HARBERT FUND ADVISORS, INC.

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Harbert Fund Advisors is based out of Birmingham. Harbert Fund Advisors is a hedge fund with 57 clients and discretionary assets under management (AUM) of $8,104,824,585 (Form ADV from 2023-04-03). Their last reported 13F filing for Q1 2023 included $151,282,459 in managed 13F securities and a top 10 holdings concentration of 43.33%. Harbert Fund Advisors's largest holding is Enzo Biochem Inc. with shares held of 5,175,913. Harbert Fund Advisors has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 20 13F filings, 7 13D filings, and 2 Form 4 filings

03/31/2023

13F Activity

  • Market Value $151.282 Million
  • Prior Market Value $124.824 Million
  • New Purchases12 stocks
  • Additional Purchases25 stocks
  • Sold out of11 stocks
  • Reduced holdings in2 stocks
  • Top 10 Holdings % 43.33 %
  • Turnover % [1]:46.94%
  • Turnover Alt % [2]: 23.74 %
  • Time Held Top20:3.00 quarters
  • Time Held Top10:2.90 quarters
  • Time Held All:3.92 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.

03/31/2023

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 HARBERT FUND ADVISORS, INC.

Portfolio Analysis

Classifications:

Q1 2023:

Consistent Across Past 4 Quarters:
Type of 13F Disclosure 13F Holdings Report
% of holdings ETF 0.0
% of top 20 holdings the same as top 20 most commonly held by all managers 5.0%
ALL HOLDINGS TOP-20 HOLDINGS
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Sector Allocation 2.388% ( ) 32.445% (INFORMATION TECHNOLOGY) 11.111% 6.09% 3.697% (MATERIALS) 38.08% (INFORMATION TECHNOLOGY) 14.286% 6.95%

Risk/Reward Analysis

Portfolio Market Cap Analysis

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2023-05-15

Performance for Q1 2023: 0.87%
Performance Last 4 Quarters: 5.09%
Performance Metrics
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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

HARBERT FUND ADVISORS, INC.
Classified as Hedge Fund
2100 THIRD AVENUE NORTH, STE 600
BIRMINGHAM AL    35203
Country: United States
Business Phone: 205/987-5500
Fax: 205/987-5505
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: AL
Number of employees: 165
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 5,882,600,000
Total Number of Clients: 57
Amount of client funds and securities by related persons: 5,882,600,000
Total Number of clients from related persons: 23
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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HARBERT FUND ADVISORS, INC.

