HUDSON CAPITAL MANAGEMENT LLC

HTTP://WWW.HUDSONCEP.COM RAMSEY, NJ Investment Advisor Hedge Fund How do I update this listing?

Hudson Capital Management is based out of Ramsey. Hudson Capital Management is a large advisory firm with 18 clients and discretionary assets under management (AUM) of $317,040,041 (Form ADV from 2019-05-07). Their last reported 13F filing for Q3 2019 included $179,636,360 in managed 13F securities and a top 10 holdings concentration of 51.84%. Hudson Capital Management's largest holding is iShares Floating Rate Bond ETF with shares held of 353,486. Whalewisdom has at least 8 13F filings

Download 13F Summary to Excel Create Email Alert

09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $179.636 Million
  • Prior Market Value $177.573 Million
  • New Purchases3 stocks
  • Additional Purchases38 stocks
  • Sold out of10 stocks
  • Reduced holdings in22 stocks
  • Top 10 Holdings % 51.84 %
  • Turnover % [1]:17.81%
  • Turnover Alt % [2]: 5.11 %
  • Time Held Top20:5.40 quarters
  • Time Held Top10:5.30 quarters
  • Time Held All:5.86 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 2019-08-14

Performance for Q2 2019: 0.41%
Performance Last 4 Quarters: -1.2%
Performance Metrics
Stats are not available for the latest quarter

Refresh Advanced Export Download CSV Download Excel (.xlsx) Download TSV
Filter by:

Security Types:

Refresh
*Shares are split adjusted
Click here to report any possible errors with this listing.
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)

View Last Form Adv Compilation Report on Record

HUDSON CAPITAL MANAGEMENT (NY), L.P.
Classified as Hedge Fund
850 THIRD AVENUE SUITE 13F
NEW YORK NY    10022
Country: United States

Business Phone: 212-321-4080
Fax: 212-758-1301
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Partnership
Organized in: DE
Number of employees: 15
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees
Amount of client funds and securities: 307,165,000
Total Number of Clients: 18
Amount of client funds and securities by related persons: 307,165,000
Total Number of clients from related persons: 18
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

Sign in to see

Form 4 - Recent Insider Transactions

Loading...

HUDSON CAPITAL MANAGEMENT (NY), L.P.

ownership team - last updated 2019-05-07
Name Title Start Date Direct/Indirect % Ownership
AUERBACH, NEIL, ZACHARY CHIEF EXECUTIVE OFFICER; CHIEF COMPLIANCE OFFICER 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2006-11-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CO-CHIEF EXECUTIVE OFFICER direct 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CHIEF EXECUTIVE OFFICER direct 2013-06-01
HUDSON CAPITAL MGP, LLC GENERAL PARTNER 11/01/2006 Direct 75% or more
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. GENERAL PARTNER direct 2006-11-01
AC TRANSFER HOLDINGS, LLC LIMITED PARTNER 07/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. LIMITED PARTNER direct 2008-07-01
AUERBACH, NEIL, ZACHARY MANAGING MEMBER AC TRANSFER HOLDINGS, LLC 07/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2006-11-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CO-CHIEF EXECUTIVE OFFICER direct 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CHIEF EXECUTIVE OFFICER direct 2013-06-01
HUDSON SUSTAINABLE INVESTMENTS, LLC MANAGING MEMBER HUDSON CAPITAL MGP, LLC 03/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2019-03-01
HUDSON CLEAN ENERGY ENTERPRISES LLC MANAGING MEMBER HUDSON SUSTAINABLE INVESTMENTS, LLC 08/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2018-08-01
AUERBACH PARTNERS, L.P. MANAGING MEMBER HUDSON CLEAN ENERGY ENTERPRISES LLC 12/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2014-12-01
AUERBACH CHILDREN'S DYNASTY TRUST U/D/A OCTOBER 9, 2012 GENERAL PARTNER AUERBACH PARTNERS, L.P. 05/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15
AUERBACH FAMILY DYNASTY TRUST U/D/A OCTOBER 9, 2012 GENERAL PARTNER AUERBACH PARTNERS, L.P. 05/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15
AUERBACH, NEIL, ZACHARY TRUSTEE AUERBACH FAMILY DYNASTY TRUST U/D/A OCTOBER 9, 2012 10/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2006-11-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CO-CHIEF EXECUTIVE OFFICER direct 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CHIEF EXECUTIVE OFFICER direct 2013-06-01
Auerbach, Judith TRUSTEE AUERBACH CHILDREN'S DYNASTY TRUST U/D/A OCTOBER 9, 2012 10/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. TRUSTEE indirect 2012-10-01
AUERBACH FAMILY DYNASTY TRUST U/D/A OCTOBER 9, 2012 LIMITED PARTNER AUERBACH PARTNERS, L.P. 05/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15
AUERBACH CHILDREN'S DYNASTY TRUST U/D/A OCTOBER 9, 2012 LIMITED PARTNER AUERBACH PARTNERS, L.P. 05/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TECHNOLOGY INNOVATION PARTNERS (LYFT) LP Cayman Islands 805-3152436403 Private Equity Fund 13,280,785 75,000
HUDSON CLEAN ENERGY PARTNERS (MASTER T-E), L.P. Cayman Islands 805-3218917197 Private Equity Fund 1,397,892 5,000,000 Master Fund
HUDSON CLEAN ENERGY PARTNERS, L.P. United States 805-9880024135 Private Equity Fund 61,958,023 5,000,000
HCEP PARALLEL, L.P. United States 805-3953266677 Private Equity Fund 3,033,306 100,000
HUDSON CLEAN ENERGY PARTNERS (MASTER), L.P. United States 805-9152348993 Private Equity Fund 7,029,326 5,000,000 Master Fund
HUDSON CLEAN ENERGY PARTNERS AIV, L.P. Cayman Islands 805-1439207911 Private Equity Fund 60,913,951 5,000,000
HUDSON CLEAN ENERGY PARTNERS (MASTER) AIV, L.P. Cayman Islands 805-4667853814 Private Equity Fund 13,306,993 5,000,000
STV SPV II, L.P. Cayman Islands 805-7690301586 Private Equity Fund 385,000 250,000
CS HUDSON CLEAN ENERGY CO-INVEST PARTNERS, L.P. Cayman Islands 805-7054794357 Private Equity Fund 15,049,697 500,000 Master Fund

