GOTHAM ASSET MANAGEMENT, LLC

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

Gotham Asset Management is based out of New York. Gotham Asset Management is a large advisory firm with 68 clients and discretionary assets under management (AUM) of $9,002,341,103 (Form ADV from 2019-07-11). Their last reported 13F filing for Q3 2019 included $5,660,129,000 in managed 13F securities and a top 10 holdings concentration of 11.05%. Gotham Asset Management's largest holding is Apple Inc with shares held of 422,060. Whalewisdom has at least 37 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $5.66 Billion
  • Prior Market Value $6.266 Billion
  • New Purchases185 stocks
  • Additional Purchases355 stocks
  • Sold out of225 stocks
  • Reduced holdings in527 stocks
  • Top 10 Holdings % 11.05 %
  • Turnover % [1]:38.14%
  • Turnover Alt % [2]: 34.00 %
  • Time Held Top20:1.15 quarters
  • Time Held Top10:1.40 quarters
  • Time Held All:7.42 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: 9.11%
Performance Last 4 Quarters: 13.8%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required
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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR/A (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 (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)

View Last Form Adv Compilation Report on Record

GOTHAM ASSET MANAGEMENT, LLC
Classified as Hedge Fund
535 MADISON AVENUE 30TH FLOOR
NEW YORK NY    10022-4231
Country: United States
Business Phone: 212-319-4100
Fax: 212-319-4419
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 39
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: 68
Amount of client funds and securities by related persons: 2,411,760,000
Total Number of clients from related persons: 40
Disclosures:
Data above was derived from SEC filings.

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GOTHAM ASSET MANAGEMENT, LLC