ownership team - last updated 2023-03-30
Name Title Start Date Direct/Indirect % Ownership
BAUDER, MICHAEL, CONRAD VICE PRESIDENT & CHIEF COMPLIANCE OFFICER 07/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. VICE PRESIDENT & CHIEF COMPLIANCE OFFICER direct 2006-07-01
THE HARBINGER GROUP JV VP & CHIEF COMPLIANCE OFFICER OF MANAGING VENTURER direct 2006-07-01
HANCOCK INVESTMENT SERVICES, INC. VICE PRESIDENT, COMPLIANCE DIRECTOR direct 2001-01-01 2004-09-02
HANCOCK BANK CHIEF COMPLIANCE OFFICER direct 2004-09-01 2006-03-16
THE HARBINGER GROUP JV VP & CHIEF COMPLIANCE OFFICER direct 2006-07-01 2007-03-07
HARBERT, RAYMOND, JONES CHAIRMAN, CEO & DIRECTOR 11/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 1993-11-01
THE HARBINGER GROUP JV CHAIRMAN & CEO OF MANAGING VENTURER direct 1993-11-01
HARBERT FUND ADVISORS, INC. CHAIRMAN, CEO & DIRECTOR direct 1993-11-01
THE HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01
HARBINGER GROUP JV CHAIRMAN direct 1993-11-01 2001-03-06
HARBINGER GROUP INC PRESIDENT, CEO, CHAIRMAN, DIRECTOR direct 1993-11-01 2001-11-09
HARBINGER GROUP JV CHAIRMAN, DIRECTOR direct 1993-11-01 2002-03-26
HARBINGER GROUP INC CHAIRMAN, DIRECTOR direct 1993-11-01 2002-04-03
HARBINGER GROUP JV CHAIRMAN & CEO direct 1993-11-01 2003-03-21
PURCELL, LEE, WALTON GLOBAL HEAD OF CAPITAL MARKETS 03/01/2022 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. GLOBAL HEAD OF CAPITAL MARKETS direct 2022-03-01
BRYANT, JOHN, FREDERICK EXECUTIVE VICE PRESIDENT & SENIOR MANAGING DIRECTOR, ABSOLUTE RETURN STRATEGIES 12/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 2021-01-01
MCCULLOUGH, JOHN, WATKINS EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY 03/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY direct 2009-03-01
HARBERT FUND ADVISORS, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY direct 2009-03-01
HARBERT, RAYMOND, JONES EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 2018-06-01
HARBINGER CORPORATION SHAREHOLDER 11/01/1993 Direct 75% or more
Fund Name Position direct/indirect start date end date
THE HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01
HARBERT FUND ADVISORS, INC. SHAREHOLDER direct 1993-11-01
HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01 2005-02-04
Pritchett, Jason, Travis PRESIDENT & CHIEF OPERATING OFFICER 01/01/2021 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. PRESIDENT & CHIEF OPERATING OFFICER direct 2021-01-01
HARBERT, RAYMOND, JONES SHAREHOLDER HARBERT MANAGEMENT CORPORATION 11/01/1993 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 1993-11-01
THE HARBINGER GROUP JV CHAIRMAN & CEO OF MANAGING VENTURER direct 1993-11-01
HARBERT FUND ADVISORS, INC. CHAIRMAN, CEO & DIRECTOR direct 1993-11-01
THE HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01
HARBINGER GROUP JV CHAIRMAN direct 1993-11-01 2001-03-06
HARBINGER GROUP INC PRESIDENT, CEO, CHAIRMAN, DIRECTOR direct 1993-11-01 2001-11-09
HARBINGER GROUP JV CHAIRMAN, DIRECTOR direct 1993-11-01 2002-03-26
HARBINGER GROUP INC CHAIRMAN, DIRECTOR direct 1993-11-01 2002-04-03
HARBINGER GROUP JV CHAIRMAN & CEO direct 1993-11-01 2003-03-21
BRYANT, JOHN, FREDERICK SHAREHOLDER HARBERT MANAGEMENT CORPORATION 01/01/2021 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 2021-01-01
HARBERT, RAYMOND, JONES SHAREHOLDER HARBERT MANAGEMENT CORPORATION 06/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 2018-06-01
HARBERT, JOHN, MURDOCH SHAREHOLDER HARBERT MANAGEMENT CORPORATION 06/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 2018-06-01
HARBERT MANAGEMENT CORPORATION SHAREHOLDER HARBINGER CORPORATION 11/01/1993 Indirect 75% or more
Fund Name Position direct/indirect start date end date
THE HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 1993-11-01
Bryant, Mary, Kathryn SHAREHOLDER HARBERT MANAGEMENT CORPORATION 06/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 2018-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
HARBERT EUROPEAN REAL ESTATE FUND VI, L.P. United Kingdom 805-8721267029 Real Estate Fund 115,047,857 10,000,000 Master Fund
HARBERT PIONEER FUND, LP United States 805-6032581518 Hedge Fund 32,892,686 1,000,000 Feeder Fund
HARBERT GENERATE CO-INVESTMENT FUND II, LP United States 805-8303994406 Private Equity Fund 508,408 100,000 Master Fund
HARBERT UNITED STATES REAL ESTATE FUND VI, LP United States 805-4876733099 Real Estate Fund 253,699,470 500,000 Master Fund
HARBERT MEZZANINE PARTNERS III , LP United States 805-2909353996 Private Equity Fund 68,958,385 500,000
HARBERT EUROPEAN REAL ESTATE FUND V, L.P. United Kingdom 805-2441830914 Real Estate Fund 718,741,905 10,000,000 Master Fund
HARBERT POWER FUND V, LLC United States 805-6988870242 Private Equity Fund 110,264,883 5,000,000 Master Fund
HARBERT CH ARIZONA INVESTOR, LP United States 805-9613174061 Real Estate Fund 33,322,173 100,000
HARBERT MEZZANINE PARTNERS II, LP United States 805-7910492188 Private Equity Fund 67,751 500,000
GULF PACIFIC POWER, LLC United States 805-2536626409 Private Equity Fund 1,873,203,770 1,000,000
HARBERT DISCOVERY FUND, LP United States 805-6856529644 Hedge Fund 81,595,949 250,000
HARBERT VENTURE PARTNERS II, LP United States 805-2685253341 Venture Capital Fund 8,702,527 250,000
HARBERT STONEVIEW FUND, LP United States 805-1674014053 Hedge Fund 103,306,674 1,000,000 Feeder Fund
HARBERT DISCOVERY CO-INVESTMENT FUND I, LP United States 805-7302385601 Hedge Fund 10,475,414 250,000
HUSREF VII RTC CO-INVESTOR, LP United States 805-5854238414 Real Estate Fund 56,731,613 500,000
HARBERT STONEVIEW OPPORTUNITY FUND I, LP United States 805-3019108735 Hedge Fund 11,119,652 250,000
HARBERT VENTURE PARTNERS III, LP United States 805-2447108793 Venture Capital Fund 19,813,068 500,000
HARBERT MEZZANINE PARTNERS II SBIC, LP United States 805-3610504192 Other Private Fund MEZZANINE 20,519,372 500,000
HARBERT INFRASTRUCTURE VI, LP United States 805-4670559214 Private Equity Fund 193,754,574 5,000,000
HARBERT POWER FUND V (AIV), LLC United States 805-7306635974 Private Equity Fund 19,313,935 5,000,000
HARBERT UNITED STATES REAL ESTATE FUND V, LP United States 805-5408580463 Real Estate Fund 24,830,181 5,000,000 Master Fund
HARBERT EUROPEAN REAL ESTATE FUND IV, LP United Kingdom 805-8349284726 Real Estate Fund 213,686,573 10,000,000 Master Fund
HARBERT GROWTH PARTNERS IV, LP United States 805-8104971948 Venture Capital Fund 128,293,354 500,000
HARBERT SENIORS HOUSING FUND I, LP United States 805-8696134439 Real Estate Fund 175,301,490 2,000,000
HARBERT SENIORS HOUSING FUND II, LP United States 805-3118574443 Real Estate Fund 163,030,074 2,000,000
HARBERT CREDIT SOLUTIONS FUND IV, L.P. United States 805-4254673822 Private Equity Fund 243,358,719 1,000,000 Master Fund
HARBERT UNITED STATES REAL ESTATE FUND VII, L.P. United States 805-2529756806 Real Estate Fund 465,176,210 500,000 Master Fund
HEREF V MERLIN CO-INVESTOR, LP United Kingdom 805-5389610571 Real Estate Fund 217,689,102 100,000
HARBERT STONEVIEW CO-INVESTMENT I, LP United States 805-3525966088 Hedge Fund 38,763,941 0
TDG OPPORTUNITIES I, LP United States 805-4022685026 Hedge Fund 69,459,397 100,000 Master Fund
THE DONERAIL FUND, LP United States 805-2421537520 Hedge Fund 37,494,569 5,000,000 Feeder Fund
HARBERT PARKSIDE CO-INVESTOR, LP United States 805-5472803611 Real Estate Fund 113,475,754 100,000
HARBERT GROWTH PARTNERS V, LP United States 805-1474060071 Venture Capital Fund 61,653,959 1,000,000
HARBERT GENERATE CO-INVESTMENT FUND, L.P. United States 805-2791854806 Private Equity Fund 184,551,889 100,000 Master Fund
HARBERT OPPORTUNISTIC OFFSHORE CAPITAL, SPC - DONERAIL SP #2 Cayman Islands 805-4240018028 Hedge Fund 2,823,546 100,000
HARBERT CREDIT SOLUTIONS FUND V, LP United States 805-1894819403 Private Equity Fund 30,516,770 1,000,000 Master Fund
HCSF IV PARALLEL FUND United States 805-2740052336 Private Equity Fund 14,724,602 1,000,000
HUSREF VII PARALLEL FUND Luxembourg 805-8399278102 Real Estate Fund 54,130,120 500,000
HSH II PARALLEL FUND Luxembourg 805-5062115585 Real Estate Fund 24,272,188 2,000,000

HARBERT FUND ADVISORS, INC.

