,000,000 | Master Fund |
| GOTHAM PENGUIN FUND, LP | United States | 805-4985441928 | Hedge Fund | 124,469,238 | 1,000,000 | |
| GOTHAM INDEX PLUS MASTER FUND, LP | Cayman Islands | 805-6126112899 | Hedge Fund | 66,299,032 | 1,000,000 | Master Fund |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES B | United States | 805-3065767089 | Hedge Fund | 189,156,792 | 5,000,000 | |
| GOTHAM HEDGED VALUE STRATEGIES 140/40 (MASTER), L.P. | Cayman Islands | 805-2938306006 | Hedge Fund | 61,196,888 | 1,000,000 | Master Fund |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES A | United States | 805-2988984705 | Hedge Fund | 24,608,210 | 5,000,000 | |
| GOTHAM CUSTOMIZED STRATEGIES, LLC (SEPTEMBER 2015 SERIES-C) | United States | 805-5135350127 | Hedge Fund | 3,866,236 | 1,000,000 | |
| GOTHAM TAX ENHANCED NEUTRAL FUND, LP - SERIES A | United States | 805-5449621436 | Hedge Fund | 48,731,301 | 250,000 | |
| GOTHAM BALANCED VALUE STRATEGIES (MASTER), LP | Cayman Islands | 805-8964953240 | Hedge Fund | 30,166,649 | 1,000,000 | Master Fund |
| GOTHAM TAX ENHANCED LONG FUND, LP - SERIES A | United States | 805-7412919790 | Hedge Fund | 113,876,460 | 250,000 | |
| GOTHAM NEUTRAL STRATEGIES (MASTER), LP | Cayman Islands | 805-9676948375 | Hedge Fund | 469,239,662 | 1,000,000 | Master Fund |
| GOTHAM CAPITAL VI, LLC - CLASS F-1 | United States | 805-6393206059 | Hedge Fund | 11,834,333 | 10,000 | Fund of Funds |
| GOTHAM CAPITAL VI, LLC - CLASS S | United States | 805-7670927100 | Hedge Fund | 12,368,270 | 10,000 | Fund of Funds |
GOTHAM ASSET MANAGEMENT, LLC
| Name | Title | Start Date | Direct/Indirect | % Ownership |
|---|
Private Funds
| Name | Country | Fund Identification Number | Fund Type | Gross Asset Value | Minimum Investment | Other |
|---|---|---|---|---|---|---|
| GOTHAM HEDGED VALUE STRATEGIES 115/65 (MASTER), L.P. | Cayman Islands | 805-5351553335 | Hedge Fund | 45,849,422 | 1,000,000 | Master Fund |
| GOTHAM PENGUIN FUND, LP | United States | 805-4985441928 | Hedge Fund | 124,469,238 | 1,000,000 | |
| GOTHAM INDEX PLUS MASTER FUND, LP | Cayman Islands | 805-6126112899 | Hedge Fund | 66,299,032 | 1,000,000 | Master Fund |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES B | United States | 805-3065767089 | Hedge Fund | 189,156,792 | 5,000,000 | |
| GOTHAM TAX ENHANCED NEUTRAL FUND, LP - SERIES A | United States | 805-5449621436 | Hedge Fund | 48,731,301 | 250,000 | |
| GOTHAM BALANCED VALUE STRATEGIES (MASTER), LP | Cayman Islands | 805-8964953240 | Hedge Fund | 30,166,649 | 1,000,000 | Master Fund |
| GOTHAM TAX ENHANCED LONG FUND, LP - SERIES A | United States | 805-7412919790 | Hedge Fund | 113,876,460 | 250,000 | |
| GOTHAM NEUTRAL STRATEGIES (MASTER), LP | Cayman Islands | 805-9676948375 | Hedge Fund | 469,239,662 | 1,000,000 | Master Fund |
| GOTHAM CAPITAL VI, LLC - CLASS F-1 | United States | 805-6393206059 | Hedge Fund | 11,834,333 | 10,000 | Fund of Funds |
| GOTHAM CAPITAL VI, LLC - CLASS S | United States | 805-7670927100 | Hedge Fund | 12,368,270 | 10,000 | Fund of Funds |
| GOTHAM HEDGED VALUE STRATEGIES 140/40 (MASTER), L.P. | Cayman Islands | 805-2938306006 | Hedge Fund | 61,196,888 | 1,000,000 | Master Fund |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES A | United States | 805-2988984705 | Hedge Fund | 24,608,210 | 5,000,000 | |
