MACKAY SHIELDS LLC

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

Mackay Shields is based out of New York. Mackay Shields is a hedge fund with 370 clients and discretionary assets under management (AUM) of $132,630,769,948 (Form ADV from 2020-06-15). Their last reported 13F filing for Q2 2020 included $12,539,488,000 in managed 13F securities and a top 10 holdings concentration of 22.25%. Mackay Shields's largest holding is SPDR S&P 500 ETF Trust with shares held of 1,921,593. Whalewisdom has at least 85 13F filings, 1 13D filings, 62 13G filings, and 2 Form 4 filings

Download 13F Summary to Excel Create Email Alert

06/30/2020

13F Activity

  • Market Value $12.539 Billion
  • Prior Market Value $10.812 Billion
  • New Purchases277 stocks
  • Additional Purchases526 stocks
  • Sold out of205 stocks
  • Reduced holdings in529 stocks
  • Top 10 Holdings % 22.25 %
  • Turnover % [1]:33.61%
  • Turnover Alt % [2]: 13.11 %
  • Time Held Top20:5.05 quarters
  • Time Held Top10:5.70 quarters
  • Time Held All:6.19 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 31.26%
Performance Last 4 Quarters: 3.53%
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

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

Security Types:

Refresh
*Shares are split adjusted
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
FIRST TRUST ADVISORS LP
IndexIQ Advisors LLC
MCMORGAN CO LLC
NEW YORK LIFE INSURANCE CO
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
OPPENHEIMER ASSET MANAGEMENT INC.
RIVERNORTH CAPITAL MANAGEMENT, LLC

View Last Form Adv Compilation Report on Record

MACKAY SHIELDS LLC
Classified as Hedge Fund
1345 AVENUE OF THE AMERICAS 43RD FLOOR
NEW YORK NY    10105
Country: United States

Business Phone: 212-758-5400
Fax: 212-758-3291
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 200
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 19,316,500,000
Total Number of Clients: 370
Amount of client funds and securities by related persons: 10,598,400,000
Total Number of clients from related persons: 17
Disclosures: 11.D (2),11.D (4)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

Sign in to see

Form 4 - Recent Insider Transactions

Loading...