ownership team - last updated 2019-07-11
Name Title Start Date Direct/Indirect % Ownership
GOTHAM ASSET MANAGEMENT HOLDINGS, LP OWNER / MEMBER 08/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
GOTHAM ASSET MANAGEMENT, LLC OWNER / MEMBER direct 2008-08-01
FORMULA TRADING, LLC OWNER direct 2008-08-01
SEIBERT, BERNARD, PHILIPS CHIEF FINANCIAL OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
FORMULA INVESTING, LLC CHIEF FINANCIAL OFFICER direct 2010-09-01
GREENBLATT, JOEL, MICHAEL MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
PZENA INVESTMENT MANAGEMENT LLC MANAGING MEMBER indirect 1995-01-01
PZENA INVESTMENT MANAGEMENT LLC MANAGING MEMBER indirect 1998-01-01
HAWKSHAW CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2002-08-01
KINGSTOWN CAPITAL MANAGEMENT L.P. MANAGING MEMBER indirect 2002-07-01
GOTHAM ASSET MANAGEMENT, LLC OWNER indirect 2008-08-01
FORMULA INVESTING, LLC OWNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC PARTNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING DIRECTOR/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
KINNEY ASSET MANAGEMENT, LLC. MEMBER indirect 2002-07-01
SOAPSTONE MANAGEMENT L.P. MANAGING MEMBER indirect 2003-10-01
PUNCH CARD MANAGEMENT LP MANAGING MEMBER indirect 2003-10-01
SPRINGHOUSE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2003-10-01
GOLDSTEIN, ROBERT, LAURENCE MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
HAWKSHAW CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2002-08-01
KINGSTOWN CAPITAL MANAGEMENT L.P. MANAGING MEMBER indirect 2002-07-01
GOTHAM ASSET MANAGEMENT, LLC OWNER indirect 2008-08-01
FORMULA TRADING, LLC OWNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC PARTNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING DIRECTOR/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
KINNEY ASSET MANAGEMENT, LLC. MEMBER indirect 2002-07-01
SOAPSTONE MANAGEMENT L.P. MEMBER indirect 2003-10-01
PUNCH CARD MANAGEMENT LP MEMBER indirect 2003-10-01
SPRINGHOUSE CAPITAL MANAGEMENT, LP MEMBER indirect 2003-10-01
LAROCCA, LOUIS, NMM GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER 03/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLOVIS CAPITAL MANAGEMENT, LP GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER direct 2011-08-01
GOTHAM ASSET MANAGEMENT, LLC GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER direct 2013-03-01
GREENBLATT, JOEL, MICHAEL PARTNER GOTHAM ASSET MANAGEMENT HOLDINGS, LP 08/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PZENA INVESTMENT MANAGEMENT LLC MANAGING MEMBER indirect 1995-01-01
PZENA INVESTMENT MANAGEMENT LLC MANAGING MEMBER indirect 1998-01-01
HAWKSHAW CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2002-08-01
KINGSTOWN CAPITAL MANAGEMENT L.P. MANAGING MEMBER indirect 2002-07-01
GOTHAM ASSET MANAGEMENT, LLC OWNER indirect 2008-08-01
FORMULA INVESTING, LLC OWNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC PARTNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING DIRECTOR/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
KINNEY ASSET MANAGEMENT, LLC. MEMBER indirect 2002-07-01
SOAPSTONE MANAGEMENT L.P. MANAGING MEMBER indirect 2003-10-01
PUNCH CARD MANAGEMENT LP MANAGING MEMBER indirect 2003-10-01
SPRINGHOUSE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2003-10-01