HUDSON CAPITAL MANAGEMENT (NY), L.P.

ownership team - last updated 2019-03-31
Name Title Start Date Direct/Indirect % Ownership
AUERBACH, NEIL, ZACHARY CHIEF EXECUTIVE OFFICER 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2006-11-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CO-CHIEF EXECUTIVE OFFICER direct 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CHIEF EXECUTIVE OFFICER direct 2013-06-01
HUDSON CAPITAL MGP, LLC GENERAL PARTNER 11/01/2006 Direct 75% or more
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. GENERAL PARTNER direct 2006-11-01
AC TRANSFER HOLDINGS, LLC LIMITED PARTNER 07/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. LIMITED PARTNER direct 2008-07-01
RUGGERI, STEVEN, THOMAS CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. DIRECTOR OF FINANCE direct 2014-02-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 2016-02-01
AUERBACH, NEIL, ZACHARY MANAGING MEMBER AC TRANSFER HOLDINGS, LLC 07/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2006-11-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CO-CHIEF EXECUTIVE OFFICER direct 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CHIEF EXECUTIVE OFFICER direct 2013-06-01
HUDSON SUSTAINABLE INVESTMENTS, LLC MANAGING MEMBER HUDSON CAPITAL MGP, LLC 03/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2019-03-01
HUDSON CLEAN ENERGY ENTERPRISES LLC MANAGING MEMBER HUDSON SUSTAINABLE INVESTMENTS, LLC 08/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2018-08-01
AUERBACH PARTNERS, L.P. MANAGING MEMBER HUDSON CLEAN ENERGY ENTERPRISES LLC 12/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2014-12-01
AUERBACH CHILDREN'S DYNASTY TRUST U/D/A OCTOBER 9, 2012 GENERAL PARTNER AUERBACH PARTNERS, L.P. 05/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15
AUERBACH FAMILY DYNASTY TRUST U/D/A OCTOBER 9, 2012 GENERAL PARTNER AUERBACH PARTNERS, L.P. 05/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15
AUERBACH, NEIL, ZACHARY TRUSTEE AUERBACH FAMILY DYNASTY TRUST U/D/A OCTOBER 9, 2012 10/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2006-11-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CO-CHIEF EXECUTIVE OFFICER direct 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CHIEF EXECUTIVE OFFICER direct 2013-06-01
Auerbach, Judith TRUSTEE AUERBACH CHILDREN'S DYNASTY TRUST U/D/A OCTOBER 9, 2012 10/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. TRUSTEE indirect 2012-10-01
AUERBACH FAMILY DYNASTY TRUST U/D/A OCTOBER 9, 2012 LIMITED PARTNER AUERBACH PARTNERS, L.P. 05/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15
AUERBACH CHILDREN'S DYNASTY TRUST U/D/A OCTOBER 9, 2012 LIMITED PARTNER AUERBACH PARTNERS, L.P. 05/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD DIRECT SHAREHOLDER direct 1990-06-01
ABERDEEN ASSET MANAGEMENT ASIA LIMITED OWNER direct 1991-10-01
BEUTEL, GOODMAN & COMPANY LTD. SHAREHOLDER direct 1994-07-01
ORBITEX MANAGEMENT INC SOLE SHAREHOLDER indirect 1995-10-01
THAI FARMERS ASSET MANAGEMENT CO LTD ULTIMATE PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
THAI FARMERS ASSET MANAGEMENT CO LTD PARENT COMPANY indirect 1997-12-01
METAMARKETS INVESTMENTS LLC OWNER indirect 2000-01-01
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) INDIRECT SHAREHOLDER indirect 2000-10-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2001-08-01
HOLTE CAPITAL LTD TRUSTEE indirect 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER direct 2002-01-01
HOLTE CAPITAL LTD SHAREHOLDER indirect 2002-01-01
BREVAN HOWARD ASSET MANAGEMENT LLP CORPORATE PARTNER direct 2002-07-01
CABEZON CAPITAL MARKETS, LLC MEMBER indirect 2003-03-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP SHAREHOLDER indirect 2004-01-01
GUARDIAN CAPITAL ADVISORS LP TRUSTEE indirect 2004-01-01
ARIS CAPITAL MANAGEMENT, LLC MEMBER direct 2006-10-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER indirect 2007-01-01
LINGOHR & PARTNER NORTH AMERICA, INC. SHAREHOLDER direct 2007-01-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-02-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2009-04-01