MACKAY SHIELDS LLC

ownership team - last updated 2020-06-15
Name Title Start Date Direct/Indirect % Ownership
NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC SOLE MEMBER 01/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 1999-12-01
NYLCAP MANAGER LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 1999-12-01
CANDRIAM BELGIUM S.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM FRANCE S.A.S INDIRECT INTEREST HOLDER indirect 1999-12-01
MACKAY SHIELDS LLC SOLE MEMBER direct 2000-01-01
INSTITUTIONAL CAPITAL LLC MEMBER direct 2006-06-01
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2008-09-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC SOLE MEMBER direct 2008-09-01
PRIVATE ADVISORS LLC MEMBER direct 2010-12-01
CANDRIAM LUXEMBOURG S.C.A. INDIRECT INTEREST HOLDER indirect 2013-12-01
INDEXIQ ADVISORS LLC MEMBER indirect 2015-04-01
CREDIT VALUE PARTNERS, LLC MANAGING MEMBER indirect 2016-12-01
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2008-09-01 2013-01-28
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2008-09-01 2013-03-27
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2013-01-01 2014-12-01
MCF CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2001-03-01 2014-12-03
MADISON SQUARE INVESTORS LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 2008-09-01 2014-12-04
PRIVATE ADVISORS LLC OWNER direct 2010-12-01 2014-12-08
MCF CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-03-01 2015-07-31
PROTAS, LUCILLE, MARIAN PRESIDENT, EXECUTIVE MANAGING DIRECTOR, CHIEF OPERATING OFFICER, TREASURER AND ELECTED TO THE BOARD OF MANAGERS 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER, ACTING CHIEF EXECUTIVE OFFICER direct 2016-07-01
MACKAY SHIELDS LLC PRESIDENT, EXECUTIVE MANAGING DIRECTOR, CHIEF OPERATING OFFICER, TREASURER AND ELECTED TO THE BOARD OF MANAGERS direct 2011-12-01
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-01-01 2006-07-14
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR AND CHIEF OPERATING OFFICER direct 2007-01-01 2010-03-29
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR AND ACTING CHIEF EXECUTIVE OFFICER direct 2010-04-01 2011-03-29
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR AND ACTING CHIEF EXECUTIVE OFFICER AND MEMBER OF THE BOARD OF MANAGERS direct 2011-04-01 2011-06-30
MACKAY SHIELDS LLC PRESIDENT, SENIOR MANAGING DIRECTOR AND MEMBER OF THE BOARD OF MANAGERS direct 2011-12-01 2013-05-15
MACKAY SHIELDS LLC PRESIDENT, EXECUTIVE MANAGING DIRECTOR AND MEMBER OF THE BOARD OF MANAGERS direct 2011-12-01 2015-01-09
BUSTAMANTE, RENE, ARTURO CHIEF COMPLIANCE OFFICER, EXECUTIVE MANAGING DIRECTOR 02/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, DIRECTOR direct 2004-04-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2004-04-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2005-02-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, SENIOR MANAGING DIRECTOR direct 2005-02-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, SENIOR MANAGING DIRECTOR direct 2010-07-01
LOFFREDO, JOHN, MICHAEL EXECUTIVE MANAGING DIRECTOR 07/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
FUND ASSET MANAGEMENT LP CO-HEAD-TAX-EXEMPT INVESTMENTS direct 2001-12-01
MERRILL LYNCH INVESTMENT MANAGERS LP CO-HEAD-TAX-EXEMPT INVESTMENTS direct 2001-12-01
MARINER MUNICIPAL MANAGERS LLC MANAGING MEMBER - SHAREHOLDER OF CLASS A INTERESTS direct 2007-11-01
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2009-07-01
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2009-07-01 2013-05-15
DIMELLA, ROBERT, ALAN EXECUTIVE MANAGING DIRECTOR 03/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2010-03-01
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2010-03-01
MARINER MUNICIPAL MANAGERS LLC MANAGING MEMBER - SHAREHOLDER OF CLASS A INTERESTS direct 2007-11-01
MALLOY, ANTHONY, RAMSEY ELECTED TO THE BOARD OF MANAGERS 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2011-01-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2011-01-01
PRIVATE ADVISORS LLC ELECTED MANAGER direct 2017-02-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2005-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2011-04-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT, GENERAL ACCOUNT ASSET MANAGEMENT direct 2011-07-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2011-07-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2017-02-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND MANAGER direct 2012-01-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND MANAGER, AND AUDIT COMMITTEE MEMBER direct 2012-01-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND AUDIT COMMITTEE MEMBER direct 2012-01-01
NYL INVESTORS LLC CHIEF EXECUTIVE OFFICER, AND ELECTED MANAGER direct 2014-01-01
NYL INVESTORS LLC CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD AND MANAGER direct 2014-01-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2012-01-01
MADISON CAPITAL FUNDING LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND MEMBER OF THE AUDIT COMMITTEE direct 2012-01-01
PHLEGAR, JEFFREY, SCOTT CHAIRMAN AND CHIEF EXECUTIVE OFFICER AND ELECTED TO THE BOARD OF MANAGERS 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ALLIANCE CAPITAL MANAGEMENT HOLDING L P EXECUTIVE VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCEBERNSTEIN HOLDING L.P. EXECUTIVE VICE PRESIDENT OF ABC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT HOLDING L P SENIOR VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCEBERNSTEIN CORPORATION EXECUTIVE VICE PRESIDENT direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT CORP EXECUTIVE VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT CORP SENIOR VICE PRESIDENT OF ACMC direct 2004-03-01
MACKAY SHIELDS LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER AND ELECTED TO THE BOARD OF MANAGERS direct 2011-12-01
MACKAY SHIELDS LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER AND MEMBER OF THE BOARD OF MANAGERS direct 2011-12-01
ALLIANCEBERNSTEIN L.P. EXECUTIVE VICE PRESIDENT OF ABC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT L P SENIOR VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT L P EXECUTIVE VICE PRESIDENT OF ACMC direct 2004-03-01
CANDRIAM BELGIUM S.A. DIRECTOR direct 2014-02-01
HUNG, YIE-HSIN, NMN ELECTED TO THE BOARD OF MANAGERS 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTIONAL CAPITAL LLC ELECTED MANAGER direct 2012-01-01
INSTITUTIONAL CAPITAL LLC DIRECTOR direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC ELECTED MANAGER direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC MANAGER direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD OF MANAGERS direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD OF MANAGERS, ELECTED MANAGER direct 2015-06-01
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2012-03-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2012-03-01
MORGAN STANLEY VENTURE CAPITAL III INC CHAIRMAN, DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MSDW VENTURE PARTNERS IV INC CHAIRMAN AND DIRECTOR direct 2004-10-01
MSDW CAPITAL PARTNERS IV INC DIRECTOR, MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC MANAGING DIRECTOR, CHAIRMAN AND CEO direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC DIRECTOR, CHAIRMAN AND CEO direct 2004-10-01
PRIVATE ADVISORS LLC BOARD OF MANAGERS direct 2010-12-01
PRIVATE ADVISORS LLC ELECTED MANAGER, CHAIRMAN OF THE BOARD OF MANAGERS direct 2010-12-01
PRIVATE ADVISORS LLC CHAIRMAN OF THE BOARD OF MANAGERS direct 2010-12-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, SENIOR MANAGING DIRECTOR direct 2010-11-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, EXECUTIVE VICE PRESIDENT direct 2010-11-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, EXECUTIVE VICE PRESIDENT direct 2011-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2011-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT, HEAD OF INSTITUTIONAL INVESTMENTS direct 2012-03-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC MANAGER AND CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR, CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER AND CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER, CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2015-06-01
MORGAN STANLEY CAPITAL PARTNERS III INC DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY VENTURE CAPITAL II INC CHAIRMAN AND DIRECTOR direct 2004-10-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MCMORGAN & COMPANY LLC CHAIRMAN-BOARD OF MANAGERS direct 2012-01-01
NYLCAP MANAGER LLC CHAIRMAN OF THE BOARD, CHAIRMAN OF THE COMPENSATION COMMITTEE, MEMBER OF INVESTMENT COMMITTEE direct 2010-11-01
NYLCAP MANAGER LLC CHAIRMAN OF THE BOARD, CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2010-11-01
GOLDPOINT PARTNERS LLC CHAIRMAN OF THE BOARD OF MANAGERS, CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2010-11-01
MSVP 2002, INC. CHAIRMAN, DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP DIRECTOR direct 2006-02-01
MORGAN STANLEY HEDGE FUND PARTNERS LP DIRECTOR direct 2006-02-01
PRIVATE INVESTMENT PARTNERS, INC. CHAIRMAN OF THE BOARD AND PRESIDENT direct 2005-11-01
PRIVATE INVESTMENT PARTNERS INC. MANAGING DIRECTOR direct 2006-03-01
INDEXIQ ADVISORS LLC ELECTED MANAGER direct 2015-10-01
MADISON SQUARE INVESTORS LLC CHAIRMAN OF THE BOARD OF MANAGERS AND CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC MANAGER direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC CHAIRMAN OF THE BOARD OF MANAGERS, ELECTED MANAGER direct 2015-06-01
CREDIT VALUE PARTNERS, LLC ELECTED MANAGER, CHAIRMAN OF THE BOARD OF MANAGERS indirect 2017-02-01
CANDRIAM BELGIUM S.A. CHAIRMAN OF THE BOARD OF DIRECTORS AND MEMBER OF THE AUDIT COMMITTEE direct 2014-02-01
CANDRIAM LUXEMBOURG S.C.A. CHAIRMAN OF THE BOARD OF DIRECTORS AND CHAIRMAN OF THE AUDIT & COMPLIANCE COMMITTEE direct 2014-02-01
CANDRIAM FRANCE S.A.S. CHAIRMAN OF THE STRATEGIC COMMITTEE direct 2014-02-01
CANDRIAM S.A. (FRANCE) CHAIRMAN OF THE BOARD direct 2014-02-01
MADISON CAPITAL FUNDING LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND MEMBER OF THE AUDIT COMMITTEE direct 2017-02-01
AKKERMAN, JOHN, WILLIAM EXECUTIVE MANAGING DIRECTOR 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2012-09-01
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2012-09-01
LEE, YOUNG, NMN GENERAL COUNSEL, SENIOR MANAGING DIRECTOR 02/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPPENHEIMER CAPITAL LLC CHIEF LEGAL OFFICER direct 2007-02-01
MACKAY SHIELDS LLC GENERAL COUNSEL, SENIOR MANAGING DIRECTOR direct 2013-02-01
MACKAY SHIELDS LLC ACTING GENERAL COUNSEL, MANAGING DIRECTOR direct 2013-02-01
PRINCIPLED ASSET ADMINISTRATION, L.L.C. GENERAL COUNSEL direct 2009-03-01
CORKER, MICHAEL, DANIEL CHIEF FINANCIAL OFFICER, SENIOR MANAGING DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC CHIEF FINANCIAL OFFICER direct 2008-01-01
MACKAY SHIELDS LLC CHIEF FINANCIAL OFFICER, SENIOR MANAGING DIRECTOR direct 2008-01-01
SUSSER, ANDREW, MARK EXECUTIVE MANAGING DIRECTOR 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2015-01-01
ABOU-JAOUDE, NAIM ELECTED TO THE BOARD OF MANAGERS 03/01/3017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 3017-03-01
CANDRIAM BELGIUM S.A. DIRECTOR AND CHIEF EXECUTIVE OFFICER direct 2007-03-01
CANDRIAM BELGIUM SA DIRECTOR AND CHIEF EXECUTIVE OFFICER OF CANDRIAM GROUP direct 2007-03-01
CANDRIAM LUXEMBOURG S.C.A. DIRECTOR direct 2006-12-01
CANDRIAM FRANCE S.A.S. DIRECTOR AND CHIEF EXECUTIVE OFFICER direct 2006-12-01
CANDRIAM S.A. (FRANCE) DIRECTOR AND CHIEF EXECUTIVE OFFICER OF CANDRIAM GROUP direct 2006-12-01
Lehneis, Kirk, C ELECTED TO BOARD OF MANAGERS 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC ELECTED TO BOARD OF MANAGERS direct 2017-03-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2017-02-01
HARTE, FRANCIS, MICHAEL ELECTED TO THE BOARD OF MANAGERS 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
JULIUS BAER SECURITIES INC. SENIOR VICE PRESIDENT direct 2002-10-01
ARTIO GLOBAL MANAGEMENT LLC MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER direct 2002-10-01
ARTIO GLOBAL MANAGEMENT LLC SENIOR VICE PRESIDENT/CFO direct 2002-10-01
INSTITUTIONAL CAPITAL LLC ELECTED MANAGER direct 2014-06-01
INSTITUTIONAL CAPITAL LLC DIRECTOR direct 2014-06-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2017-03-01
MACKAY SHIELDS LLC KIRK LEHNEIS, ELECTED TO THE BOARD OF MANAGERS direct 2017-03-01
GAM USA INC. TREASURER direct 2005-12-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2017-02-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2017-02-01
MCF CAPITAL MANAGEMENT LLC MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-07-01
MCF CAPITAL MANAGEMENT LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-07-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-07-01
NEW YORK LIFE INSURANCE COMPANY INDIRECT INTEREST HOLDER NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC 10/01/1999 Indirect Other
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC INDIRECT INTEREST HOLDER indirect 1999-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
INSTITUTIONAL CAPITAL LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM FRANCE S.A.S. INDIRECT INTEREST HOLDER indirect 1999-12-01
GOLDPOINT PARTNERS LLC SOLE MEMBER indirect 1999-12-01
CANDRIAM BELGIUM S.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM LUXEMBOURG S.C.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CREDIT VALUE PARTNERS, LLC MANAGING MEMBER indirect 1999-12-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
PRIVATE ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2010-12-01
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP AND A&M CAPITAL OPPORTUNITIES-GP, LP (RELYING ADVISERS) direct 2012-03-01
NYL INVESTORS LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 2013-10-01
INDEXIQ ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2015-04-01
MADISON CAPITAL FUNDING LLC MEMBER direct 2015-12-01
MCF CAPITAL MANAGEMENT LLC MEMBER indirect 2015-12-01
EAGLE STRATEGIES CORP INDIRECT STOCKHOLDER direct 1988-07-01 2006-03-01
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2008-10-10
INSTITUTIONAL CAPITAL CORP INDIRECT INTEREST HOLDER indirect 1999-10-01 2009-01-16
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2009-06-04
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2012-06-18
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2013-01-28
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-03-25
NYLCAP MANAGER LLC INDIRECT INTEREST HOLDERS indirect 1999-12-01 2014-11-24
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-12-01
MCF CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2014-12-03
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2014-12-04
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP (RELYING ADVISER) direct 2012-03-01 2015-02-03
CROSSBEAM CAPITAL, LLC MEMBER indirect 2006-11-01 2015-03-31
MCF CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 1999-12-01 2015-07-31