ownership team - last updated 2022-03-28
Name Title Start Date Direct/Indirect % Ownership
BAUDER, MICHAEL, CONRAD VICE PRESIDENT & CHIEF COMPLIANCE OFFICER 07/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. VICE PRESIDENT & CHIEF COMPLIANCE OFFICER direct 2006-07-01
THE HARBINGER GROUP JV VP & CHIEF COMPLIANCE OFFICER OF MANAGING VENTURER direct 2006-07-01
HANCOCK INVESTMENT SERVICES, INC. VICE PRESIDENT, COMPLIANCE DIRECTOR direct 2001-01-01 2004-09-02
HANCOCK BANK CHIEF COMPLIANCE OFFICER direct 2004-09-01 2006-03-16
THE HARBINGER GROUP JV VP & CHIEF COMPLIANCE OFFICER direct 2006-07-01 2007-03-07
HARBERT, RAYMOND, JONES CHAIRMAN, CEO & DIRECTOR 11/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 1993-11-01
THE HARBINGER GROUP JV CHAIRMAN & CEO OF MANAGING VENTURER direct 1993-11-01
HARBERT FUND ADVISORS, INC. CHAIRMAN, CEO & DIRECTOR direct 1993-11-01
THE HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01
HARBINGER GROUP JV CHAIRMAN direct 1993-11-01 2001-03-06
HARBINGER GROUP INC PRESIDENT, CEO, CHAIRMAN, DIRECTOR direct 1993-11-01 2001-11-09
HARBINGER GROUP JV CHAIRMAN, DIRECTOR direct 1993-11-01 2002-03-26
HARBINGER GROUP INC CHAIRMAN, DIRECTOR direct 1993-11-01 2002-04-03
HARBINGER GROUP JV CHAIRMAN & CEO direct 1993-11-01 2003-03-21
MILLER, CHARLES, DONALD EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION 11/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION direct 2001-11-01
THE HARBINGER GROUP JV EXECUTIVE VICE PRESIDENT & GLOBAL HEAD OF DISTRIBUTION OF MANAGING VENTURER direct 2001-11-01
HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01 2001-02-28
HARBINGER GROUP INC VICE PRESIDENT & TREASURER direct 2001-11-01 2002-04-03
HARBINGER GROUP JV EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFCIER direct 2001-11-01 2003-03-21
THE HARBINGER GROUP JV EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFCIER OF MANAGING VENTURER direct 2001-11-01 2007-03-07
THE HARBINGER GROUP JV EXECUTIVE VICE PRESIDENT & CFO OF MANAGING VENTURER direct 2001-11-01 2010-03-04
HARBERT FUND ADVISORS, INC. EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER direct 2001-11-01 2011-03-29
MCCULLOUGH, JOHN, WATKINS EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY 03/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY direct 2009-03-01
HARBERT FUND ADVISORS, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY direct 2009-03-01
HARBERT, RAYMOND, JONES EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 2018-06-01
HARBINGER CORPORATION SHAREHOLDER 11/01/1993 Direct 75% or more
Fund Name Position direct/indirect start date end date
THE HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01
HARBERT FUND ADVISORS, INC. SHAREHOLDER direct 1993-11-01
HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01 2005-02-04
Pritchett, Jason, Travis PRESIDENT & CHIEF OPERATING OFFICER 01/01/2021 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. PRESIDENT & CHIEF OPERATING OFFICER direct 2021-01-01
HARBERT, RAYMOND, JONES SHAREHOLDER HARBERT MANAGEMENT CORPORATION 11/01/1993 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 1993-11-01
THE HARBINGER GROUP JV CHAIRMAN & CEO OF MANAGING VENTURER direct 1993-11-01
HARBERT FUND ADVISORS, INC. CHAIRMAN, CEO & DIRECTOR direct 1993-11-01
THE HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01
HARBINGER GROUP JV CHAIRMAN direct 1993-11-01 2001-03-06
HARBINGER GROUP INC PRESIDENT, CEO, CHAIRMAN, DIRECTOR direct 1993-11-01 2001-11-09
HARBINGER GROUP JV CHAIRMAN, DIRECTOR direct 1993-11-01 2002-03-26
HARBINGER GROUP INC CHAIRMAN, DIRECTOR direct 1993-11-01 2002-04-03
HARBINGER GROUP JV CHAIRMAN & CEO direct 1993-11-01 2003-03-21
BRYANT, JOHN, FREDERICK SHAREHOLDER HARBERT MANAGEMENT CORPORATION 01/01/2021 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 2021-01-01
HARBERT, RAYMOND, JONES SHAREHOLDER HARBERT MANAGEMENT CORPORATION 06/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 2018-06-01
HARBERT, JOHN, MURDOCH SHAREHOLDER HARBERT MANAGEMENT CORPORATION 06/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 2018-06-01
HARBERT MANAGEMENT CORPORATION SHAREHOLDER HARBINGER CORPORATION 11/01/1993 Indirect 75% or more
Fund Name Position direct/indirect start date end date
THE HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 1993-11-01
Bryant, Mary, Kathryn SHAREHOLDER HARBERT MANAGEMENT CORPORATION 06/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 2018-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
HARBERT UNITED STATES REAL ESTATE FUND VI, LP United States 805-4876733099 Real Estate Fund 467,085,059 500,000 Master Fund
HARBERT MEZZANINE PARTNERS III , LP United States 805-2909353996 Private Equity Fund 74,329,721 500,000
HARBERT EUROPEAN REAL ESTATE FUND III, LP United Kingdom 805-5887256899 Real Estate Fund 27,210,029 10,000,000 Master Fund
HARBERT EUROPEAN REAL ESTATE FUND V, L.P. United Kingdom 805-2441830914 Real Estate Fund 611,272,663 10,000,000 Master Fund
HARBERT POWER FUND V, LLC United States 805-6988870242 Private Equity Fund 240,486,242 5,000,000 Master Fund
HARBERT CH ARIZONA INVESTOR, LP United States 805-9613174061 Real Estate Fund 33,244,175 100,000
HARBERT VENTURE PARTNERS (ANNEX FUND), LLC United States 805-1531088535 Venture Capital Fund 195,757 250,000
HARBERT MEZZANINE PARTNERS II, LP United States 805-7910492188 Private Equity Fund 117,131 500,000
GULF PACIFIC POWER, LLC United States 805-2536626409 Private Equity Fund 1,600,491,197 1,000,000
HARBERT VENTURE PARTNERS, LLC United States 805-4996030111 Venture Capital Fund 2,896,476 250,000
HARBERT VENTURE PARTNERS II, LP United States 805-2685253341 Venture Capital Fund 37,380,591 250,000
HARBERT VENTURE PARTNERS III, LP United States 805-2447108793 Venture Capital Fund 26,118,624 500,000
HARBERT MEZZANINE PARTNERS II SBIC, LP United States 805-3610504192 Other Private Fund MEZZANINE 26,291,847 500,000
HARBERT DISCOVERY FUND, LP United States 805-6856529644 Hedge Fund 81,595,949 250,000
HARBERT STONEVIEW FUND, LP United States 805-1674014053 Hedge Fund 116,527,892 1,000,000 Feeder Fund
HARBERT DISCOVERY CO-INVESTMENT FUND I, LP United States 805-7302385601 Hedge Fund 10,475,414 250,000
HUSREF VII RTC CO-INVESTOR, LP United States 805-5854238414 Real Estate Fund 66,406,887 500,000
HARBERT STONEVIEW OPPORTUNITY FUND I, LP United States 805-3019108735 Hedge Fund 14,951,475 250,000
GOTHAM POWER INVESTORS, LLC United States 805-1942698402 Private Equity Fund 621,434,000 5,000,000
HARBERT INFRASTRUCTURE VI, LP United States 805-4670559214 Private Equity Fund 77,757,519 5,000,000
HARBERT POWER FUND V (AIV), LLC United States 805-7306635974 Private Equity Fund 20,409,516 5,000,000
HARBERT UNITED STATES REAL ESTATE FUND V, LP United States 805-5408580463 Real Estate Fund 119,164,480 5,000,000 Master Fund
HARBERT EUROPEAN REAL ESTATE FUND IV, LP United Kingdom 805-8349284726 Real Estate Fund 213,686,573 10,000,000 Master Fund
HARBERT GROWTH PARTNERS IV, LP United States 805-8104971948 Venture Capital Fund 135,387,397 500,000
HARBERT SENIORS HOUSING FUND I, LP United States 805-8696134439 Real Estate Fund 178,835,683 2,000,000
HARBERT SENIORS HOUSING FUND II, LP United States 805-3118574443 Real Estate Fund 137,155,361 2,000,000
HARBERT CREDIT SOLUTIONS FUND IV, L.P. United States 805-4254673822 Private Equity Fund 214,180,791 1,000,000
HARBERT UNITED STATES REAL ESTATE FUND VII, L.P. United States 805-2529756806 Real Estate Fund 328,435,526 500,000 Master Fund
HEREF V MERLIN CO-INVESTOR, LP United Kingdom 805-5389610571 Real Estate Fund 247,852,571 100,000
HARBERT STONEVIEW CO-INVESTMENT I, LP United States 805-3525966088 Hedge Fund 42,514,744 0
TDG OPPORTUNITIES I, LP United States 805-4022685026 Hedge Fund 65,720,838 100,000 Master Fund
THE DONERAIL FUND, LP United States 805-2421537520 Hedge Fund 65,720,838 5,000,000 Feeder Fund
HARBERT PARKSIDE CO-INVESTOR, LP United States 805-5472803611 Real Estate Fund 84,665,898 100,000
HARBERT GROWTH PARTNERS V, LP United States 805-1474060071 Venture Capital Fund 36,537,124 1,000,000
HARBERT GENERATE CO-INVESTMENT FUND, L.P. United States 805-2791854806 Private Equity Fund 76,434,464 100,000 Master Fund