MANULIFE ASSET MANAGEMENT (US) LLC SHAREHOLDER indirect 2009-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED PRESIDENT direct 2011-03-01
HASTINGS FUNDS MANAGEMENT (USA), INC. SHAREHOLDER direct 2011-04-01
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 2011-09-01
BELLECAPITAL INTERNATIONAL AG OWNER direct 2011-10-01
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2012-03-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2012-06-01
EDGESTREAM PARTNERS, L.P. SOLE SHAREHOLDER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER indirect 2012-12-01
EDGESTREAM PARTNERS, L.P. LIMITED PARTNER direct 2012-12-01
PREMIUM POINT INVESTMENTS LP GENERAL PARTNER direct 2012-12-01
METACAPITAL MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
EDGESTREAM PARTNERS, L.P. GENERAL PARTNER indirect 2012-12-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2013-05-01
KOHLBERG KRAVIS ROBERTS & CO. L.P. GENERAL PARTNER OF KKR ASSOCIATES REPA AIV-4 L.P. direct 2013-06-01
GI PARTNERS UK LIMITED CORPORATION direct 2013-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
NORTHGATE CAPITAL, L.P. SHAREHOLDER indirect 2016-07-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2002-04-01 2003-01-02
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER direct 1990-06-01 2004-01-12
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
SARATOGA CAPITAL MANAGEMENT I, LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2004-01-20
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2001-10-01 2004-02-09
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
SARATOGA CAPITAL MANAGEMENT,LLC MAJORITY SHAREHOLDER indirect 1995-10-01 2005-06-15
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2003-01-01 2006-06-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2004-09-01 2007-04-03
ARIS CAPITAL MANAGEMENT, LLC SHAREHOLDER direct 2006-10-01 2007-04-30
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR EXECUTIVE VICE PRESIDENT direct 2007-07-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED SENIOR VICE PRESIDENT direct 2007-11-01 2008-03-28
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2002-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2006-07-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-01-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED EXECUTIVE VICE PRESIDENT direct 2007-11-01 2009-03-24
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2002-11-01 2010-06-17
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2010-06-17
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2007-02-01 2010-12-20
DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD INDIRECT SHAREHOLDER indirect 1990-06-01 2011-09-07
GENESIS FUND MANAGEMENT LLC MANAGING MEMBER direct 2010-06-01 2011-12-06
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER direct 2006-08-01 2011-12-21
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-02-01 2012-04-03
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED DIRECTOR direct 2010-04-01 2012-04-03
FINACCESS ADVISORS, LLC SHAREHOLDER indirect 2009-12-01 2012-08-01
FINACCESS ADVISORS, LLC MEMBER direct 2009-12-01 2012-08-01
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED FIRST EXECUTIVE VICE PRESIDENT direct 2012-12-01 2013-04-01
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2014-08-14
MANULIFE ASSET MANAGEMENT (US) LLC MEMBER indirect 2009-12-01 2015-03-30
HSBC GLOBAL ASSET MANAGEMENT (FRANCE) SHAREHOLDER indirect 2000-10-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC OWNER indirect 2007-11-01 2015-03-31
FINACCESS ADVISORS, LLC TRUSTEE indirect 2009-12-01 2015-03-31
FINACCESS ADVISORS, LLC TRUST indirect 2009-12-01 2015-03-31
GUARDIAN CAPITAL LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL ADVISORS LP GENERAL PARTNER direct 2003-12-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP SHAREHOLDER indirect 2004-01-01 2016-03-30
GUARDIAN CAPITAL LP TRUSTEE indirect 2004-01-01 2016-03-30
SOFI WEALTH LLC OWNER OF INDIRECT OWNER OF SOCIAL FINANCE INC. indirect 2016-09-01 2017-05-31
SCOTTRADE INVESTMENT MANAGEMENT, INC. VOTING CERTIFICATE indirect 2012-12-01 2017-06-15
SCOTTRADE INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-06-15