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
MACKAY SHIELDS DEFENSIVE BOND ARBITRAGE FUND LTD. Bermuda 805-9629990342 Hedge Fund 452,211,196 5,000,000
MACKAY PUERTO RICO OPPORTUNITIES FUND, L.P. United States 805-6517593046 Hedge Fund 3,093,261 500,000 Master Fund
MACKAY SHIELDS HIGH YIELD ACTIVE CORE FUND LP United States 805-2807546760 Hedge Fund 317,961,733 2,000,000
MACKAY MUNICIPAL CREDIT OPPORTUNITIES MASTER FUND LP United States 805-6029565126 Hedge Fund 3,528,590,013 1,000,000 Master Fund
MACKAY SHIELDS CORE PLUS/OPPORTUNITIES FUND, LP United States 805-2191053450 Hedge Fund 186,727,523 5,000,000
MACKAY MUNICIPAL SHORT TERM OPPORTUNITIES FUND LP United States 805-9701666494 Hedge Fund 463,954,442 5,000,000
MACKAY MUNICIPAL CALIFORNIA OPPORTUNITIES FUND, L.P. United States 805-2338564429 Hedge Fund 561,870,142 250,000
MACKAY SHIELDS HIGH YIELD CROSSOVER FUND LP United States 805-2936386573 Other Private Fund FUND OF FUNDS 13,202 1,000,000 Fund of Funds
MACKAY MUNICIPAL CAPITAL TRADING MASTER FUND, L.P. United States 805-7993046240 Hedge Fund 101,991,889 5,000,000 Master Fund
MACKAY SHIELDS SELECT CREDIT OPPORTUNITIES FUND LP United States 805-3984100291 Hedge Fund 32,841,584 1,000,000
MACKAY MUNICIPAL NEW YORK OPPORTUNITIES FUND, LP United States 805-4448374841 Hedge Fund 229,800,431 250,000
MACKAY MUNICIPAL OPPORTUNITIES ALLOCATION MASTER FUND LP United States 805-4582192399 Hedge Fund 867,605,779 250,000 Master Fund
MACKAY CORNERSTONE US EQUITY MARKET NEUTRAL FUND LP United States 805-7319457608 Hedge Fund 24,452 500,000
MACKAY MUNICIPAL STRATEGIC OPPORTUNITIES FUND, L.P. United States 805-9094717073 Hedge Fund 234,352,799 500,000 Fund of Funds
MACKAY SHIELDS CORE FIXED INCOME FUND LP United States 805-9532805475 Other Private Fund COMMINGLED 140,917,777 5,000,000
MACKAY SHIELDS INTERMEDIATE BOND FUND LP United States 805-3295248719 Hedge Fund 421,881,087 1,000,000
CVP CLO 2017-1, LTD Cayman Islands 805-8755489158 Securitized Asset Fund 356,587,891 250,000
MACKAY MUNICIPAL OPPORTUNITIES MASTER FUND, LP United States 805-2479996725 Hedge Fund 3,132,842,665 1,000,000 Master Fund
MACKAY MUNICIPAL U.S. INFRASTRUCTURE OPPORTUNITIES FUND LP United States 805-7339200132 Hedge Fund 56,921,168 250,000
MACKAY MUNICIPAL HIGH YIELD SELECT FUND LP United States 805-7899933973 Hedge Fund 317,064,811 250,000
CVP CLO 2017-2, LTD Cayman Islands 805-8967972935 Securitized Asset Fund 397,488,805 250,000
MACKAY SHIELDS TALF 2.0 OPPORTUNITIES MASTER FUND LP United States 805-9733060705 Private Equity Fund 250,000,000 5,000,000 Master Fund
MACKAY FLEXIBLE INCOME FUND LP United States 805-6457276273 Other Private Fund HEDGE FUND 550,000 250,000 Fund of Funds