HARBERT FUND ADVISORS, INC.

ownership team - last updated 2021-03-31
Name Title Start Date Direct/Indirect % Ownership
BAUDER, MICHAEL, CONRAD VICE PRESIDENT & CHIEF COMPLIANCE OFFICER 07/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. VICE PRESIDENT & CHIEF COMPLIANCE OFFICER direct 2006-07-01
THE HARBINGER GROUP JV VP & CHIEF COMPLIANCE OFFICER OF MANAGING VENTURER direct 2006-07-01
HANCOCK INVESTMENT SERVICES, INC. VICE PRESIDENT, COMPLIANCE DIRECTOR direct 2001-01-01 2004-09-02
HANCOCK BANK CHIEF COMPLIANCE OFFICER direct 2004-09-01 2006-03-16
THE HARBINGER GROUP JV VP & CHIEF COMPLIANCE OFFICER direct 2006-07-01 2007-03-07
HARBERT, RAYMOND, JONES CHAIRMAN, CEO & DIRECTOR 11/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 1993-11-01
THE HARBINGER GROUP JV CHAIRMAN & CEO OF MANAGING VENTURER direct 1993-11-01
HARBERT FUND ADVISORS, INC. CHAIRMAN, CEO & DIRECTOR direct 1993-11-01
THE HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01
HARBINGER GROUP JV CHAIRMAN direct 1993-11-01 2001-03-06
HARBINGER GROUP INC PRESIDENT, CEO, CHAIRMAN, DIRECTOR direct 1993-11-01 2001-11-09
HARBINGER GROUP JV CHAIRMAN, DIRECTOR direct 1993-11-01 2002-03-26
HARBINGER GROUP INC CHAIRMAN, DIRECTOR direct 1993-11-01 2002-04-03
HARBINGER GROUP JV CHAIRMAN & CEO direct 1993-11-01 2003-03-21
MILLER, CHARLES, DONALD EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION 11/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION direct 2001-11-01
THE HARBINGER GROUP JV EXECUTIVE VICE PRESIDENT & GLOBAL HEAD OF DISTRIBUTION OF MANAGING VENTURER direct 2001-11-01
HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01 2001-02-28
HARBINGER GROUP INC VICE PRESIDENT & TREASURER direct 2001-11-01 2002-04-03
HARBINGER GROUP JV EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFCIER direct 2001-11-01 2003-03-21
THE HARBINGER GROUP JV EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFCIER OF MANAGING VENTURER direct 2001-11-01 2007-03-07
THE HARBINGER GROUP JV EXECUTIVE VICE PRESIDENT & CFO OF MANAGING VENTURER direct 2001-11-01 2010-03-04
HARBERT FUND ADVISORS, INC. EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER direct 2001-11-01 2011-03-29
MCCULLOUGH, JOHN, WATKINS EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY 03/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY direct 2009-03-01
HARBERT FUND ADVISORS, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY direct 2009-03-01
HARBERT, RAYMOND, JONES EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 2018-06-01
HARBINGER CORPORATION SHAREHOLDER 11/01/1993 Direct 75% or more
Fund Name Position direct/indirect start date end date
THE HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01
HARBERT FUND ADVISORS, INC. SHAREHOLDER direct 1993-11-01
HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01 2005-02-04
HARBERT, RAYMOND, JONES SHAREHOLDER HARBERT MANAGEMENT CORPORATION 11/01/1993 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 1993-11-01
THE HARBINGER GROUP JV CHAIRMAN & CEO OF MANAGING VENTURER direct 1993-11-01
HARBERT FUND ADVISORS, INC. CHAIRMAN, CEO & DIRECTOR direct 1993-11-01
THE HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01
HARBINGER GROUP JV CHAIRMAN direct 1993-11-01 2001-03-06
HARBINGER GROUP INC PRESIDENT, CEO, CHAIRMAN, DIRECTOR direct 1993-11-01 2001-11-09
HARBINGER GROUP JV CHAIRMAN, DIRECTOR direct 1993-11-01 2002-03-26
HARBINGER GROUP INC CHAIRMAN, DIRECTOR direct 1993-11-01 2002-04-03
HARBINGER GROUP JV CHAIRMAN & CEO direct 1993-11-01 2003-03-21
BRYANT, JOHN, FREDERICK SHAREHOLDER HARBERT MANAGEMENT CORPORATION 01/01/2021 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 2021-01-01
HARBERT, RAYMOND, JONES SHAREHOLDER HARBERT MANAGEMENT CORPORATION 06/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 2018-06-01
HARBERT, JOHN, MURDOCH SHAREHOLDER HARBERT MANAGEMENT CORPORATION 06/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 2018-06-01
HARBERT MANAGEMENT CORPORATION SHAREHOLDER HARBINGER CORPORATION 11/01/1993 Indirect 75% or more
Fund Name Position direct/indirect start date end date
THE HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 1993-11-01
Bryant, Mary, Kathryn SHAREHOLDER HARBERT MANAGEMENT CORPORATION 06/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 2018-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
HARBERT CREDIT SOLUTIONS FUND IV, L.P. United States 805-4254673822 Private Equity Fund 191,017,959 1,000,000
HARBERT UNITED STATES REAL ESTATE FUND VII, L.P. United States 805-2529756806 Real Estate Fund 144,551,806 500,000 Master Fund
HARBERT UNITED STATES REAL ESTATE FUND VI, LP United States 805-4876733099 Real Estate Fund 484,904,794 500,000 Master Fund
HARBERT EUROPEAN REAL ESTATE FUND III, LP United Kingdom 805-5887256899 Real Estate Fund 104,651,098 10,000,000 Master Fund
HARBERT MEZZANINE PARTNERS III , LP United States 805-2909353996 Private Equity Fund 100,275,184 500,000
HARBERT EUROPEAN REAL ESTATE - LS CO-INVESTMENT FUND I, LP United States 805-7416014408 Real Estate Fund 41,480,724 1,000,000
HARBERT EUROPEAN REAL ESTATE FUND V, L.P. United Kingdom 805-2441830914 Real Estate Fund 470,049,166 10,000,000 Master Fund
HARBERT POWER FUND V, LLC United States 805-6988870242 Private Equity Fund 439,960,246 5,000,000 Master Fund
HARBERT CH ARIZONA INVESTOR, LP United States 805-9613174061 Real Estate Fund 21,970,369 0
HARBERT VENTURE PARTNERS (ANNEX FUND), LLC United States 805-1531088535 Venture Capital Fund 3,869,221 250,000
HARBERT MEZZANINE PARTNERS II, LP United States 805-7910492188 Private Equity Fund 56,908 500,000
GULF PACIFIC POWER, LLC United States 805-2536626409 Private Equity Fund 1,581,915,989 1,000,000
HARBERT VENTURE PARTNERS, LLC United States 805-4996030111 Venture Capital Fund 25,153,538 250,000
HARBERT VENTURE PARTNERS II, LP United States 805-2685253341 Venture Capital Fund 45,308,737 250,000
HARBERT VENTURE PARTNERS III, LP United States 805-2447108793 Venture Capital Fund 50,517,245 500,000
HARBERT MEZZANINE PARTNERS II SBIC, LP United States 805-3610504192 Other Private Fund MEZZANINE 51,874,859 500,000
HARBERT DISCOVERY FUND, LP United States 805-6856529644 Hedge Fund 72,420,014 250,000
HARBERT REAL ESTATE FUND III, LLC United States 805-4735019340 Real Estate Fund 2,274,226 1,000,000
HARBERT AUSTRALIAN PRIVATE EQUITY FUND I, LP United States 805-9154205043 Private Equity Fund 5,263,952 1,000,000
HARBERT POWER FUND III, LLC United States 805-8707397976 Private Equity Fund 5,930,315 5,000,000
HARBERT SENIORS HOUSING FUND II, LP United States 805-3118574443 Real Estate Fund 123,990,235 2,000,000
HARBERT POWER FUND V (AIV), LLC United States 805-7306635974 Private Equity Fund 24,145,507 5,000,000
HARBERT UNITED STATES REAL ESTATE FUND V, LP United States 805-5408580463 Real Estate Fund 163,030,434 5,000,000 Master Fund
HARBERT EUROPEAN REAL ESTATE FUND IV, LP United Kingdom 805-8349284726 Real Estate Fund 320,781,477 10,000,000 Master Fund
HARBERT GROWTH PARTNERS IV, LP United States 805-8104971948 Venture Capital Fund 90,968,264 500,000
HARBERT SENIORS HOUSING FUND I, LP United States 805-8696134439 Real Estate Fund 183,439,321 2,000,000
HARBERT STONEVIEW FUND, LP United States 805-1674014053 Hedge Fund 87,208,358 1,000,000 Feeder Fund
HARBERT DISCOVERY CO-INVESTMENT FUND I, LP United States 805-7302385601 Hedge Fund 8,628,566 0
HUSREF VII RTC CO-INVESTOR, LP United States 805-5854238414 Real Estate Fund 60,034,570 500,000
HARBERT STONEVIEW OPPORTUNITY FUND I, LP United States 805-3019108735 Hedge Fund 14,330,828 0
GOTHAM POWER INVESTORS, LLC United States 805-1942698402 Private Equity Fund 615,828,397 5,000,000
HARBERT INFRASTRUCTURE VI, LP United States 805-4670559214 Private Equity Fund 1,637,759 5,000,000

