KENNEDY CAPITAL MANAGEMENT, INC.

HTTP://WWW.KENNEDYCAPITAL.COM ST LOUIS, MO Investment Advisor Hedge Fund How do I update this listing?

Kennedy Capital Management is based out of St Louis. Kennedy Capital Management is a large advisory firm with 299 clients and discretionary assets under management (AUM) of $5,825,780,050 (Form ADV from 2019-02-04). Their last reported 13F filing for Q4 2018 included $4,026,249,000 in managed 13F securities and a top 10 holdings concentration of 6.7%. Kennedy Capital Management's largest holding is Esterline Technologies Corp with shares held of 304,713. Whalewisdom has at least 75 13F filings, and 206 13G filings The firm last filed a Form D notice of exempt offering of securities on 2018-07-05. The notice included securities offered of Equity

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12/31/2018

13F Sector Allocation Over Time

12/31/2018

13F Activity

  • Market Value $4.026 Billion
  • Prior Market Value $5.376 Billion
  • New Purchases70 stocks
  • Additional Purchases206 stocks
  • Sold out of99 stocks
  • Reduced holdings in378 stocks
  • Top 10 Holdings % 6.70 %
  • Turnover % [1]:24.60%
  • Turnover Alt % [2]: 23.77 %
  • Time Held Top20:2.00 quarters
  • Time Held Top10:1.70 quarters
  • Time Held All:10.16 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 2019-02-14

Performance for Q4 2018: -0.66%
Performance Last 4 Quarters: -7.38%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR/A (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)
  • 2003-09-30 - 13F-HR (Subscription required)
  • 2003-06-30 - 13F-HR (Subscription required)
  • 2003-03-31 - 13F-HR (Subscription required)
  • 2002-12-31 - 13F-HR (Subscription required)
  • 2002-09-30 - 13F-HR (Subscription required)
  • 2002-06-30 - 13F-HR (Subscription required)
  • 2002-03-31 - 13F-HR (Subscription required)
  • 2001-12-31 - 13F-HR (Subscription required)
  • 2001-09-30 - 13F-HR (Subscription required)
  • 2001-06-30 - 13F-HR (Subscription required)
  • 2001-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

KENNEDY CAPITAL MANAGEMENT
Classified as Hedge Fund
10829 OLIVE BLVD
ST LOUIS MO    63141-7739
Country: United States

Business Phone: 314-432-0400
Fax: 314-432-8536
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Corporation
Organized in: MO
Number of employees: 55
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 34,610,900
Total Number of Clients: 299
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Non-derivative Insider Transactions Since 12/31/2018

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Form D Filings

Form D is a form to be used to file a notice of an exempt offering of securities with the Securities and Exchange Commission. Form D contains basic information about the offering and the company.

Form D Filings
Filing Date Form Type Industry Group Securities Offered Total Offering Amount Total Amount Sold Total Remaining
2018-07-05 D INVESTING Equity 3,290,157 2,344,185 945,972
2017-04-07 D INVESTING Equity 2,736,517 2,055,165 681,352
2016-04-13 D INVESTING Equity 2,082,850 102,249 1,980,601
2015-04-07 D INVESTING Equity 1,762,725 1,528,932 233,793
2014-04-08 D INVESTING Equity 873,250 527,443 345,807
2013-04-08 D INVESTING Equity 1,559,800 1,389,640 170,160
2011-10-17 D INVESTING Equity 1,376,288 1,141,312 234,976
2010-01-14 D INVESTING Equity 12,726,000 893,648 11,832,352
Other Issuers in Filings
Name Address
No Other Issuers
Related Parties included in filings
Name Address Relationship
CRAIG A. BRANNAM subscription required
    EXECUTIVE OFFICER
DON COBIN subscription required
    DIRECTOR
FRANCIS ANDREW LATUDA, JR. subscription required
    EXECUTIVE OFFICER DIRECTOR
FRANK ANDREW LATUDA, JR. subscription required
    EXECUTIVE OFFICER DIRECTOR
JAMES J. BOYNE subscription required
    DIRECTOR
JOHN M. HILLHOUSE subscription required
    DIRECTOR
KIMBERLY D. WOOD subscription required
    EXECUTIVE OFFICER DIRECTOR
MATTHEW H. SCANLAN subscription required
    DIRECTOR
MICHAEL BERTZ subscription required
    DIRECTOR
NIRAJ S. SHAH subscription required
    EXECUTIVE OFFICER
PATRICIA A. ROW subscription required
    DIRECTOR
RANDALL LEE KIRKLAND subscription required
    EXECUTIVE OFFICER DIRECTOR
RICHARD ERNEST OLIVER subscription required
    EXECUTIVE OFFICER
RICHARD HENRY SINISE subscription required
    EXECUTIVE OFFICER
ROBERT B. KARN III subscription required
    DIRECTOR
SAMUEL T. DEKINDER subscription required
    DIRECTOR
STEPHEN ALAN MACE subscription required
    EXECUTIVE OFFICER