MACKAY SHIELDS LLC

ownership team - last updated 2020-03-27
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
MACKAY SHIELDS DEFENSIVE BOND ARBITRAGE FUND LTD. Bermuda 805-9629990342 Hedge Fund 452,211,196 5,000,000
MACKAY PUERTO RICO OPPORTUNITIES FUND, L.P. United States 805-6517593046 Hedge Fund 3,093,261 500,000 Master Fund
MACKAY SHIELDS HIGH YIELD ACTIVE CORE FUND LP United States 805-2807546760 Hedge Fund 317,961,733 2,000,000
MACKAY MUNICIPAL CREDIT OPPORTUNITIES MASTER FUND LP United States 805-6029565126 Hedge Fund 3,528,590,013 1,000,000 Master Fund
MACKAY SHIELDS CORE PLUS/OPPORTUNITIES FUND, LP United States 805-2191053450 Hedge Fund 186,727,523 5,000,000
MACKAY MUNICIPAL SHORT TERM OPPORTUNITIES FUND LP United States 805-9701666494 Hedge Fund 463,954,442 5,000,000
MACKAY MUNICIPAL CALIFORNIA OPPORTUNITIES FUND, L.P. United States 805-2338564429 Hedge Fund 561,870,142 250,000
MACKAY SHIELDS HIGH YIELD CROSSOVER FUND LP United States 805-2936386573 Other Private Fund FUND OF FUNDS 13,202 1,000,000 Fund of Funds
MACKAY MUNICIPAL CAPITAL TRADING MASTER FUND, L.P. United States 805-7993046240 Hedge Fund 101,991,889 5,000,000 Master Fund
MACKAY SHIELDS SELECT HIGH YIELD BOND FUND LP United States 805-3984100291 Hedge Fund 32,841,584 1,000,000
MACKAY MUNICIPAL NEW YORK OPPORTUNITIES FUND, LP United States 805-4448374841 Hedge Fund 229,800,431 250,000
MACKAY MUNICIPAL OPPORTUNITIES ALLOCATION MASTER FUND LP United States 805-4582192399 Hedge Fund 867,605,779 250,000 Master Fund
MACKAY CORNERSTONE US EQUITY MARKET NEUTRAL FUND LP United States 805-7319457608 Hedge Fund 24,452 500,000
MACKAY MUNICIPAL STRATEGIC OPPORTUNITIES FUND, L.P. United States 805-9094717073 Hedge Fund 234,352,799 500,000 Fund of Funds
MACKAY SHIELDS CORE FIXED INCOME FUND LP United States 805-9532805475 Other Private Fund COMMINGLED 140,917,777 5,000,000
MACKAY SHIELDS INTERMEDIATE BOND FUND LP United States 805-3295248719 Hedge Fund 421,881,087 1,000,000
CVP CLO 2017-1, LTD Cayman Islands 805-8755489158 Securitized Asset Fund 356,587,891 250,000
MACKAY MUNICIPAL OPPORTUNITIES MASTER FUND, LP United States 805-2479996725 Hedge Fund 3,132,842,665 1,000,000 Master Fund
MACKAY MUNICIPAL U.S. INFRASTRUCTURE OPPORTUNITIES FUND LP United States 805-7339200132 Hedge Fund 56,921,168 250,000
MACKAY MUNICIPAL HIGH YIELD SELECT FUND LP United States 805-7899933973 Hedge Fund 317,064,811 250,000
CVP CLO 2017-2, LTD Cayman Islands 805-8967972935 Securitized Asset Fund 397,488,805 250,000