HARBERT FUND ADVISORS, INC.

ownership team - last updated 2020-03-26
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
HARBERT UNITED STATES REAL ESTATE FUND VII, L.P. United States 805-2529756806 Real Estate Fund 270,144,488 500,000 Master Fund
HARBERT CH ARIZONA INVESTOR, LP United States 805-9613174061 Real Estate Fund 20,685,132 0
HARBERT UNITED STATES REAL ESTATE FUND VI, LP United States 805-4876733099 Real Estate Fund 538,250,986 500,000 Master Fund
HARBERT MEZZANINE PARTNERS III , LP United States 805-2909353996 Private Equity Fund 128,418,426 500,000
HARBERT EUROPEAN REAL ESTATE - LS CO-INVESTMENT FUND I, LP United States 805-7416014408 Real Estate Fund 29,631,913 1,000,000
HARBERT EUROPEAN REAL ESTATE FUND V, L.P. United Kingdom 805-2441830914 Real Estate Fund 784,546,752 10,000,000 Master Fund
HARBERT EUROPEAN REAL ESTATE FUND II (PARALLEL), LP United Kingdom 805-8852405515 Real Estate Fund 304,967 1,000,000 Master Fund
HARBERT EUROPEAN REAL ESTATE FUND III, LP United Kingdom 805-5887256899 Real Estate Fund 185,835,127 10,000,000 Master Fund
HARBERT POWER FUND V, LLC United States 805-6988870242 Private Equity Fund 398,856,119 5,000,000 Master Fund
HARBERT CREDIT SOLUTIONS FUND IV, L.P. United States 805-4254673822 Private Equity Fund 294,445,921 1,000,000
HARBERT EUROPEAN GROWTH CAPITAL FUND II, SCSP United Kingdom 805-3923005173 Private Equity Fund 241,461,322 1,000,000
HARBERT VENTURE PARTNERS, LLC United States 805-4996030111 Venture Capital Fund 5,973,103 250,000
HARBERT VENTURE PARTNERS II, LP United States 805-2685253341 Venture Capital Fund 75,143,046 250,000
HARBERT VENTURE PARTNERS III, LP United States 805-2447108793 Venture Capital Fund 60,380,169 500,000
HARBINGER MEZZANINE PARTNERS, LP United States 805-4922733818 Other Private Fund MEZZANINE 271,729 250,000
HARBERT VENTURE PARTNERS (ANNEX FUND), LLC United States 805-1531088535 Venture Capital Fund 2,265,241 250,000
HARBERT MEZZANINE PARTNERS II, LP United States 805-7910492188 Private Equity Fund 26,662,216 500,000
GULF PACIFIC POWER, LLC United States 805-2536626409 Private Equity Fund 1,505,772,161 1,000,000
HARBERT EUROPEAN GROWTH CAPITAL FUND I, LP United Kingdom 805-7018784625 Private Equity Fund 60,427,195 1,000,000
HARBERT UNITED STATES REAL ESTATE FUND V, LP United States 805-5408580463 Real Estate Fund 242,225,467 5,000,000 Master Fund
HARBERT MEZZANINE PARTNERS II SBIC, LP United States 805-3610504192 Other Private Fund MEZZANINE 51,576,838 500,000
HARBERT DISCOVERY FUND, LP United States 805-6856529644 Hedge Fund 69,071,396 250,000
HARBERT REAL ESTATE FUND III, LLC United States 805-4735019340 Real Estate Fund 2,685,521 1,000,000
HARBERT UNITED STATES REAL ESTATE FUND IV, LP United States 805-1886394561 Real Estate Fund 13,667,806 1,000,000
HARBERT EUROPEAN REAL ESTATE FUND II, LP United Kingdom 805-1124524009 Real Estate Fund 354,809 1,000,000 Master Fund
HARBERT AUSTRALIAN PRIVATE EQUITY FUND I, LP United States 805-9154205043 Private Equity Fund 4,790,825 1,000,000
HARBERT POWER FUND III, LLC United States 805-8707397976 Private Equity Fund 189,431,038 5,000,000
HARBERT SENIORS HOUSING FUND II, LP United States 805-3118574443 Real Estate Fund 314,901 2,000,000
HARBERT POWER FUND V (AIV), LLC United States 805-7306635974 Private Equity Fund 24,364,568 5,000,000
HARBERT EUROPEAN REAL ESTATE FUND IV, LP United Kingdom 805-8349284726 Real Estate Fund 370,131,301 10,000,000 Master Fund
HARBERT GROWTH PARTNERS IV, LP United States 805-8104971948 Venture Capital Fund 120,277,504 500,000
HARBERT SENIORS HOUSING FUND I, LP United States 805-8696134439 Real Estate Fund 202,364,748 2,000,000
HARBERT STONEVIEW FUND, LP United States 805-1674014053 Hedge Fund 71,433,563 1,000,000 Feeder Fund
HARBERT DISCOVERY CO-INVESTMENT FUND I, LP United States 805-7302385601 Hedge Fund 9,772,133 0
HARBERT SENIORS HOUSING FUND II, LLC United States 805-3976115538 Real Estate Fund 349,063,558 100,000 Master Fund