KENNEDY CAPITAL MANAGEMENT, INC.

ownership team - last updated 2018-05-17
Name Title Start Date Direct/Indirect % Ownership
SINISE, RICHARD, HENRY EVP, CHIEF PORTFOLIO MANAGER 12/01/1993 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
KENNEDY CAPITAL MANAGEMENT, INC. EVP, CHIEF PORTFOLIO MANAGER, DIRECTOR OF RESEARCH direct 1993-12-01
KENNEDY CAPITAL MANAGEMENT INC CHIEF INVESTMENT OFFICER direct 1980-05-01 2001-01-19
KENNEDY CAPITAL MANAGEMENT INC VICE PRESIDENT, CHIEF PORTFOLIO MANAGER direct 1980-05-01 2001-04-30
KENNEDY CAPITAL MANAGEMENT INC EVP, CHIEF PORTFOLIO MANAGER direct 1980-05-01 2005-03-31
KENNEDY CAPITAL MANAGEMENT INC EVP, CHIEF INVESTMENT OFFICER direct 1980-05-01 2005-05-20
KENNEDY CAPITAL MANAGEMENT INC DIRECTOR, EVP CHIEF INVESTMENT OFFICER direct 1980-05-01 2005-12-08
KENNEDY CAPITAL MANAGEMENT INC DIRECTOR, EVP, CHIEF INVESTMENT OFFICER direct 1980-05-01 2006-03-31
KENNEDY CAPITAL MANAGEMENT INC EVP, CHIEF PORTFOLIO MANAGER direct 1993-12-01 2016-03-01
OLIVER, RICHARD, ERNEST VP,CHIEF FINANCIAL OFFICER 12/01/1994 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
KENNEDY CAPITAL MANAGEMENT INC VP,CHIEF FINANCIAL OFFICER direct 1994-12-01
KENNEDY CAPITAL MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 1992-11-01 2001-04-30
KENNEDY CAPITAL MANAGEMENT INC VP,CHIEF FINANCIAL OFFICER direct 1992-11-01 2006-03-31
KARN III, ROBERT, BURNS DIRECTOR 12/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
KENNEDY CAPITAL MANAGEMENT, INC. DIRECTOR direct 2001-12-01
KENNEDY CAPITAL MANAGEMENT INC DIRECTOR, TRUSTEE 1996 KENNEDY TRUST direct 2001-12-01 2005-12-08
KENNEDY CAPITAL MANAGEMENT INC TRUSTEE indirect 2001-12-01 2005-12-08
HASARA, TIMOTHY, PAUL VP, PORTFOLIO MANAGER 09/01/1995 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
KENNEDY CAPITAL MANAGEMENT, INC. VP, PORTFOLIO MANAGER direct 1995-09-01
KENNEDY CAPITAL MANAGEMENT INC VP, PORTFOLIO MANAGER direct 1997-01-01
LATUDA, FRANCIS, ANDREW DIRECTOR, VP, CHIEF INVESTMENT OFFICER 10/01/2006 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
KENNEDY CAPITAL MANAGEMENT INC VP, PORTFOLIO MANAGER direct 2000-10-01
KENNEDY CAPITAL MANAGEMENT, INC. DIRECTOR, VP, CHIEF INVESTMENT OFFICER direct 2006-10-01
COBIN, DONALD, M CHAIRMAN OF THE BOARD, PRESIDENT, CHIEF EXECUTIVE OFFICER 03/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
KENNEDY CAPITAL MANAGEMENT, INC. VP, DIRECTOR, PORTFOLIO MANAGER direct 2012-04-01
KENNEDY CAPITAL MANAGEMENT, INC. VP, DIRECTOR direct 2012-04-01
MATADOR CAPITAL MANAGEMENT CORP CO-MANAGER OF RESEARCH direct 2002-05-01
RATERMAN, TERRENCE, GERARD VP, PORTFOLIO MANAGER 08/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
KENNEDY CAPITAL MANAGEMENT INC DIRECTOR direct 2003-08-01