| GOTHAM CUSTOMIZED STRATEGIES, LLC (SEPTEMBER 2015 SERIES-C) | United States | 805-5135350127 | Hedge Fund | 3,866,236 | 1,000,000 |
GOTHAM ASSET MANAGEMENT, LLC
| Name | Title | Start Date | Direct/Indirect | % Ownership | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| GREENBLATT, JOEL, MICHAEL | MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER | 09/01/2010 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| GOLDSTEIN, ROBERT, LAURENCE | MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER | 09/01/2010 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| GOTHAM ASSET MANAGEMENT HOLDINGS, LP | OWNER / MEMBER | 08/01/2008 | Direct | 75% or more | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| SEIBERT, BERNARD, PHILIPS | CHIEF FINANCIAL OFFICER | 09/01/2010 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| LAROCCA, LOUIS, NMM | GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 03/01/2013 | Direct | less than 5% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| GREENBLATT, JOEL, MICHAEL | PARTNER GOTHAM ASSET MANAGEMENT HOLDINGS, LP | 08/01/2008 | Indirect | 25 - 50% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| GOLDSTEIN, ROBERT, LAURENCE | PARTNER GOTHAM ASSET MANAGEMENT HOLDINGS, LP | 08/01/2008 | Indirect | 25 - 50% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| GOTHAM GP, LLC | GENERAL PARTNER GOTHAM ASSET MANAGEMENT HOLDINGS, LP | 09/01/2010 | Indirect | Other | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Private Funds
| Name | Country | Fund Identification Number | Fund Type | Gross Asset Value | Minimum Investment | Other |
|---|---|---|---|---|---|---|
| GOTHAM CUSTOMIZED STRATEGIES, LLC (SEPTEMBER 2015 SERIES-C) | United States | 805-5135350127 | Hedge Fund | 3,866,236 | 1,000,000 | |
| GOTHAM HEDGED VALUE STRATEGIES 115/65 (MASTER), L.P. | Cayman Islands | 805-5351553335 | Hedge Fund | 45,849,422 | 1,000,000 | Master Fund |
| GOTHAM PENGUIN FUND, LP | United States | 805-4985441928 | Hedge Fund | 124,469,238 | 1,000,000 | |
| GOTHAM INDEX PLUS MASTER FUND, LP | Cayman Islands | 805-6126112899 | Hedge Fund | 66,299,032 | 1,000,000 | Master Fund |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES B | United States | 805-3065767089 | Hedge Fund | 189,156,792 | 5,000,000 | |
| GOTHAM TAX ENHANCED NEUTRAL FUND, LP - SERIES A | United States | 805-5449621436 | Hedge Fund | 48,731,301 | 250,000 | |
| GOTHAM BALANCED VALUE STRATEGIES (MASTER), LP | Cayman Islands | 805-8964953240 | Hedge Fund | 30,166,649 | 1,000,000 | Master Fund |
| GOTHAM TAX ENHANCED LONG FUND, LP - SERIES A | United States | 805-7412919790 | Hedge Fund | 113,876,460 | 250,000 | |
| GOTHAM NEUTRAL STRATEGIES (MASTER), LP | Cayman Islands | 805-9676948375 | Hedge Fund | 469,239,662 | 1,000,000 | Master Fund |
| GOTHAM CAPITAL VI, LLC - CLASS F-1 | United States | 805-6393206059 | Hedge Fund | 11,834,333 | 10,000 | Fund of Funds |
| GOTHAM CAPITAL VI, LLC - CLASS S | United States | 805-7670927100 | Hedge Fund | 12,368,270 | 10,000 | Fund of Funds |
| GOTHAM HEDGED VALUE STRATEGIES 140/40 (MASTER), L.P. | Cayman Islands | 805-2938306006 | Hedge Fund | 61,196,888 | 1,000,000 | Master Fund |
| GOTHAM TRIPLE ADVANTAGE S&P 500 STRATEGY LP - SERIES A | United States | 805-2988984705 | Hedge Fund | 24,608,210 | 5,000,000 |