MACKAY SHIELDS LLC

ownership team - last updated 2019-11-07
Name Title Start Date Direct/Indirect % Ownership
NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC SOLE MEMBER 01/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 1999-12-01
NYLCAP MANAGER LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 1999-12-01
CANDRIAM BELGIUM S.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM FRANCE S.A.S INDIRECT INTEREST HOLDER indirect 1999-12-01
MACKAY SHIELDS LLC SOLE MEMBER direct 2000-01-01
INSTITUTIONAL CAPITAL LLC MEMBER direct 2006-06-01
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2008-09-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC SOLE MEMBER direct 2008-09-01
PRIVATE ADVISORS LLC MEMBER direct 2010-12-01
CANDRIAM LUXEMBOURG S.C.A. INDIRECT INTEREST HOLDER indirect 2013-12-01
INDEXIQ ADVISORS LLC MEMBER indirect 2015-04-01
CREDIT VALUE PARTNERS, LLC MANAGING MEMBER indirect 2016-12-01
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2008-09-01 2013-01-28
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2008-09-01 2013-03-27
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2013-01-01 2014-12-01
MCF CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2001-03-01 2014-12-03
MADISON SQUARE INVESTORS LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 2008-09-01 2014-12-04
PRIVATE ADVISORS LLC OWNER direct 2010-12-01 2014-12-08
MCF CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-03-01 2015-07-31
PROTAS, LUCILLE, MARIAN PRESIDENT, EXECUTIVE MANAGING DIRECTOR, CHIEF OPERATING OFFICER, TREASURER AND ELECTED TO THE BOARD OF MANAGERS 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER, ACTING CHIEF EXECUTIVE OFFICER direct 2016-07-01
MACKAY SHIELDS LLC PRESIDENT, EXECUTIVE MANAGING DIRECTOR, CHIEF OPERATING OFFICER, TREASURER AND ELECTED TO THE BOARD OF MANAGERS direct 2011-12-01
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-01-01 2006-07-14
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR AND CHIEF OPERATING OFFICER direct 2007-01-01 2010-03-29
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR AND ACTING CHIEF EXECUTIVE OFFICER direct 2010-04-01 2011-03-29
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR AND ACTING CHIEF EXECUTIVE OFFICER AND MEMBER OF THE BOARD OF MANAGERS direct 2011-04-01 2011-06-30
MACKAY SHIELDS LLC PRESIDENT, SENIOR MANAGING DIRECTOR AND MEMBER OF THE BOARD OF MANAGERS direct 2011-12-01 2013-05-15
MACKAY SHIELDS LLC PRESIDENT, EXECUTIVE MANAGING DIRECTOR AND MEMBER OF THE BOARD OF MANAGERS direct 2011-12-01 2015-01-09
ROBERTS, DANIEL, CRAIG EXECUTIVE MANAGING DIRECTOR 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2004-10-01
PARETO PARTNERS CHIEF INVESTMENT OFFICER US FIXED INCOME direct 2000-03-01 2001-02-28
PARETO PARTNERS CHIEF INVESTMENT OFFICER direct 2001-07-01 2004-06-21
PARETO PARTNERS CHIEF INVESTMENT OFFICER direct 2000-02-01 2004-07-19
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2004-10-01 2013-05-15
BUSTAMANTE, RENE, ARTURO CHIEF COMPLIANCE OFFICER, SENIOR MANAGING DIRECTOR 02/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, DIRECTOR direct 2004-04-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2004-04-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2005-02-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, SENIOR MANAGING DIRECTOR direct 2005-02-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, SENIOR MANAGING DIRECTOR direct 2010-07-01
LOFFREDO, JOHN, MICHAEL EXECUTIVE MANAGING DIRECTOR 07/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
FUND ASSET MANAGEMENT LP CO-HEAD-TAX-EXEMPT INVESTMENTS direct 2001-12-01
MERRILL LYNCH INVESTMENT MANAGERS LP CO-HEAD-TAX-EXEMPT INVESTMENTS direct 2001-12-01
MARINER MUNICIPAL MANAGERS LLC MANAGING MEMBER - SHAREHOLDER OF CLASS A INTERESTS direct 2007-11-01
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2009-07-01
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2009-07-01 2013-05-15
DIMELLA, ROBERT, ALAN EXECUTIVE MANAGING DIRECTOR 03/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2010-03-01
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2010-03-01
MARINER MUNICIPAL MANAGERS LLC MANAGING MEMBER - SHAREHOLDER OF CLASS A INTERESTS direct 2007-11-01
MALLOY, ANTHONY, RAMSEY ELECTED TO THE BOARD OF MANAGERS 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2011-01-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2011-01-01
PRIVATE ADVISORS LLC ELECTED MANAGER direct 2017-02-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2005-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2011-04-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT, GENERAL ACCOUNT ASSET MANAGEMENT direct 2011-07-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2011-07-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2017-02-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND MANAGER direct 2012-01-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND MANAGER, AND AUDIT COMMITTEE MEMBER direct 2012-01-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND AUDIT COMMITTEE MEMBER direct 2012-01-01
NYL INVESTORS LLC CHIEF EXECUTIVE OFFICER, AND ELECTED MANAGER direct 2014-01-01
NYL INVESTORS LLC CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD AND MANAGER direct 2014-01-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2012-01-01
MADISON CAPITAL FUNDING LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND MEMBER OF THE AUDIT COMMITTEE direct 2012-01-01
PHLEGAR, JEFFREY, SCOTT CHAIRMAN AND CHIEF EXECUTIVE OFFICER AND ELECTED TO THE BOARD OF MANAGERS 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ALLIANCE CAPITAL MANAGEMENT HOLDING L P EXECUTIVE VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCEBERNSTEIN HOLDING L.P. EXECUTIVE VICE PRESIDENT OF ABC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT HOLDING L P SENIOR VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCEBERNSTEIN CORPORATION EXECUTIVE VICE PRESIDENT direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT CORP EXECUTIVE VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT CORP SENIOR VICE PRESIDENT OF ACMC direct 2004-03-01
MACKAY SHIELDS LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER AND ELECTED TO THE BOARD OF MANAGERS direct 2011-12-01
MACKAY SHIELDS LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER AND MEMBER OF THE BOARD OF MANAGERS direct 2011-12-01
ALLIANCEBERNSTEIN L.P. EXECUTIVE VICE PRESIDENT OF ABC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT L P SENIOR VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT L P EXECUTIVE VICE PRESIDENT OF ACMC direct 2004-03-01
CANDRIAM BELGIUM S.A. DIRECTOR direct 2014-02-01
HUNG, YIE-HSIN, NMN ELECTED TO THE BOARD OF MANAGERS 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTIONAL CAPITAL LLC ELECTED MANAGER direct 2012-01-01
INSTITUTIONAL CAPITAL LLC DIRECTOR direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC ELECTED MANAGER direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC MANAGER direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD OF MANAGERS direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD OF MANAGERS, ELECTED MANAGER direct 2015-06-01
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2012-03-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2012-03-01
MORGAN STANLEY VENTURE CAPITAL III INC CHAIRMAN, DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MSDW VENTURE PARTNERS IV INC CHAIRMAN AND DIRECTOR direct 2004-10-01
MSDW CAPITAL PARTNERS IV INC DIRECTOR, MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC MANAGING DIRECTOR, CHAIRMAN AND CEO direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC DIRECTOR, CHAIRMAN AND CEO direct 2004-10-01