KENNEDY CAPITAL MANAGEMENT, INC. VP, PORTFOLIO MANAGER direct 2013-08-01
SHAH, NIRAJ, SURENDRA VP, CHIEF OPERATING OFFICER 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
KENNEDY CAPITAL MANAGEMENT, INC. VP, CHIEF OPERATING OFFICER, CHIEF TECHNOLOGY OFFICER direct 2016-06-01
SCANLAN, MATTHEW, HOWARD DIRECTOR 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
KENNEDY CAPITAL MANAGEMENT, INC. DIRECTOR direct 2017-10-01
RS INVESTMENT MANAGEMENT CO. LLC CEO & DIRECTOR direct 2012-01-01
BOYNE, JAMES, JOSEPH DIRECTOR 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CALAMOS PARTNERS LLC PRESIDENT OF DISTRIBUTION AND OPERATIONS direct 2009-12-01
KENNEDY CAPITAL MANAGEMENT, INC. DIRECTOR direct 2017-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC CHIEF LEGAL & COMPL OFFCR & CLASS A MEMBER direct 2001-08-01 2004-03-29
MCDONNELL INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFCR, GENL COUNSEL & CLASS A MEMBER direct 2001-08-01 2008-03-27
CALAMOS ADVISORS LLC SVP-GENERAL COUNSEL direct 2008-04-01 2008-05-28
CALAMOS PARTNERS LLC SVP/GENERAL COUNSEL direct 2008-04-01 2008-05-28
CALAMOS WEALTH MANAGEMENT LLC SVP/GENERAL COUNSEL direct 2008-04-01 2008-05-28
CALAMOS WEALTH MANAGEMENT LLC SVP, GENERAL COUNSEL direct 2008-04-01 2009-03-27
CALAMOS ADVISORS LLC SVP,GENERAL COUNSEL direct 2008-04-01 2009-03-27
CALAMOS PARTNERS LLC SVP, GENERAL COUNSEL direct 2008-04-01 2009-03-27
CALAMOS ADVISORS LLC PRESIDENT OF DISTRIBUTION AND OPERATIONS, SECRETARY direct 2009-12-01 2010-03-24
CALAMOS WEALTH MANAGEMENT LLC SENIOR EXECUTIVE VICE PRESIDENT OF DISTRIBUTION AND OPERATIONS, SECRETARY direct 2009-12-01 2010-03-31
CALAMOS PARTNERS LLC PRESIDENT OF DISTRIBUTION AND OPERATIONS, SECRETARY direct 2009-12-01 2010-03-31
CALAMOS ADVISORS LLC PRESIDENT OF DISTRIBUTION AND OPERATIONS direct 2009-12-01 2011-09-22
CALAMOS ADVISORS LLC COO direct 2009-12-01 2012-08-03
CALAMOS WEALTH MANAGEMENT LLC SENIOR EXECUTIVE VICE PRESIDENT OF DISTRIBUTION AND OPERATIONS direct 2009-12-01 2012-10-04
CALAMOS ADVISORS LLC PRESIDENT & COO direct 2013-02-01 2013-11-12
CALAMOS WEALTH MANAGEMENT LLC PRESIDENT, CHIEF OPERATING OFFICER direct 2013-01-01 2014-01-07
BRANNAM, CRAIG, ANTHONY VP, CHIEF COMPLIANCE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
KENNEDY CAPITAL MANAGEMENT, INC. VP, CHIEF COMPLIANCE OFFICER direct 2018-03-01
BERTZ, MICHAEL, DAVID DIRECTOR, VICE PRESIDENT, PORTFOLIO MANAGER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
KENNEDY CAPITAL MANAGEMENT, INC. DIRECTOR, VICE PRESIDENT, PORTFOLIO MANAGER direct 2018-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
KCM SMALL CAP CORE FUND, LLC United States 805-1985816349 Other Private Fund LIMITED LIABILITY COMPANY 34,610,902 1,000,000

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