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TECHNOLOGY INNOVATION PARTNERS (LYFT) LP Cayman Islands 805-3152436403 Private Equity Fund 13,280,785 75,000
CS HUDSON CLEAN ENERGY CO-INVEST PARTNERS, L.P. Cayman Islands 805-7054794357 Private Equity Fund 15,049,697 500,000 Master Fund
HUDSON CLEAN ENERGY PARTNERS (MASTER T-E), L.P. Cayman Islands 805-3218917197 Private Equity Fund 1,397,892 5,000,000 Master Fund
HUDSON CLEAN ENERGY PARTNERS, L.P. United States 805-9880024135 Private Equity Fund 61,958,023 5,000,000
HCEP PARALLEL, L.P. United States 805-3953266677 Private Equity Fund 3,033,306 100,000
HUDSON CLEAN ENERGY PARTNERS (MASTER), L.P. United States 805-9152348993 Private Equity Fund 7,029,326 5,000,000 Master Fund
HUDSON CLEAN ENERGY PARTNERS AIV, L.P. Cayman Islands 805-1439207911 Private Equity Fund 60,913,951 5,000,000
HUDSON CLEAN ENERGY PARTNERS (MASTER) AIV, L.P. Cayman Islands 805-4667853814 Private Equity Fund 13,306,993 5,000,000
STV SPV II, L.P. Cayman Islands 805-7690301586 Private Equity Fund 385,000 250,000

HUDSON CAPITAL MANAGEMENT LLC

ownership team - last updated 2019-03-19
Name Title Start Date Direct/Indirect % Ownership
PARKER, TIMOTHY, GLENN PARTNER 12/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-12-01
HUDSON CAPITAL MANAGEMENT LLC PARTNER direct 2011-12-01
PARKER, VICTORIA, KYONG-RAN MEMBER 03/01/2004 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT LLC MEMBER direct 2004-03-01
ARAN, ANDREW, MICHAEL PARTNER 12/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT LLC PARTNER direct 2010-12-01
ENERGY CAPITAL PARTNERS MANAGEMENT, LP TRUSTEE indirect 2015-08-01
ENERGY CAPITAL PARTNERS MANAGEMENT, LP MANAGER indirect 2016-02-01
REITSMA, MARK, DAVID CHIEF COMPLIANCE OFFICER 12/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT LLC PARTNER direct 2010-12-01
HUDSON CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2011-12-01

HUDSON CAPITAL MANAGEMENT (NY), L.P.