PRIVATE ADVISORS LLC BOARD OF MANAGERS direct 2010-12-01
PRIVATE ADVISORS LLC ELECTED MANAGER, CHAIRMAN OF THE BOARD OF MANAGERS direct 2010-12-01
PRIVATE ADVISORS LLC CHAIRMAN OF THE BOARD OF MANAGERS direct 2010-12-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, SENIOR MANAGING DIRECTOR direct 2010-11-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, EXECUTIVE VICE PRESIDENT direct 2010-11-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, EXECUTIVE VICE PRESIDENT direct 2011-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2011-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT, HEAD OF INSTITUTIONAL INVESTMENTS direct 2012-03-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC MANAGER AND CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR, CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER AND CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER, CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2015-06-01
MORGAN STANLEY CAPITAL PARTNERS III INC DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY VENTURE CAPITAL II INC CHAIRMAN AND DIRECTOR direct 2004-10-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MCMORGAN & COMPANY LLC CHAIRMAN-BOARD OF MANAGERS direct 2012-01-01
NYLCAP MANAGER LLC CHAIRMAN OF THE BOARD, CHAIRMAN OF THE COMPENSATION COMMITTEE, MEMBER OF INVESTMENT COMMITTEE direct 2010-11-01
NYLCAP MANAGER LLC CHAIRMAN OF THE BOARD, CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2010-11-01
GOLDPOINT PARTNERS LLC CHAIRMAN OF THE BOARD OF MANAGERS, CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2010-11-01
MSVP 2002, INC. CHAIRMAN, DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP DIRECTOR direct 2006-02-01
MORGAN STANLEY HEDGE FUND PARTNERS LP DIRECTOR direct 2006-02-01
PRIVATE INVESTMENT PARTNERS, INC. CHAIRMAN OF THE BOARD AND PRESIDENT direct 2005-11-01
PRIVATE INVESTMENT PARTNERS INC. MANAGING DIRECTOR direct 2006-03-01
INDEXIQ ADVISORS LLC ELECTED MANAGER direct 2015-10-01
MADISON SQUARE INVESTORS LLC CHAIRMAN OF THE BOARD OF MANAGERS AND CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC MANAGER direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC CHAIRMAN OF THE BOARD OF MANAGERS, ELECTED MANAGER direct 2015-06-01
CREDIT VALUE PARTNERS, LLC ELECTED MANAGER, CHAIRMAN OF THE BOARD OF MANAGERS indirect 2017-02-01
CANDRIAM BELGIUM S.A. CHAIRMAN OF THE BOARD OF DIRECTORS AND MEMBER OF THE AUDIT COMMITTEE direct 2014-02-01
CANDRIAM LUXEMBOURG S.C.A. CHAIRMAN OF THE BOARD OF DIRECTORS AND CHAIRMAN OF THE AUDIT & COMPLIANCE COMMITTEE direct 2014-02-01
CANDRIAM FRANCE S.A.S. CHAIRMAN OF THE STRATEGIC COMMITTEE direct 2014-02-01
CANDRIAM S.A. (FRANCE) CHAIRMAN OF THE BOARD direct 2014-02-01
MADISON CAPITAL FUNDING LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND MEMBER OF THE AUDIT COMMITTEE direct 2017-02-01
AKKERMAN, JOHN, WILLIAM EXECUTIVE MANAGING DIRECTOR 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2012-09-01
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2012-09-01
LEE, YOUNG, NMN GENERAL COUNSEL, SENIOR MANAGING DIRECTOR 02/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPPENHEIMER CAPITAL LLC CHIEF LEGAL OFFICER direct 2007-02-01
MACKAY SHIELDS LLC GENERAL COUNSEL, SENIOR MANAGING DIRECTOR direct 2013-02-01
MACKAY SHIELDS LLC ACTING GENERAL COUNSEL, MANAGING DIRECTOR direct 2013-02-01
PRINCIPLED ASSET ADMINISTRATION, L.L.C. GENERAL COUNSEL direct 2009-03-01
CORKER, MICHAEL, DANIEL CHIEF FINANCIAL OFFICER, SENIOR MANAGING DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC CHIEF FINANCIAL OFFICER direct 2008-01-01
MACKAY SHIELDS LLC CHIEF FINANCIAL OFFICER, SENIOR MANAGING DIRECTOR direct 2008-01-01
SUSSER, ANDREW, MARK EXECUTIVE MANAGING DIRECTOR 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2015-01-01
ABOU-JAOUDE, NAIM ELECTED TO THE BOARD OF MANAGERS 03/01/3017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 3017-03-01
CANDRIAM BELGIUM S.A. DIRECTOR AND CHIEF EXECUTIVE OFFICER direct 2007-03-01
CANDRIAM BELGIUM SA DIRECTOR AND CHIEF EXECUTIVE OFFICER OF CANDRIAM GROUP direct 2007-03-01
CANDRIAM LUXEMBOURG S.C.A. DIRECTOR direct 2006-12-01
CANDRIAM FRANCE S.A.S. DIRECTOR AND CHIEF EXECUTIVE OFFICER direct 2006-12-01
CANDRIAM S.A. (FRANCE) DIRECTOR AND CHIEF EXECUTIVE OFFICER OF CANDRIAM GROUP direct 2006-12-01
Lehneis, Kirk, C ELECTED TO BOARD OF MANAGERS 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC ELECTED TO BOARD OF MANAGERS direct 2017-03-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2017-02-01
HARTE, FRANCIS, MICHAEL ELECTED TO THE BOARD OF MANAGERS 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
JULIUS BAER SECURITIES INC. SENIOR VICE PRESIDENT direct 2002-10-01
ARTIO GLOBAL MANAGEMENT LLC MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER direct 2002-10-01
ARTIO GLOBAL MANAGEMENT LLC SENIOR VICE PRESIDENT/CFO direct 2002-10-01
INSTITUTIONAL CAPITAL LLC ELECTED MANAGER direct 2014-06-01
INSTITUTIONAL CAPITAL LLC DIRECTOR direct 2014-06-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2017-03-01
MACKAY SHIELDS LLC KIRK LEHNEIS, ELECTED TO THE BOARD OF MANAGERS direct 2017-03-01
GAM USA INC. TREASURER direct 2005-12-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2017-02-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2017-02-01
MCF CAPITAL MANAGEMENT LLC MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-07-01
MCF CAPITAL MANAGEMENT LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-07-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-07-01
NEW YORK LIFE INSURANCE COMPANY INDIRECT INTEREST HOLDER NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC 10/01/1999 Indirect Other
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC INDIRECT INTEREST HOLDER indirect 1999-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
INSTITUTIONAL CAPITAL LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM FRANCE S.A.S. INDIRECT INTEREST HOLDER indirect 1999-12-01
GOLDPOINT PARTNERS LLC SOLE MEMBER indirect 1999-12-01
CANDRIAM BELGIUM S.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM LUXEMBOURG S.C.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CREDIT VALUE PARTNERS, LLC MANAGING MEMBER indirect 1999-12-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
PRIVATE ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2010-12-01
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP AND A&M CAPITAL OPPORTUNITIES-GP, LP (RELYING ADVISERS) direct 2012-03-01
NYL INVESTORS LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 2013-10-01
INDEXIQ ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2015-04-01
MADISON CAPITAL FUNDING LLC MEMBER direct 2015-12-01
MCF CAPITAL MANAGEMENT LLC MEMBER indirect 2015-12-01
EAGLE STRATEGIES CORP INDIRECT STOCKHOLDER direct 1988-07-01 2006-03-01
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2008-10-10
INSTITUTIONAL CAPITAL CORP INDIRECT INTEREST HOLDER indirect 1999-10-01 2009-01-16
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2009-06-04
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2012-06-18
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2013-01-28
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-03-25
NYLCAP MANAGER LLC INDIRECT INTEREST HOLDERS indirect 1999-12-01 2014-11-24
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-12-01
MCF CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2014-12-03
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2014-12-04
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP (RELYING ADVISER) direct 2012-03-01 2015-02-03
CROSSBEAM CAPITAL, LLC MEMBER indirect 2006-11-01 2015-03-31
MCF CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 1999-12-01 2015-07-31