HARBERT FUND ADVISORS, INC.

ownership team - last updated 2019-03-28
Name Title Start Date Direct/Indirect % Ownership
BAUDER, MICHAEL, CONRAD VICE PRESIDENT & CHIEF COMPLIANCE OFFICER 07/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. VICE PRESIDENT & CHIEF COMPLIANCE OFFICER direct 2006-07-01
THE HARBINGER GROUP JV VP & CHIEF COMPLIANCE OFFICER OF MANAGING VENTURER direct 2006-07-01
HANCOCK INVESTMENT SERVICES, INC. VICE PRESIDENT, COMPLIANCE DIRECTOR direct 2001-01-01 2004-09-02
HANCOCK BANK CHIEF COMPLIANCE OFFICER direct 2004-09-01 2006-03-16
THE HARBINGER GROUP JV VP & CHIEF COMPLIANCE OFFICER direct 2006-07-01 2007-03-07
HARBERT, RAYMOND, JONES CHAIRMAN, CEO & DIRECTOR 11/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 1993-11-01
THE HARBINGER GROUP JV CHAIRMAN & CEO OF MANAGING VENTURER direct 1993-11-01
HARBERT FUND ADVISORS, INC. CHAIRMAN, CEO & DIRECTOR direct 1993-11-01
THE HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01
HARBINGER GROUP JV CHAIRMAN direct 1993-11-01 2001-03-06
HARBINGER GROUP INC PRESIDENT, CEO, CHAIRMAN, DIRECTOR direct 1993-11-01 2001-11-09
HARBINGER GROUP JV CHAIRMAN, DIRECTOR direct 1993-11-01 2002-03-26
HARBINGER GROUP INC CHAIRMAN, DIRECTOR direct 1993-11-01 2002-04-03
HARBINGER GROUP JV CHAIRMAN & CEO direct 1993-11-01 2003-03-21
MILLER, CHARLES, DONALD EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION 11/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION direct 2001-11-01
THE HARBINGER GROUP JV EXECUTIVE VICE PRESIDENT & GLOBAL HEAD OF DISTRIBUTION OF MANAGING VENTURER direct 2001-11-01
HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01 2001-02-28
HARBINGER GROUP INC VICE PRESIDENT & TREASURER direct 2001-11-01 2002-04-03
HARBINGER GROUP JV EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFCIER direct 2001-11-01 2003-03-21
THE HARBINGER GROUP JV EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFCIER OF MANAGING VENTURER direct 2001-11-01 2007-03-07
THE HARBINGER GROUP JV EXECUTIVE VICE PRESIDENT & CFO OF MANAGING VENTURER direct 2001-11-01 2010-03-04
HARBERT FUND ADVISORS, INC. EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER direct 2001-11-01 2011-03-29
KEETON, SONJA, JEAN EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE HARBINGER GROUP JV SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER OF MANAGING VENTURER direct 2011-01-01
HARBERT FUND ADVISORS, INC. SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER direct 2011-01-01
HARBERT FUND ADVISORS, INC. EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER direct 2016-01-01
MCCULLOUGH, JOHN, WATKINS EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY 03/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY direct 2009-03-01
HARBERT FUND ADVISORS, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY direct 2009-03-01
HARBINGER CORPORATION SHAREHOLDER 11/01/1993 Direct 75% or more
Fund Name Position direct/indirect start date end date
THE HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01
HARBERT FUND ADVISORS, INC. SHAREHOLDER direct 1993-11-01
HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01 2005-02-04
HARBERT, RAYMOND, JONES SHAREHOLDER HARBERT MANAGEMENT CORPORATION 11/01/1993 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 1993-11-01
THE HARBINGER GROUP JV CHAIRMAN & CEO OF MANAGING VENTURER direct 1993-11-01
HARBERT FUND ADVISORS, INC. CHAIRMAN, CEO & DIRECTOR direct 1993-11-01
THE HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01
HARBINGER GROUP JV CHAIRMAN direct 1993-11-01 2001-03-06
HARBINGER GROUP INC PRESIDENT, CEO, CHAIRMAN, DIRECTOR direct 1993-11-01 2001-11-09
HARBINGER GROUP JV CHAIRMAN, DIRECTOR direct 1993-11-01 2002-03-26
HARBINGER GROUP INC CHAIRMAN, DIRECTOR direct 1993-11-01 2002-04-03
HARBINGER GROUP JV CHAIRMAN & CEO direct 1993-11-01 2003-03-21
HARBERT, RAYMOND, JONES SHAREHOLDER HARBERT MANAGEMENT CORPORATION 06/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 2018-06-01
HARBERT, JOHN, MURDOCH SHAREHOLDER HARBERT MANAGEMENT CORPORATION 06/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 2018-06-01
HARBERT MANAGEMENT CORPORATION SHAREHOLDER HARBINGER CORPORATION 11/01/1993 Indirect 75% or more
Fund Name Position direct/indirect start date end date
THE HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 1993-11-01
Bryant, Mary, Kathryn SHAREHOLDER HARBERT MANAGEMENT CORPORATION 06/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 2018-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NM HARBERT ASTORIA, LLC United States 805-3489642604 Private Equity Fund 48,093,594 1,000,000