GOLDSTEIN, ROBERT, LAURENCE PARTNER GOTHAM ASSET MANAGEMENT HOLDINGS, LP 08/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HAWKSHAW CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2002-08-01
KINGSTOWN CAPITAL MANAGEMENT L.P. MANAGING MEMBER indirect 2002-07-01
GOTHAM ASSET MANAGEMENT, LLC OWNER indirect 2008-08-01
FORMULA TRADING, LLC OWNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC PARTNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING DIRECTOR/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
KINNEY ASSET MANAGEMENT, LLC. MEMBER indirect 2002-07-01
SOAPSTONE MANAGEMENT L.P. MEMBER indirect 2003-10-01
PUNCH CARD MANAGEMENT LP MEMBER indirect 2003-10-01
SPRINGHOUSE CAPITAL MANAGEMENT, LP MEMBER indirect 2003-10-01
GOTHAM GP, LLC GENERAL PARTNER GOTHAM ASSET MANAGEMENT HOLDINGS, LP 09/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
GOTHAM ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
GOTHAM HEDGE CORE FUND, LP United States 805-8952287736 Hedge Fund 1,702,580 1,000,000
GOTHAM HEDGE PLUS, LP United States 805-9150119134 Hedge Fund 2,503,947 1,000,000
GOTHAM NEUTRAL 500 FUND LP United States 805-6007002885 Hedge Fund 2,379,069 1,000,000
GOTHAM ABSOLUTE 500 CORE FUND, LP United States 805-7868416468 Hedge Fund 1,886,091 1,000,000
GOTHAM ENHANCED 500 FUND, LP United States 805-8793473928 Hedge Fund 7,714,926 1,000,000
GOTHAM LARGE VALUE FUND, LP United States 805-7656398720 Hedge Fund 1,336,479 1,000,000
GOTHAM ABSOLUTE 500 FUND, LP United States 805-3730195194 Hedge Fund 2,259,932 1,000,000
GOTHAM INDEX CORE FUND, LP United States 805-5559900884 Hedge Fund 1,937,253 1,000,000
GOTHAM ENHANCED 500 PLUS FUND, LP United States 805-6862519809 Hedge Fund 1,881,764 1,000,000
GOTHAM TAX ENHANCED NEUTRAL FUND, LP - SERIES A United States 805-5449621436 Hedge Fund 31,475,070 250,000
GOTHAM TARGETED NEUTRAL MASTER FUND, LP Cayman Islands 805-3434623745 Hedge Fund 107,014,357 1,000,000 Master Fund
GOTHAM DIVERSIFIED NEUTRAL MASTER FUND, LP Cayman Islands 805-5094496577 Hedge Fund 32,646,590 1,000,000 Master Fund
GOTHAM BALANCED VALUE STRATEGIES (MASTER), LP Cayman Islands 805-8964953240 Hedge Fund 49,913,006 1,000,000 Master Fund
GOTHAM ENHANCED LONG MASTER FUND, LP Cayman Islands 805-6813548353 Hedge Fund 309,876,411 1,000,000 Master Fund
GOTHAM DIVERSIFIED HEDGE (MASTER), L.P. Cayman Islands 805-7313316182 Hedge Fund 89,414,353 1,000,000 Master Fund
GOTHAM HEDGED VALUE STRATEGIES 115/65 (MASTER), L.P. Cayman Islands 805-5351553335 Hedge Fund 254,843,238 1,000,000 Master Fund
GOTHAM HEDGED VALUE STRATEGIES 140/40 (MASTER), L.P. Cayman Islands 805-2938306006 Hedge Fund 414,440,949 1,000,000 Master Fund
GOTHAM NEUTRAL STRATEGIES (MASTER), LP Cayman Islands 805-9676948375 Hedge Fund 681,767,030 1,000,000 Master Fund
GOTHAM CUSTOMIZED STRATEGIES, LLC (SEPTEMBER 2015 SERIES-C) United States 805-5135350127 Hedge Fund 4,526,950 1,000,000
GOTHAM PENGUIN FUND, LP United States 805-4985441928 Hedge Fund 309,700,489 1,000,000
GOTHAM CAPITAL VI, LLC - CLASS F-1 United States 805-6393206059 Hedge Fund 10,892,861 10,000 Fund of Funds
GOTHAM CAPITAL VI, LLC - CLASS S United States 805-7670927100 Hedge Fund 11,259,145 10,000 Fund of Funds
GOTHAM TAX ENHANCED LONG FUND, LP - SERIES A United States 805-7412919790 Hedge Fund 44,809,827 250,000
GOTHAM INDEX PLUS MASTER FUND, LP Cayman Islands 805-6126112899 Hedge Fund 35,575,073 1,000,000 Master Fund