ownership team - last updated 2017-03-30
Name Title Start Date Direct/Indirect % Ownership
AUERBACH, NEIL, ZACHARY CHIEF EXECUTIVE OFFICER 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2006-11-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CO-CHIEF EXECUTIVE OFFICER direct 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CHIEF EXECUTIVE OFFICER direct 2013-06-01
CAVALIER, JOHN, ANTHONY CHAIRMAN OF THE BOARD OF DIRECTORS 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. CO-CHIEF EXECUTIVE OFFICER direct 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CHAIRMAN OF THE BOARD OF DIRECTORS direct 2013-06-01
HUDSON CAPITAL MGP, LLC GENERAL PARTNER 11/01/2006 Direct 75% or more
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. GENERAL PARTNER direct 2006-11-01
CREDIT SUISSE MANAGEMENT LLC LIMITED PARTNER 07/01/2008 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. LIMITED PARTNER direct 2008-07-01
MERCHANT CAPITAL INC 100% SHAREHOLDER indirect 1994-01-01 2004-03-30
MERCHANT CAPITAL, INC. SHAREHOLDER indirect 2003-03-01 2007-04-30
AC TRANSFER HOLDINGS, LLC LIMITED PARTNER 07/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. LIMITED PARTNER direct 2008-07-01
RUGGERI, STEVEN, THOMAS CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. DIRECTOR OF FINANCE direct 2014-02-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 2016-02-01
AUERBACH, NEIL, ZACHARY MANAGING MEMBER HUDSON CAPITAL MGP, LLC 11/01/2006 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2006-11-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CO-CHIEF EXECUTIVE OFFICER direct 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CHIEF EXECUTIVE OFFICER direct 2013-06-01
CAVALIER, JOHN, ANTHONY MANAGING MEMBER HUDSON CAPITAL MGP, LLC 07/01/2008 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. CO-CHIEF EXECUTIVE OFFICER direct 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CHAIRMAN OF THE BOARD OF DIRECTORS direct 2013-06-01
AUERBACH, NEIL, ZACHARY MANAGING MEMBER AC TRANSFER HOLDINGS, LLC 07/01/2008 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2006-11-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CO-CHIEF EXECUTIVE OFFICER direct 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CHIEF EXECUTIVE OFFICER direct 2013-06-01
CAVALIER, JOHN, ANTHONY MANAGING MEMBER AC TRANSFER HOLDINGS, LLC 07/01/2008 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT (NY), L.P. CO-CHIEF EXECUTIVE OFFICER direct 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. MANAGING MEMBER indirect 2008-07-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. CHAIRMAN OF THE BOARD OF DIRECTORS direct 2013-06-01
CREDIT SUISSE (USA), INC. MEMBER CREDIT SUISSE MANAGEMENT LLC 11/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DLJ CAPITAL MANAGEMENT CORP SHAREHOLDER indirect 2000-11-01
DLJ MERCHANT BANKING II LLC SHAREHOLDER indirect 2000-11-01
CREDIT SUISSE GLOBAL OPPORTUNITIES ADVISORS LLC MANAGING MEMBER direct 2000-12-01
OSPRAIE MANAGEMENT, LLC LIMITED PARTNER (OSPRAIE ADVISORS, L.P.) direct 2007-10-01
OSPRAIE MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2007-10-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. MEMBER indirect 2008-11-01
RESERVOIR OPERATIONS, L.P. SHAREHOLDER indirect 2011-01-01
RESERVOIR OPERATIONS, L.P. SHAREHOLDER indirect 2011-01-01
CREDIT SUISSE ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2011-01-01
SMITH ASSET MANAGEMENT GROUP LP SHAREHOLDER indirect 2011-01-01
RESERVOIR OPERATIONS, L.P. MEMBER indirect 2013-10-01
SMITH ASSET MANAGEMENT GROUP LP MEMBER indirect 2013-10-01
CREDIT SUISSE SECURITIES (USA) LLC SOLE MEMBER direct 2000-11-01
DLJ INVESTMENT PARTNERS, INC. SHAREHOLDER indirect 2000-11-01
DLJ MERCHANT BANKING III INC SHAREHOLDER indirect 2000-11-01
DLJ MERCHANT BANKING INC SHAREHOLDER indirect 2000-11-01
DLJ DIVERSIFIED PARTNERS, INC. SHAREHOLDER indirect 2000-11-01
MERCHANT CAPITAL, INC. SHAREHOLDER indirect 2000-11-01
DLJ LBO PLANS MANAGEMENT CORPORATION SHAREHOLDER indirect 2000-11-01
CREDIT SUISSE INVESTMENT ADVISORY PARTNERS LLC SHAREHOLDER indirect 2000-11-01