HARBERT SPECIAL OPPORTUNITIES FUND United States 805-9614329323 Hedge Fund 12,909,576 100,000
HCSF IV PARALLEL FUND, A SUB-FUND OF HARBERT EUROPEAN PARALLEL PLATFORM, A LUXEMBOURG SCSP ORGANIZED AS A RESERVED ALTERNATIVE I Luxembourg 805-6112463240 Private Equity Fund 11,834,308 1,000,000
HARBERT SENIORS HOUSING FUND II, LP United States 805-3118574443 Real Estate Fund 314,901 2,000,000
HARBERT POWER FUND V (AIV), LLC United States 805-7306635974 Private Equity Fund 27,003,150 5,000,000
HARBERT EUROPEAN REAL ESTATE FUND IV, LP United Kingdom 805-8349284726 Real Estate Fund 417,098,585 10,000,000 Master Fund
HARBERT GROWTH PARTNERS IV, LP United States 805-8104971948 Venture Capital Fund 76,113,934 500,000
HARBERT SENIORS HOUSING FUND I, LP United States 805-8696134439 Real Estate Fund 178,863,797 2,000,000
HSH-COLONIAL CO-INVESTOR II, LP United States 805-5121819046 Real Estate Fund 5,693,560 2,000,000
HSH-AVIVA CO-INVESTOR, LP United States 805-8593951388 Real Estate Fund 14,941,670 2,000,000
HERE CO-INVESTMENT FUND I, LP Canada 805-6707010388 Real Estate Fund 172,332,048 1,000,000 Master Fund
HSH-COLONIAL CO-INVESTOR I, LP United States 805-8847114662 Real Estate Fund 24,295,234 2,000,000
HEGC CO-INVESTMENT I, LP United Kingdom 805-1112840062 Private Equity Fund 18,895,623 1,000,000
HARBERT UNITED STATES REAL ESTATE FUND VI, LP United States 805-4876733099 Real Estate Fund 432,343,505 500,000 Master Fund
HARBERT MEZZANINE PARTNERS III , LP United States 805-2909353996 Private Equity Fund 153,018,639 500,000
HARBERT EUROPEAN REAL ESTATE - LS CO-INVESTMENT FUND I, LP United States 805-7416014408 Real Estate Fund 36,812,073 1,000,000
HARBERT EUROPEAN REAL ESTATE - LH CO-INVESTMENT FUND I, LP United States 805-5103398169 Real Estate Fund 2,240,638 10,000,000
HEREF III OXIP I, LP United Kingdom 805-1235506217 Real Estate Fund 40,869,937 1,000,000
HARBERT EUROPEAN REAL ESTATE FUND II (PARALLEL), LP United Kingdom 805-8852405515 Real Estate Fund 912,001 1,000,000 Master Fund
HARBERT EUROPEAN REAL ESTATE FUND III, LP United Kingdom 805-5887256899 Real Estate Fund 161,545,517 10,000,000 Master Fund
HARBERT POWER FUND V, LLC United States 805-6988870242 Private Equity Fund 404,277,817 5,000,000 Master Fund
HARBERT EUROPEAN REAL ESTATE FUND V, L.P. United Kingdom 805-2441830914 Real Estate Fund 27,037,263 10,000,000 Master Fund
HARBERT CREDIT SOLUTIONS FUND IV, L.P. United States 805-4254673822 Private Equity Fund 115,832,148 1,000,000
HARBERT EUROPEAN GROWTH CAPITAL FUND II, SCSP United Kingdom 805-3923005173 Private Equity Fund 99,457,873 1,000,000
HSH-HUSKIES CO-INVESTOR II, LP United States 805-8683281157 Real Estate Fund 7,649,851 2,000,000
HARBERT VENTURE PARTNERS, LLC United States 805-4996030111 Venture Capital Fund 8,806,336 250,000
HARBERT VENTURE PARTNERS II, LP United States 805-2685253341 Venture Capital Fund 81,361,910 250,000
HARBERT VENTURE PARTNERS III, LP United States 805-2447108793 Venture Capital Fund 53,151,139 500,000
HARBINGER MEZZANINE PARTNERS, LP United States 805-4922733818 Other Private Fund MEZZANINE 6,189,697 250,000
HARBERT MEZZANINE PARTNERS II, LP United States 805-7910492188 Private Equity Fund 351,520 500,000
GULF PACIFIC POWER, LLC United States 805-2536626409 Private Equity Fund 1,213,736,626 1,000,000
HARBERT EUROPEAN GROWTH CAPITAL FUND I, LP United Kingdom 805-7018784625 Private Equity Fund 52,826,997 1,000,000
HARBERT VENTURE PARTNERS (ANNEX FUND), LLC United States 805-1531088535 Venture Capital Fund 1,398,162 250,000
HARBERT UNITED STATES REAL ESTATE FUND V, LP United States 805-5408580463 Real Estate Fund 314,004,775 5,000,000 Master Fund
HARBERT MEZZANINE PARTNERS II SBIC, LP United States 805-3610504192 Other Private Fund MEZZANINE 105,249,727 500,000
HARBERT REAL ESTATE FUND III, LLC United States 805-4735019340 Real Estate Fund 9,918,721 1,000,000
HARBERT UNITED STATES REAL ESTATE FUND IV, LP United States 805-1886394561 Real Estate Fund 8,033,496 1,000,000
HARBERT EUROPEAN REAL ESTATE FUND II, LP United Kingdom 805-1124524009 Real Estate Fund 1,112,193 1,000,000 Master Fund
HARBERT DISCOVERY FUND, LP United States 805-6856529644 Hedge Fund 59,365,696 250,000
HARBERT AUSTRALIAN PRIVATE EQUITY FUND I, LP United States 805-9154205043 Private Equity Fund 4,818,243 1,000,000
HARBERT POWER FUND III, LLC United States 805-8707397976 Private Equity Fund 197,918,075 5,000,000