GOTHAM ASSET MANAGEMENT, LLC

ownership team - last updated 2019-03-26
Name Title Start Date Direct/Indirect % Ownership
GOTHAM ASSET MANAGEMENT HOLDINGS, LP OWNER / MEMBER 08/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
GOTHAM ASSET MANAGEMENT, LLC OWNER / MEMBER direct 2008-08-01
FORMULA TRADING, LLC OWNER direct 2008-08-01
SEIBERT, BERNARD, PHILIPS CHIEF FINANCIAL OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
FORMULA INVESTING, LLC CHIEF FINANCIAL OFFICER direct 2010-09-01
GREENBLATT, JOEL, MICHAEL MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
PZENA INVESTMENT MANAGEMENT LLC MANAGING MEMBER indirect 1995-01-01
PZENA INVESTMENT MANAGEMENT LLC MANAGING MEMBER indirect 1998-01-01
HAWKSHAW CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2002-08-01
KINGSTOWN CAPITAL MANAGEMENT L.P. MANAGING MEMBER indirect 2002-07-01
GOTHAM ASSET MANAGEMENT, LLC OWNER indirect 2008-08-01
FORMULA INVESTING, LLC OWNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC PARTNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING DIRECTOR/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
KINNEY ASSET MANAGEMENT, LLC. MEMBER indirect 2002-07-01
SOAPSTONE MANAGEMENT L.P. MANAGING MEMBER indirect 2003-10-01
PUNCH CARD MANAGEMENT LP MANAGING MEMBER indirect 2003-10-01
SPRINGHOUSE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2003-10-01
GOLDSTEIN, ROBERT, LAURENCE MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
HAWKSHAW CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2002-08-01
KINGSTOWN CAPITAL MANAGEMENT L.P. MANAGING MEMBER indirect 2002-07-01
GOTHAM ASSET MANAGEMENT, LLC OWNER indirect 2008-08-01
FORMULA TRADING, LLC OWNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC PARTNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING DIRECTOR/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
KINNEY ASSET MANAGEMENT, LLC. MEMBER indirect 2002-07-01
SOAPSTONE MANAGEMENT L.P. MEMBER indirect 2003-10-01
PUNCH CARD MANAGEMENT LP MEMBER indirect 2003-10-01
SPRINGHOUSE CAPITAL MANAGEMENT, LP MEMBER indirect 2003-10-01
LAROCCA, LOUIS, NMM GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER 03/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLOVIS CAPITAL MANAGEMENT, LP GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER direct 2011-08-01
GOTHAM ASSET MANAGEMENT, LLC GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER direct 2013-03-01
GREENBLATT, JOEL, MICHAEL PARTNER GOTHAM ASSET MANAGEMENT HOLDINGS, LP 08/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PZENA INVESTMENT MANAGEMENT LLC MANAGING MEMBER indirect 1995-01-01
PZENA INVESTMENT MANAGEMENT LLC MANAGING MEMBER indirect 1998-01-01
HAWKSHAW CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2002-08-01
KINGSTOWN CAPITAL MANAGEMENT L.P. MANAGING MEMBER indirect 2002-07-01
GOTHAM ASSET MANAGEMENT, LLC OWNER indirect 2008-08-01
FORMULA INVESTING, LLC OWNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC PARTNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING DIRECTOR/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
KINNEY ASSET MANAGEMENT, LLC. MEMBER indirect 2002-07-01
SOAPSTONE MANAGEMENT L.P. MANAGING MEMBER indirect 2003-10-01
PUNCH CARD MANAGEMENT LP MANAGING MEMBER indirect 2003-10-01
SPRINGHOUSE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2003-10-01