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
MACKAY SHIELDS DEFENSIVE BOND ARBITRAGE FUND LTD. Bermuda 805-9629990342 Hedge Fund 381,477,753 5,000,000
MACKAY SHIELDS HIGH YIELD ACTIVE CORE FUND LP United States 805-2807546760 Hedge Fund 381,195,018 2,000,000
MACKAY MUNICIPAL CREDIT OPPORTUNITIES MASTER FUND LP United States 805-6029565126 Hedge Fund 2,923,638,166 1,000,000 Master Fund
MACKAY SHIELDS CORE PLUS/OPPORTUNITIES FUND, LP United States 805-2191053450 Hedge Fund 444,727,438 5,000,000
MACKAY MUNICIPAL SHORT TERM OPPORTUNITIES FUND LP United States 805-9701666494 Hedge Fund 610,178,413 5,000,000
MACKAY MUNICIPAL CALIFORNIA OPPORTUNITIES FUND, L.P. United States 805-2338564429 Hedge Fund 422,110,190 250,000
MACKAY SHIELDS HIGH YIELD CROSSOVER FUND LP United States 805-2936386573 Other Private Fund FUND OF FUNDS 11,543 1,000,000 Fund of Funds
MACKAY PUERTO RICO OPPORTUNITIES FUND, L.P. United States 805-6517593046 Hedge Fund 148,834,717 500,000 Master Fund
MACKAY MUNICIPAL CAPITAL TRADING MASTER FUND, L.P. United States 805-7993046240 Hedge Fund 109,205,102 5,000,000 Master Fund
MACKAY SHIELDS SELECT HIGH YIELD BOND FUND LP United States 805-3984100291 Hedge Fund 49,410,510 1,000,000
MACKAY MUNICIPAL NEW YORK OPPORTUNITIES FUND, LP United States 805-4448374841 Hedge Fund 100,848,268 250,000
MACKAY MUNICIPAL OPPORTUNITIES ALLOCATION MASTER FUND LP United States 805-4582192399 Hedge Fund 90,547,229 250,000 Master Fund
MACKAY CORNERSTONE US EQUITY MARKET NEUTRAL FUND LP United States 805-7319457608 Hedge Fund 261,403 500,000
MACKAY MUNICIPAL STRATEGIC OPPORTUNITIES FUND, L.P. United States 805-9094717073 Hedge Fund 234,051,098 500,000
MACKAY SHIELDS CORE FIXED INCOME FUND LP United States 805-9532805475 Other Private Fund COMMINGLED 140,391,285 5,000,000
MACKAY SHIELDS INTERMEDIATE BOND FUND LP United States 805-3295248719 Hedge Fund 353,405,473 1,000,000
MACKAY MUNICIPAL OPPORTUNITIES MASTER FUND, LP United States 805-2479996725 Hedge Fund 2,804,290,667 1,000,000 Master Fund
MACKAY MUNICIPAL U.S. INFRASTRUCTURE OPPORTUNITIES FUND LP United States 805-7339200132 Hedge Fund 58,254,768 250,000
MACKAY MUNICIPAL HIGH YIELD SELECT FUND LP United States 805-7899933973 Hedge Fund 322,737,588 250,000