HARBERT FUND ADVISORS, INC.

ownership team - last updated 2018-05-23
Name Title Start Date Direct/Indirect % Ownership
BAUDER, MICHAEL, CONRAD VICE PRESIDENT & CHIEF COMPLIANCE OFFICER 07/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. VICE PRESIDENT & CHIEF COMPLIANCE OFFICER direct 2006-07-01
THE HARBINGER GROUP JV VP & CHIEF COMPLIANCE OFFICER OF MANAGING VENTURER direct 2006-07-01
HANCOCK INVESTMENT SERVICES, INC. VICE PRESIDENT, COMPLIANCE DIRECTOR direct 2001-01-01 2004-09-02
HANCOCK BANK CHIEF COMPLIANCE OFFICER direct 2004-09-01 2006-03-16
THE HARBINGER GROUP JV VP & CHIEF COMPLIANCE OFFICER direct 2006-07-01 2007-03-07
HARBERT, RAYMOND, JONES CHAIRMAN, CEO & DIRECTOR 11/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 1993-11-01
THE HARBINGER GROUP JV CHAIRMAN & CEO OF MANAGING VENTURER direct 1993-11-01
HARBERT FUND ADVISORS, INC. CHAIRMAN, CEO & DIRECTOR direct 1993-11-01
THE HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01
HARBINGER GROUP JV CHAIRMAN direct 1993-11-01 2001-03-06
HARBINGER GROUP INC PRESIDENT, CEO, CHAIRMAN, DIRECTOR direct 1993-11-01 2001-11-09
HARBINGER GROUP JV CHAIRMAN, DIRECTOR direct 1993-11-01 2002-03-26
HARBINGER GROUP INC CHAIRMAN, DIRECTOR direct 1993-11-01 2002-04-03
HARBINGER GROUP JV CHAIRMAN & CEO direct 1993-11-01 2003-03-21
MILLER, CHARLES, DONALD EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION 11/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION direct 2001-11-01
THE HARBINGER GROUP JV EXECUTIVE VICE PRESIDENT & GLOBAL HEAD OF DISTRIBUTION OF MANAGING VENTURER direct 2001-11-01
HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01 2001-02-28
HARBINGER GROUP INC VICE PRESIDENT & TREASURER direct 2001-11-01 2002-04-03
HARBINGER GROUP JV EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFCIER direct 2001-11-01 2003-03-21
THE HARBINGER GROUP JV EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFCIER OF MANAGING VENTURER direct 2001-11-01 2007-03-07
THE HARBINGER GROUP JV EXECUTIVE VICE PRESIDENT & CFO OF MANAGING VENTURER direct 2001-11-01 2010-03-04
HARBERT FUND ADVISORS, INC. EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER direct 2001-11-01 2011-03-29
KEETON, SONJA, JEAN EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE HARBINGER GROUP JV SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER OF MANAGING VENTURER direct 2011-01-01
HARBERT FUND ADVISORS, INC. SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER direct 2011-01-01
HARBERT FUND ADVISORS, INC. EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER direct 2016-01-01
MCCULLOUGH, JOHN, WATKINS EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY 03/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY direct 2009-03-01
HARBERT FUND ADVISORS, INC. EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY direct 2009-03-01
HARBINGER CORPORATION SHAREHOLDER 11/01/1993 Direct 75% or more
Fund Name Position direct/indirect start date end date
THE HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01
HARBERT FUND ADVISORS, INC. SHAREHOLDER direct 1993-11-01
HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01 2005-02-04
HARBERT, RAYMOND, JONES SHAREHOLDER HARBERT MANAGEMENT CORPORATION 11/01/1993 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 1993-11-01
THE HARBINGER GROUP JV CHAIRMAN & CEO OF MANAGING VENTURER direct 1993-11-01
HARBERT FUND ADVISORS, INC. CHAIRMAN, CEO & DIRECTOR direct 1993-11-01
THE HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01
HARBINGER GROUP JV CHAIRMAN direct 1993-11-01 2001-03-06
HARBINGER GROUP INC PRESIDENT, CEO, CHAIRMAN, DIRECTOR direct 1993-11-01 2001-11-09
HARBINGER GROUP JV CHAIRMAN, DIRECTOR direct 1993-11-01 2002-03-26
HARBINGER GROUP INC CHAIRMAN, DIRECTOR direct 1993-11-01 2002-04-03
HARBINGER GROUP JV CHAIRMAN & CEO direct 1993-11-01 2003-03-21
HARBERT MANAGEMENT CORPORATION SHAREHOLDER HARBINGER CORPORATION 11/01/1993 Indirect 75% or more
Fund Name Position direct/indirect start date end date
THE HARBINGER GROUP JV SHAREHOLDER indirect 1993-11-01
HARBERT FUND ADVISORS, INC. SHAREHOLDER indirect 1993-11-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
HARBERT EUROPEAN REAL ESTATE FUND V, L.P. United Kingdom 805-2441830914 Real Estate Fund 0 10,000,000 Master Fund
HARBERT CREDIT SOLUTIONS FUND IV, L.P. United States 805-4254673822 Private Equity Fund 34,941,267 1,000,000
HARBERT EUROPEAN GROWTH CAPITAL FUND II, SCSP United Kingdom 805-3923005173 Private Equity Fund 19,807,002 1,000,000
HSH-HUSKIES CO-INVESTOR II, LP United States 805-8683281157 Real Estate Fund 4,631,306 2,000,000
HARBERT VENTURE PARTNERS, LLC United States 805-4996030111 Venture Capital Fund 14,068,095 250,000
HARBERT VENTURE PARTNERS II, LP United States 805-2685253341 Venture Capital Fund 65,122,488 250,000
HARBERT VENTURE PARTNERS III, LP United States 805-2447108793 Venture Capital Fund 67,105,481 500,000
HARBINGER MEZZANINE PARTNERS, LP United States 805-4922733818 Other Private Fund MEZZANINE 14,919,286 250,000
HARBERT MEZZANINE PARTNERS II, LP United States 805-7910492188 Private Equity Fund 378,631 500,000
GULF PACIFIC POWER, LLC United States 805-2536626409 Private Equity Fund 1,074,592,311 1,000,000
HARBERT EUROPEAN GROWTH CAPITAL FUND I, LP United Kingdom 805-7018784625 Private Equity Fund 82,694,805 1,000,000
HARBERT VENTURE PARTNERS (ANNEX FUND), LLC United States 805-1531088535 Venture Capital Fund 2,017,966 250,000
HARBERT UNITED STATES REAL ESTATE FUND V, LP United States 805-5408580463 Real Estate Fund 360,118,048 5,000,000 Master Fund
HARBERT MEZZANINE PARTNERS II SBIC, LP United States 805-3610504192 Other Private Fund MEZZANINE 120,766,309 500,000
HARBERT REAL ESTATE FUND III, LLC United States 805-4735019340 Real Estate Fund 11,334,287 1,000,000
HARBERT UNITED STATES REAL ESTATE FUND IV, LP United States 805-1886394561 Real Estate Fund 13,784,259 1,000,000
HARBERT EUROPEAN REAL ESTATE FUND II, LP United Kingdom 805-1124524009 Real Estate Fund 74,720,195 1,000,000 Master Fund
HARBERT DISCOVERY FUND, LP United States 805-6856529644 Hedge Fund 59,365,696 250,000
HARBERT AUSTRALIAN PRIVATE EQUITY FUND I, LP United States 805-9154205043 Private Equity Fund 5,504,407 1,000,000
HARBERT POWER FUND V (AIV), LLC United States 805-7306635974 Private Equity Fund 28,281,873 5,000,000
HARBERT EUROPEAN REAL ESTATE FUND IV, LP United Kingdom 805-8349284726 Real Estate Fund 291,044,587 10,000,000 Master Fund
HARBERT GROWTH PARTNERS IV, LP United States 805-8104971948 Venture Capital Fund 33,834,607 500,000
HARBERT SENIORS HOUSING FUND I, LP United States 805-8696134439 Real Estate Fund 120,389,776 2,000,000
HSH-COLONIAL CO-INVESTOR II, LP United States 805-5121819046 Real Estate Fund 5,698,280 2,000,000
HSH-AVIVA CO-INVESTOR, LP United States 805-8593951388 Real Estate Fund 13,959,196 2,000,000
HERE CO-INVESTMENT FUND I, LP Canada 805-6707010388 Real Estate Fund 251,738,777 1,000,000 Master Fund
HSH-COLONIAL CO-INVESTOR I, LP United States 805-8847114662 Real Estate Fund 24,262,779 2,000,000
HEGC CO-INVESTMENT I, LP United Kingdom 805-1112840062 Private Equity Fund 18,895,623 1,000,000
HARBERT UNITED STATES REAL ESTATE FUND VI, LP United States 805-4876733099 Real Estate Fund 380,553,814 500,000 Master Fund
HARBERT MEZZANINE PARTNERS III , LP United States 805-2909353996 Private Equity Fund 130,727,981 500,000
HARBERT EUROPEAN REAL ESTATE - LS CO-INVESTMENT FUND I, LP United States 805-7416014408 Real Estate Fund 49,348,859 1,000,000
HARBERT EUROPEAN REAL ESTATE - LH CO-INVESTMENT FUND I, LP United States 805-5103398169 Real Estate Fund 35,619,228 10,000,000
HEREF III OXIP I, LP United Kingdom 805-1235506217 Real Estate Fund 54,755,264 1,000,000
HARBERT EUROPEAN REAL ESTATE FUND II (PARALLEL), LP United Kingdom 805-8852405515 Real Estate Fund 56,714,202 1,000,000 Master Fund
HARBERT EUROPEAN REAL ESTATE FUND III, LP United Kingdom 805-5887256899 Real Estate Fund 283,500,879 10,000,000 Master Fund
HARBERT POWER FUND V, LLC United States 805-6988870242 Private Equity Fund 375,993,481 5,000,000 Master Fund
HARBERT POWER FUND III, LLC United States 805-8707397976 Private Equity Fund 191,952,990 5,000,000
HARBERT VALUE MASTER FUND, LTD. Cayman Islands 805-5245397971 Hedge Fund 82,847,745 250,000 Master Fund

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