GOLDSTEIN, ROBERT, LAURENCE PARTNER GOTHAM ASSET MANAGEMENT HOLDINGS, LP 08/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HAWKSHAW CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2002-08-01
KINGSTOWN CAPITAL MANAGEMENT L.P. MANAGING MEMBER indirect 2002-07-01
GOTHAM ASSET MANAGEMENT, LLC OWNER indirect 2008-08-01
FORMULA TRADING, LLC OWNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC PARTNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING DIRECTOR/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
KINNEY ASSET MANAGEMENT, LLC. MEMBER indirect 2002-07-01
SOAPSTONE MANAGEMENT L.P. MEMBER indirect 2003-10-01
PUNCH CARD MANAGEMENT LP MEMBER indirect 2003-10-01
SPRINGHOUSE CAPITAL MANAGEMENT, LP MEMBER indirect 2003-10-01
GOTHAM GP, LLC GENERAL PARTNER GOTHAM ASSET MANAGEMENT HOLDINGS, LP 09/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
GOTHAM ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
GOTHAM TAX ENHANCED NEUTRAL FUND, LP - SERIES A United States 805-5449621436 Hedge Fund 31,475,070 250,000
GOTHAM TARGETED NEUTRAL MASTER FUND, LP Cayman Islands 805-3434623745 Hedge Fund 107,014,357 1,000,000 Master Fund
GOTHAM DIVERSIFIED NEUTRAL MASTER FUND, LP Cayman Islands 805-5094496577 Hedge Fund 32,646,590 1,000,000 Master Fund
GOTHAM BALANCED VALUE STRATEGIES (MASTER), LP Cayman Islands 805-8964953240 Hedge Fund 49,913,006 1,000,000 Master Fund
GOTHAM ENHANCED LONG MASTER FUND, LP Cayman Islands 805-6813548353 Hedge Fund 309,876,411 1,000,000 Master Fund
GOTHAM DIVERSIFIED HEDGE (MASTER), L.P. Cayman Islands 805-7313316182 Hedge Fund 89,414,353 1,000,000 Master Fund
GOTHAM HEDGED VALUE STRATEGIES 115/65 (MASTER), L.P. Cayman Islands 805-5351553335 Hedge Fund 254,843,238 1,000,000 Master Fund
GOTHAM HEDGED VALUE STRATEGIES 140/40 (MASTER), L.P. Cayman Islands 805-2938306006 Hedge Fund 414,440,949 1,000,000 Master Fund
GOTHAM NEUTRAL STRATEGIES (MASTER), LP Cayman Islands 805-9676948375 Hedge Fund 681,767,030 1,000,000 Master Fund
GOTHAM CUSTOMIZED STRATEGIES, LLC (SEPTEMBER 2015 SERIES-C) United States 805-5135350127 Hedge Fund 4,526,950 1,000,000
GOTHAM PENGUIN FUND, LP United States 805-4985441928 Hedge Fund 309,700,489 1,000,000
GOTHAM CAPITAL VI, LLC - CLASS F-1 United States 805-6393206059 Securitized Asset Fund 10,892,861 10,000 Fund of Funds
GOTHAM CAPITAL VI, LLC - CLASS S United States 805-7670927100 Hedge Fund 11,259,145 10,000 Fund of Funds
GOTHAM TAX ENHANCED LONG FUND, LP - SERIES A United States 805-7412919790 Hedge Fund 44,809,827 250,000
GOTHAM INDEX PLUS MASTER FUND, LP Cayman Islands 805-6126112899 Hedge Fund 35,575,073 1,000,000 Master Fund
GOTHAM ABSOLUTE 500 CORE FUND, LP United States 805-7868416468 Hedge Fund 1,886,091 1,000,000
GOTHAM ENHANCED 500 FUND, LP United States 805-8793473928 Hedge Fund 7,714,926 1,000,000
GOTHAM LARGE VALUE FUND, LP United States 805-7656398720 Hedge Fund 1,336,479 1,000,000
GOTHAM ABSOLUTE 500 FUND, LP United States 805-3730195194 Hedge Fund 2,259,932 1,000,000
GOTHAM INDEX CORE FUND, LP United States 805-5559900884 Hedge Fund 1,937,253 1,000,000
GOTHAM ENHANCED 500 PLUS FUND, LP United States 805-6862519809 Hedge Fund 1,881,764 1,000,000
GOTHAM HEDGE CORE FUND, LP United States 805-8952287736 Hedge Fund 1,702,580 1,000,000
GOTHAM HEDGE PLUS, LP United States 805-9150119134 Hedge Fund 2,503,947 1,000,000
GOTHAM NEUTRAL 500 FUND LP United States 805-6007002885 Hedge Fund 2,379,069 1,000,000