DLJ INVESTMENT PARTNERS II, INC. SHAREHOLDER indirect 2000-11-01
DLJ GROWTH CAPITAL, INC. SHAREHOLDER indirect 2000-11-01
DLJ MB ADVISORS, INC. SHAREHOLDER indirect 2000-11-01
TEGRIT INVESTMENT ADVISORS LLC SHAREHOLDER indirect 2000-11-01
GLOBAL RETAIL PARTNERS, INC. SHAREHOLDER indirect 2000-11-01
DLJ MERCHANT BANKING II, INC. SHAREHOLDER indirect 2000-11-01
VVM OF NEW YORK, LLC SHAREHOLDER indirect 2000-11-01
DLJ DIVERSIFIED ASSOCIATES LP SHAREHOLDER indirect 2000-11-01
RETAIL CAPTAL PARTNERS LP OWNER indirect 2000-11-01
CSFBDIRECT, INC. STOCKHOLDER indirect 1985-01-01 2002-01-25
DLJ DIVERSIFIED PARTNERS INC SHAREHOLDER indirect 2000-11-01 2002-02-28
DLJ MERCHANT BANKING INC SHAREHOLDER indirect 2000-11-01 2002-02-28
DLJ MERCHANT BANKING II INC SHAREHOLDER indirect 2000-11-01 2002-02-28
DLJ DIVERSIFIED ASSOCIATES LP SHAREHOLDER indirect 2000-11-01 2002-02-28
DLJ REAL ESTATE CAPITAL PARTNERS INC SHAREHOLDER indirect 2000-11-01 2002-02-28
DLJ INVESTMENT PARTNERS INC SHAREHOLDER indirect 2000-11-01 2002-02-28
DLJ MERCHANT BANKING II LLC SHAREHOLDER indirect 2000-11-01 2002-02-28
DLJ LBO PLANS MANAGEMENT CORP SHAREHOLDER indirect 2000-11-01 2002-02-28
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION PARENT OF APPLICANT direct 2000-11-01 2003-05-01
CREDIT SUISSE FIRST BOSTON CORPORATION PARENT OF APPLICANT direct 2000-11-01 2003-06-13
DLJ GROWTH CAPITAL, INC. SHAREHOLDER indirect 2001-07-01 2004-03-30
MERCHANT CAPITAL INC 100% SHAREHOLDER indirect 2003-03-01 2004-03-30
DLJ MERCHANT BANKING III INC SHAREHOLDER indirect 2000-11-01 2004-03-30
CSFB GLOBAL OPPORTUNITIES ADVISERS, LLC PARENT direct 2000-12-01 2005-03-30
MERCHANT CAPITAL INC SHAREHOLDER indirect 2003-03-01 2005-11-23
GLOBAL RETAIL PARTNERS INC. SHAREHOLDER indirect 2000-11-01 2005-11-23
DLJ MB ADVISORS, INC. SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ MERCHANT BANKING INC SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ DIVERSIFIED PARTNERS INC SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ REAL ESTATE CAPITAL PARTNERS, INC. SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ MERCHANT BANKING II, INC. SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ LBO PLANS MANAGEMENT CORP SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ INVESTMENT PARTNERS II INC SHAREHOLDER indirect 2000-11-01 2007-04-30
CREDIT SUISSE INVESTMENT ADVISORY PARTNERS LLC SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ INVESTMENT PARTNERS INC SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ GROWTH CAPITAL, INC. SHAREHOLDER indirect 2000-11-01 2007-04-30
GLOBAL RETAIL PARTNERS, INC. SHAREHOLDER indirect 2000-11-01 2007-04-30
DLJ MERCHANT BANKING III INC SHAREHOLDER indirect 2000-11-01 2007-04-30
MERCHANT CAPITAL, INC. SHAREHOLDER indirect 2003-03-01 2007-06-25
MERCHANT CAPITAL, INC. SHAREHOLDER indirect 2007-06-01 2007-09-20
GLOBAL RETAIL PARTNERS, INC. SHAREHOLDER indirect 2000-11-01 2009-03-26
DLJ LBO PLANS MANAGEMENT CORPORATION SHAREHOLDER indirect 2000-11-01 2009-03-26
DLJ DIVERSIFIED PARTNERS, INC. SHAREHOLDER indirect 2000-11-01 2009-03-26
CSFB GLOBAL OPPORTUNITIES ADVISERS, LLC 100% MANAGING MEMBER direct 2000-12-01 2009-03-30
CREDIT SUISSE INVESTMENT ADVISORY PARTNERS LLC SHAREHOLDER indirect 2000-11-01 2009-03-30
DLJ INVESTMENT PARTNERS II, INC. SHAREHOLDER indirect 2000-11-01 2009-03-30
DLJ GROWTH CAPITAL, INC. SHAREHOLDER indirect 2000-11-01 2009-03-30
MERCHANT CAPITAL, INC. SHAREHOLDER indirect 2000-11-01 2009-03-30
DLJ REAL ESTATE CAPITAL PARTNERS, INC. SHAREHOLDER indirect 2000-11-01 2009-04-03
DLJ MERCHANT BANKING INC SHAREHOLDER indirect 2000-11-01 2009-04-03
DLJ MERCHANT BANKING II, INC. SHAREHOLDER indirect 2000-11-01 2009-04-03
DLJ MERCHANT BANKING III INC SHAREHOLDER indirect 2000-11-01 2009-04-03
DLJ MB ADVISORS, INC. SHAREHOLDER indirect 2000-11-01 2009-04-06
DLJ REAL ESTATE CAPITAL PARTNERS, INC. SHAREHOLDER indirect 2000-11-01 2012-03-30
GLOBAL INFRASTRUCTURE MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2011-01-01 2012-07-24
GRESHAM PARTNERS, LLC SHAREHOLDER indirect 2011-01-01 2014-07-10
GRESHAM PARTNERS, LLC MEMBER indirect 2013-10-01 2014-07-10
CREDIT SUISSE HOLDINGS (USA), INC. 100% SHAREHOLDER CREDIT SUISSE (USA), INC. 11/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CREDIT SUISSE SECURITIES (USA) LLC SHAREHOLDER indirect 2000-10-01
DLJ MB ADVISORS, INC. SHAREHOLDER indirect 2000-11-01
MERCHANT CAPITAL, INC. SHAREHOLDER indirect 2000-11-01
CREDIT SUISSE INVESTMENT ADVISORY PARTNERS LLC SHAREHOLDER indirect 2000-11-01
DLJ MERCHANT BANKING INC SHAREHOLDER indirect 2000-11-01
DLJ INVESTMENT PARTNERS, INC. SHAREHOLDER indirect 2000-11-01
CREDIT SUISSE ALTERNATIVE CAPITAL, INC. 100% SHAREHOLDER indirect 2000-11-01
DLJ LBO PLANS MANAGEMENT CORPORATION SHAREHOLDER indirect 2000-11-01
DLJ GROWTH CAPITAL, INC. SHAREHOLDER indirect 2000-11-01
GLOBAL RETAIL PARTNERS, INC. SHAREHOLDER indirect 2000-11-01
DLJ MERCHANT BANKING II, INC. SHAREHOLDER indirect 2000-11-01
VOLARIS VOLATILITY MANAGEMENT, LLC SHAREHOLDER indirect 2000-11-01
DLJ DIVERSIFIED PARTNERS, INC. SHAREHOLDER indirect 2000-11-01
HUDSON CAPITAL MANAGEMENT (NY), L.P. 100% SHAREHOLDER indirect 2000-11-01
DLJ MERCHANT BANKING III INC SHAREHOLDER indirect 2000-11-01
DLJ INVESTMENT PARTNERS II, INC. SHAREHOLDER indirect 2000-11-01
SMITH ASSET MANAGEMENT GROUP LP SHAREHOLDER indirect 2006-01-01
RESERVOIR OPERATIONS, L.P. SHAREHOLDER indirect 2006-01-01
RESERVOIR OPERATIONS, L.P. SHAREHOLDER indirect 2006-01-01
OSPRAIE MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2007-10-01
FOREST INVESTMENT ASSOCIATES L.P. SHAREHOLDER indirect 2008-08-01
BRIGADE CAPITAL MANAGEMENT, LP SHAREHOLDER indirect 2008-08-01
LUCIDUS CAPITAL PARTNERS LLP SHAREHOLDER indirect 2008-08-01
CREDIT SUISSE ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2011-01-01
CREDIT SUISSE FIRST BOSTON CORPORATION STOCKHOLDER indirect 2000-10-01 2001-03-30
CSFBDIRECT LLC STOCKHOLDER indirect 2000-11-01 2002-01-25
CREDIT SUISSE FIRST BOSTON INDEX CO., INC. STOCKHOLDER indirect 2000-10-01 2002-03-28
MERCHANT CAPITAL INC 100% SHAREHOLDER indirect 1994-01-01 2002-04-01
CSFB GLOBAL OPPORTUNITIES PARTNERS, LLC SHAREHOLDER indirect 2000-10-01 2002-08-05
CREDIT SUISSE FIRST BOSTON INDEX CO., INC. STOCKHOLDER direct 2000-10-01 2003-03-31
PERSHING LLC STOCKHOLDER indirect 2000-11-01 2003-05-01
CREDIT SUISSE FIRST BOSTON INDEX CO., INC. SOLE SHAREHOLDER indirect 2000-11-01 2004-04-20
CSAM CAPITAL INC. SOLE SHAREHOLDER indirect 2000-11-01 2004-04-20
CSAM CAPITAL INC. SOLE SHAREHOLDER indirect 2000-11-01 2004-08-03
CREDIT SUISSE FIRST BOSTON INDEX CO., INC. SOLE SHAREHOLDER indirect 2000-11-01 2004-08-03
CSFB PRIVATE EQUITY ADVISERS LLC SOLE SHAREHOLDER indirect 2000-11-01 2004-11-16
CREDIT SUISSE ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2000-11-01 2005-01-11
CREDIT SUISSE FIRST BOSTON LLC STOCKHOLDER indirect 2000-10-01 2005-10-07
CREDIT SUISSE SECURITIES (USA) LLC STOCKHOLDER indirect 2000-10-01 2008-03-13
CREDIT SUISSE ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2000-11-01 2010-11-02
CANDLEWOOD INVESTMENT GROUP, LP 100% SHAREHOLDER indirect 2000-11-01 2012-03-30
DLJ REAL ESTATE CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2000-11-01 2012-03-30
GLOBAL INFRASTRUCTURE MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2011-01-01 2012-07-24
SHAPIRO CAPITAL MANAGEMENT LLC MEMBER indirect 2008-08-01 2013-03-21
GRESHAM PARTNERS, LLC SHAREHOLDER indirect 2008-08-01 2014-01-17
RESERVOIR OPERATIONS, L.P. SHAREHOLDER indirect 2008-08-01 2014-02-21
CREDIT VALUE PARTNERS, LP 100% SHAREHOLDER indirect 2000-11-01 2014-04-02
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2008-08-01 2014-05-13
GRESHAM PARTNERS, LLC SHAREHOLDER indirect 2000-11-01 2014-07-10
SMITH ASSET MANAGEMENT GROUP LP SHAREHOLDER indirect 2008-08-01 2014-08-18
SHAPIRO CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2008-08-01 2015-03-17
CREDIT SUISSE AG 100% SHAREHOLDER CREDIT SUISSE HOLDINGS (USA), INC. 11/01/2000 Indirect 75% or more
CREDIT SUISSE GROUP AG SOLE SHAREHOLDER CREDIT SUISSE AG 11/01/2000 Indirect 75% or more