GOTHAM ASSET MANAGEMENT, LLC

ownership team - last updated 2017-07-27
Name Title Start Date Direct/Indirect % Ownership
LAROCCA, LOUIS, NMM GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER 03/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLOVIS CAPITAL MANAGEMENT, LP GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER direct 2011-08-01
GOTHAM ASSET MANAGEMENT, LLC GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER direct 2013-03-01
GOLDSTEIN, ROBERT, LAURENCE MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
HAWKSHAW CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2002-08-01
KINGSTOWN CAPITAL MANAGEMENT L.P. MANAGING MEMBER indirect 2002-07-01
GOTHAM ASSET MANAGEMENT, LLC OWNER indirect 2008-08-01
FORMULA TRADING, LLC OWNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC PARTNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING DIRECTOR/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
KINNEY ASSET MANAGEMENT, LLC. MEMBER indirect 2002-07-01
SOAPSTONE MANAGEMENT L.P. MEMBER indirect 2003-10-01
PUNCH CARD MANAGEMENT LP MEMBER indirect 2003-10-01
SPRINGHOUSE CAPITAL MANAGEMENT, LP MEMBER indirect 2003-10-01
GREENBLATT, JOEL, MICHAEL MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
PZENA INVESTMENT MANAGEMENT LLC MANAGING MEMBER indirect 1995-01-01
PZENA INVESTMENT MANAGEMENT LLC MANAGING MEMBER indirect 1998-01-01
HAWKSHAW CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2002-08-01
KINGSTOWN CAPITAL MANAGEMENT L.P. MANAGING MEMBER indirect 2002-07-01
GOTHAM ASSET MANAGEMENT, LLC OWNER indirect 2008-08-01
FORMULA INVESTING, LLC OWNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC PARTNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING DIRECTOR/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
KINNEY ASSET MANAGEMENT, LLC. MEMBER indirect 2002-07-01
SOAPSTONE MANAGEMENT L.P. MANAGING MEMBER indirect 2003-10-01
PUNCH CARD MANAGEMENT LP MANAGING MEMBER indirect 2003-10-01
SPRINGHOUSE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2003-10-01
SEIBERT, BERNARD, PHILIPS CHIEF FINANCIAL OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
FORMULA INVESTING, LLC CHIEF FINANCIAL OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT HOLDINGS, LP OWNER / MEMBER 08/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
GOTHAM ASSET MANAGEMENT, LLC OWNER / MEMBER direct 2008-08-01
FORMULA TRADING, LLC OWNER direct 2008-08-01
GOTHAM GP, LLC GENERAL PARTNER GOTHAM ASSET MANAGEMENT HOLDINGS, LP 09/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
GOTHAM ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-09-01
GOLDSTEIN, ROBERT, LAURENCE PARTNER GOTHAM ASSET MANAGEMENT HOLDINGS, LP 08/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HAWKSHAW CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2002-08-01
KINGSTOWN CAPITAL MANAGEMENT L.P. MANAGING MEMBER indirect 2002-07-01
GOTHAM ASSET MANAGEMENT, LLC OWNER indirect 2008-08-01
FORMULA TRADING, LLC OWNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC PARTNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING DIRECTOR/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
KINNEY ASSET MANAGEMENT, LLC. MEMBER indirect 2002-07-01
SOAPSTONE MANAGEMENT L.P. MEMBER indirect 2003-10-01
PUNCH CARD MANAGEMENT LP MEMBER indirect 2003-10-01
SPRINGHOUSE CAPITAL MANAGEMENT, LP MEMBER indirect 2003-10-01
GREENBLATT, JOEL, MICHAEL PARTNER GOTHAM ASSET MANAGEMENT HOLDINGS, LP 08/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
PZENA INVESTMENT MANAGEMENT LLC MANAGING MEMBER indirect 1995-01-01
PZENA INVESTMENT MANAGEMENT LLC MANAGING MEMBER indirect 1998-01-01
HAWKSHAW CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2002-08-01
KINGSTOWN CAPITAL MANAGEMENT L.P. MANAGING MEMBER indirect 2002-07-01
GOTHAM ASSET MANAGEMENT, LLC OWNER indirect 2008-08-01
FORMULA INVESTING, LLC OWNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC PARTNER indirect 2008-08-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING PRINCIPAL/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC MANAGING DIRECTOR/CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
GOTHAM ASSET MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2010-09-01
KINNEY ASSET MANAGEMENT, LLC. MEMBER indirect 2002-07-01
SOAPSTONE MANAGEMENT L.P. MANAGING MEMBER indirect 2003-10-01
PUNCH CARD MANAGEMENT LP MANAGING MEMBER indirect 2003-10-01
SPRINGHOUSE CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2003-10-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
GOTHAM DIVERSIFIED NEUTRAL MASTER FUND, LP Cayman Islands 805-5094496577 Hedge Fund 337,045,000 1,000,000 Master Fund
GOTHAM TARGETED NEUTRAL MASTER FUND, LP Cayman Islands 805-3434623745 Hedge Fund 129,834,000 1,000,000 Master Fund
GOTHAM BALANCED VALUE STRATEGIES (MASTER), LP Cayman Islands 805-8964953240 Hedge Fund 144,186,000 1,000,000 Master Fund
GOTHAM CAPITAL V, LLC United States 805-7723338771 Hedge Fund 130,045,000 10,000 Master Fund Fund of Funds
GOTHAM CAPITAL VI, LLC - CLASS F1 United States 805-4473875578 Hedge Fund 64,856,305 10,000 Fund of Funds
GOTHAM ENHANCED LONG MASTER FUND, LP Cayman Islands 805-6813548353 Hedge Fund 396,128,000 1,000,000 Master Fund
GOTHAM CUSTOMIZED STRATEGIES, LLC (MARCH 2016 SERIES-D) United States 805-1187304882 Hedge Fund 562,000 1,000,000
GOTHAM DIVERSIFIED HEDGE (MASTER), L.P. Cayman Islands 805-7313316182 Hedge Fund 199,898,000 1,000,000 Master Fund
GOTHAM HEDGED VALUE STRATEGIES 115/65 (MASTER), L.P. Cayman Islands 805-5351553335 Hedge Fund 576,145,000 1,000,000 Master Fund
GOTHAM SHORT STRATEGIES (MASTER), LP Cayman Islands 805-2226501665 Hedge Fund 41,987,000 1,000,000 Master Fund
GOTHAM CUSTOMIZED STRATEGIES II, LP United States 805-6531081507 Hedge Fund 210,986,000 50,000,000
GOTHAM HEDGED VALUE STRATEGIES 140/40 (MASTER), L.P. Cayman Islands 805-2938306006 Hedge Fund 717,227,000 1,000,000 Master Fund
GOTHAM NEUTRAL STRATEGIES (MASTER), LP Cayman Islands 805-9676948375 Hedge Fund 845,489,000 1,000,000 Master Fund
GOTHAM CUSTOMIZED STRATEGIES, LLC (AUGUST 2013 SERIES-B) United States 805-7478398202 Hedge Fund 1,840,000 1,000,000
GOTHAM CUSTOMIZED STRATEGIES, LLC (SEPTEMBER 2015 SERIES-C) United States 805-5135350127 Hedge Fund 5,541,000 1,000,000
GOTHAM CUSTOMIZED STRATEGIES, LLC (AUGUST 2013 SERIES-A) United States 805-1966394660 Hedge Fund 32,621,000 1,000,000
GOTHAM PENGUIN FUND, LP United States 805-4985441928 Hedge Fund 136,835,000 1,000,000
GOTHAM CAPITAL VI, LLC - CLASS F United States 805-6393206059 Hedge Fund 11,605,000 10,000 Fund of Funds
GOTHAM CAPITAL VI, LLC - CLASS S United States 805-7670927100 Hedge Fund 13,146,000 10,000 Fund of Funds
GOTHAM EMPLOYEE FUND, LLC - GOTHAM TARGETED NEUTRAL SERIES United States 805-4299627827 Hedge Fund 2,073,000 10,000
GOTHAM INDEX PLUS MASTER FUND, LP Cayman Islands 805-6126112899 Hedge Fund 21,241,000 1,000,000 Master Fund

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