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
HUDSON CLEAN ENERGY PARTNERS (MASTER), L.P. United States 805-9152348993 Private Equity Fund 48,488,789 5,000,000 Master Fund
HUDSON CLEAN ENERGY PARTNERS AIV, L.P. Cayman Islands 805-1439207911 Private Equity Fund 112,690,963 5,000,000
HUDSON CLEAN ENERGY PARTNERS (MASTER) AIV, L.P. Cayman Islands 805-4667853814 Private Equity Fund 24,617,969 5,000,000
HUDSON CLEAN ENERGY PARTNERS, L.P. United States 805-9880024135 Private Equity Fund 234,118,238 5,000,000
CS HUDSON CLEAN ENERGY PARTNERS, L.P. Cayman Islands 805-7054794357 Private Equity Fund 41,686,652 5,000,000 Master Fund
HUDSON CLEAN ENERGY PARTNERS (MASTER T-E), L.P. Cayman Islands 805-3218917197 Private Equity Fund 5,022,513 5,000,000 Master Fund
HCEP PARALLEL, L.P. United States 805-3953266677 Private Equity Fund 8,655,115 1,000,000

HUDSON CAPITAL MANAGEMENT LLC

ownership team - last updated 2017-03-20
Name Title Start Date Direct/Indirect % Ownership
PARKER, TIMOTHY, GLENN PARTNER 12/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-12-01
HUDSON CAPITAL MANAGEMENT LLC PARTNER direct 2011-12-01
PARKER, VICTORIA, KYONG-RAN MEMBER 03/01/2004 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT LLC MEMBER direct 2004-03-01
ARAN, ANDREW, MICHAEL PARTNER 12/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT LLC PARTNER direct 2010-12-01
ENERGY CAPITAL PARTNERS MANAGEMENT, LP TRUSTEE indirect 2015-08-01
ENERGY CAPITAL PARTNERS MANAGEMENT, LP MANAGER indirect 2016-02-01
REITSMA, MARK, DAVID CHIEF COMPLIANCE OFFICER 12/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
HUDSON CAPITAL MANAGEMENT LLC PARTNER direct 2010-12-01
HUDSON CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2011-12-01

Elevate your investments