MACKAY SHIELDS LLC

ownership team - last updated 2019-09-11
Name Title Start Date Direct/Indirect % Ownership
ROBERTS, DANIEL, CRAIG EXECUTIVE MANAGING DIRECTOR 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2004-10-01
PARETO PARTNERS CHIEF INVESTMENT OFFICER US FIXED INCOME direct 2000-03-01 2001-02-28
PARETO PARTNERS CHIEF INVESTMENT OFFICER direct 2001-07-01 2004-06-21
PARETO PARTNERS CHIEF INVESTMENT OFFICER direct 2000-02-01 2004-07-19
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2004-10-01 2013-05-15
NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC SOLE MEMBER 01/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 1999-12-01
NYLCAP MANAGER LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 1999-12-01
CANDRIAM BELGIUM S.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM FRANCE S.A.S INDIRECT INTEREST HOLDER indirect 1999-12-01
MACKAY SHIELDS LLC SOLE MEMBER direct 2000-01-01
INSTITUTIONAL CAPITAL LLC MEMBER direct 2006-06-01
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2008-09-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC SOLE MEMBER direct 2008-09-01
PRIVATE ADVISORS LLC MEMBER direct 2010-12-01
CANDRIAM LUXEMBOURG S.C.A. INDIRECT INTEREST HOLDER indirect 2013-12-01
INDEXIQ ADVISORS LLC MEMBER indirect 2015-04-01
CREDIT VALUE PARTNERS, LLC MANAGING MEMBER indirect 2016-12-01
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2008-09-01 2013-01-28
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2008-09-01 2013-03-27
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2013-01-01 2014-12-01
MCF CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2001-03-01 2014-12-03
MADISON SQUARE INVESTORS LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 2008-09-01 2014-12-04
PRIVATE ADVISORS LLC OWNER direct 2010-12-01 2014-12-08
MCF CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-03-01 2015-07-31
PROTAS, LUCILLE, MARIAN PRESIDENT, EXECUTIVE MANAGING DIRECTOR, CHIEF OPERATING OFFICER, TREASURER AND ELECTED TO THE BOARD OF MANAGERS 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER, ACTING CHIEF EXECUTIVE OFFICER direct 2016-07-01
MACKAY SHIELDS LLC PRESIDENT, EXECUTIVE MANAGING DIRECTOR, CHIEF OPERATING OFFICER, TREASURER AND ELECTED TO THE BOARD OF MANAGERS direct 2011-12-01
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-01-01 2006-07-14
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR AND CHIEF OPERATING OFFICER direct 2007-01-01 2010-03-29
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR AND ACTING CHIEF EXECUTIVE OFFICER direct 2010-04-01 2011-03-29
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR AND ACTING CHIEF EXECUTIVE OFFICER AND MEMBER OF THE BOARD OF MANAGERS direct 2011-04-01 2011-06-30
MACKAY SHIELDS LLC PRESIDENT, SENIOR MANAGING DIRECTOR AND MEMBER OF THE BOARD OF MANAGERS direct 2011-12-01 2013-05-15
MACKAY SHIELDS LLC PRESIDENT, EXECUTIVE MANAGING DIRECTOR AND MEMBER OF THE BOARD OF MANAGERS direct 2011-12-01 2015-01-09
BUSTAMANTE, RENE, ARTURO CHIEF COMPLIANCE OFFICER, SENIOR MANAGING DIRECTOR 02/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, DIRECTOR direct 2004-04-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2004-04-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2005-02-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, SENIOR MANAGING DIRECTOR direct 2005-02-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, SENIOR MANAGING DIRECTOR direct 2010-07-01
LOFFREDO, JOHN, MICHAEL EXECUTIVE MANAGING DIRECTOR 07/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
FUND ASSET MANAGEMENT LP CO-HEAD-TAX-EXEMPT INVESTMENTS direct 2001-12-01
MERRILL LYNCH INVESTMENT MANAGERS LP CO-HEAD-TAX-EXEMPT INVESTMENTS direct 2001-12-01
MARINER MUNICIPAL MANAGERS LLC MANAGING MEMBER - SHAREHOLDER OF CLASS A INTERESTS direct 2007-11-01
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2009-07-01
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2009-07-01 2013-05-15
DIMELLA, ROBERT, ALAN EXECUTIVE MANAGING DIRECTOR 03/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2010-03-01
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2010-03-01
MARINER MUNICIPAL MANAGERS LLC MANAGING MEMBER - SHAREHOLDER OF CLASS A INTERESTS direct 2007-11-01
MALLOY, ANTHONY, RAMSEY ELECTED TO THE BOARD OF MANAGERS 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2011-01-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2011-01-01
PRIVATE ADVISORS LLC ELECTED MANAGER direct 2017-02-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2005-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2011-04-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT, GENERAL ACCOUNT ASSET MANAGEMENT direct 2011-07-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2011-07-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2017-02-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND MANAGER direct 2012-01-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND MANAGER, AND AUDIT COMMITTEE MEMBER direct 2012-01-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND AUDIT COMMITTEE MEMBER direct 2012-01-01
NYL INVESTORS LLC CHIEF EXECUTIVE OFFICER, AND ELECTED MANAGER direct 2014-01-01
NYL INVESTORS LLC CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD AND MANAGER direct 2014-01-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2012-01-01
MADISON CAPITAL FUNDING LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND MEMBER OF THE AUDIT COMMITTEE direct 2012-01-01
PHLEGAR, JEFFREY, SCOTT CHAIRMAN AND CHIEF EXECUTIVE OFFICER AND ELECTED TO THE BOARD OF MANAGERS 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ALLIANCE CAPITAL MANAGEMENT HOLDING L P EXECUTIVE VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCEBERNSTEIN HOLDING L.P. EXECUTIVE VICE PRESIDENT OF ABC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT HOLDING L P SENIOR VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCEBERNSTEIN CORPORATION EXECUTIVE VICE PRESIDENT direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT CORP EXECUTIVE VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT CORP SENIOR VICE PRESIDENT OF ACMC direct 2004-03-01
MACKAY SHIELDS LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER AND ELECTED TO THE BOARD OF MANAGERS direct 2011-12-01
MACKAY SHIELDS LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER AND MEMBER OF THE BOARD OF MANAGERS direct 2011-12-01
ALLIANCEBERNSTEIN L.P. EXECUTIVE VICE PRESIDENT OF ABC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT L P SENIOR VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT L P EXECUTIVE VICE PRESIDENT OF ACMC direct 2004-03-01
CANDRIAM BELGIUM S.A. DIRECTOR direct 2014-02-01
HUNG, YIE-HSIN, NMN ELECTED TO THE BOARD OF MANAGERS 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTIONAL CAPITAL LLC ELECTED MANAGER direct 2012-01-01
INSTITUTIONAL CAPITAL LLC DIRECTOR direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC ELECTED MANAGER direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC MANAGER direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD OF MANAGERS direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD OF MANAGERS, ELECTED MANAGER direct 2015-06-01
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2012-03-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2012-03-01
MORGAN STANLEY VENTURE CAPITAL III INC CHAIRMAN, DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MSDW VENTURE PARTNERS IV INC CHAIRMAN AND DIRECTOR direct 2004-10-01
MSDW CAPITAL PARTNERS IV INC DIRECTOR, MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC MANAGING DIRECTOR, CHAIRMAN AND CEO direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC DIRECTOR, CHAIRMAN AND CEO direct 2004-10-01
PRIVATE ADVISORS LLC BOARD OF MANAGERS direct 2010-12-01
PRIVATE ADVISORS LLC ELECTED MANAGER, CHAIRMAN OF THE BOARD OF MANAGERS direct 2010-12-01
PRIVATE ADVISORS LLC CHAIRMAN OF THE BOARD OF MANAGERS direct 2010-12-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, SENIOR MANAGING DIRECTOR direct 2010-11-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, EXECUTIVE VICE PRESIDENT direct 2010-11-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, EXECUTIVE VICE PRESIDENT direct 2011-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2011-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT, HEAD OF INSTITUTIONAL INVESTMENTS direct 2012-03-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC MANAGER AND CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR, CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER AND CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER, CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2015-06-01
MORGAN STANLEY CAPITAL PARTNERS III INC DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY VENTURE CAPITAL II INC CHAIRMAN AND DIRECTOR direct 2004-10-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MCMORGAN & COMPANY LLC CHAIRMAN-BOARD OF MANAGERS direct 2012-01-01
NYLCAP MANAGER LLC CHAIRMAN OF THE BOARD, CHAIRMAN OF THE COMPENSATION COMMITTEE, MEMBER OF INVESTMENT COMMITTEE direct 2010-11-01
NYLCAP MANAGER LLC CHAIRMAN OF THE BOARD, CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2010-11-01
GOLDPOINT PARTNERS LLC CHAIRMAN OF THE BOARD OF MANAGERS, CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2010-11-01
MSVP 2002, INC. CHAIRMAN, DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP DIRECTOR direct 2006-02-01
MORGAN STANLEY HEDGE FUND PARTNERS LP DIRECTOR direct 2006-02-01
PRIVATE INVESTMENT PARTNERS, INC. CHAIRMAN OF THE BOARD AND PRESIDENT direct 2005-11-01
PRIVATE INVESTMENT PARTNERS INC. MANAGING DIRECTOR direct 2006-03-01
INDEXIQ ADVISORS LLC ELECTED MANAGER direct 2015-10-01
MADISON SQUARE INVESTORS LLC CHAIRMAN OF THE BOARD OF MANAGERS AND CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC MANAGER direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC CHAIRMAN OF THE BOARD OF MANAGERS, ELECTED MANAGER direct 2015-06-01
CREDIT VALUE PARTNERS, LLC ELECTED MANAGER, CHAIRMAN OF THE BOARD OF MANAGERS indirect 2017-02-01
CANDRIAM BELGIUM S.A. CHAIRMAN OF THE BOARD OF DIRECTORS AND MEMBER OF THE AUDIT COMMITTEE direct 2014-02-01
CANDRIAM LUXEMBOURG S.C.A. CHAIRMAN OF THE BOARD OF DIRECTORS AND CHAIRMAN OF THE AUDIT & COMPLIANCE COMMITTEE direct 2014-02-01
CANDRIAM FRANCE S.A.S. CHAIRMAN OF THE STRATEGIC COMMITTEE direct 2014-02-01
CANDRIAM S.A. (FRANCE) CHAIRMAN OF THE BOARD direct 2014-02-01
MADISON CAPITAL FUNDING LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND MEMBER OF THE AUDIT COMMITTEE direct 2017-02-01
AKKERMAN, JOHN, WILLIAM EXECUTIVE MANAGING DIRECTOR 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2012-09-01
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2012-09-01
LEE, YOUNG, NMN GENERAL COUNSEL, SENIOR MANAGING DIRECTOR 02/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPPENHEIMER CAPITAL LLC CHIEF LEGAL OFFICER direct 2007-02-01
MACKAY SHIELDS LLC GENERAL COUNSEL, SENIOR MANAGING DIRECTOR direct 2013-02-01
MACKAY SHIELDS LLC ACTING GENERAL COUNSEL, MANAGING DIRECTOR direct 2013-02-01
PRINCIPLED ASSET ADMINISTRATION, L.L.C. GENERAL COUNSEL direct 2009-03-01
CORKER, MICHAEL, DANIEL CHIEF FINANCIAL OFFICER, SENIOR MANAGING DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC CHIEF FINANCIAL OFFICER direct 2008-01-01
MACKAY SHIELDS LLC CHIEF FINANCIAL OFFICER, SENIOR MANAGING DIRECTOR direct 2008-01-01
SUSSER, ANDREW, MARK EXECUTIVE MANAGING DIRECTOR 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2015-01-01
ABOU-JAOUDE, NAIM ELECTED TO THE BOARD OF MANAGERS 03/01/3017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 3017-03-01
CANDRIAM BELGIUM S.A. DIRECTOR AND CHIEF EXECUTIVE OFFICER direct 2007-03-01
CANDRIAM BELGIUM SA DIRECTOR AND CHIEF EXECUTIVE OFFICER OF CANDRIAM GROUP direct 2007-03-01
CANDRIAM LUXEMBOURG S.C.A. DIRECTOR direct 2006-12-01
CANDRIAM FRANCE S.A.S. DIRECTOR AND CHIEF EXECUTIVE OFFICER direct 2006-12-01
CANDRIAM S.A. (FRANCE) DIRECTOR AND CHIEF EXECUTIVE OFFICER OF CANDRIAM GROUP direct 2006-12-01
Lehneis, Kirk, C ELECTED TO BOARD OF MANAGERS 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC ELECTED TO BOARD OF MANAGERS direct 2017-03-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2017-02-01
HARTE, FRANCIS, MICHAEL ELECTED TO THE BOARD OF MANAGERS 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
JULIUS BAER SECURITIES INC. SENIOR VICE PRESIDENT direct 2002-10-01
ARTIO GLOBAL MANAGEMENT LLC MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER direct 2002-10-01
ARTIO GLOBAL MANAGEMENT LLC SENIOR VICE PRESIDENT/CFO direct 2002-10-01
INSTITUTIONAL CAPITAL LLC ELECTED MANAGER direct 2014-06-01
INSTITUTIONAL CAPITAL LLC DIRECTOR direct 2014-06-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2017-03-01
MACKAY SHIELDS LLC KIRK LEHNEIS, ELECTED TO THE BOARD OF MANAGERS direct 2017-03-01
GAM USA INC. TREASURER direct 2005-12-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2017-02-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2017-02-01
MCF CAPITAL MANAGEMENT LLC MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-07-01
MCF CAPITAL MANAGEMENT LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-07-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-07-01
NEW YORK LIFE INSURANCE COMPANY INDIRECT INTEREST HOLDER NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC 10/01/1999 Indirect Other
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC INDIRECT INTEREST HOLDER indirect 1999-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
INSTITUTIONAL CAPITAL LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM FRANCE S.A.S. INDIRECT INTEREST HOLDER indirect 1999-12-01
GOLDPOINT PARTNERS LLC SOLE MEMBER indirect 1999-12-01
CANDRIAM BELGIUM S.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM LUXEMBOURG S.C.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CREDIT VALUE PARTNERS, LLC MANAGING MEMBER indirect 1999-12-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
PRIVATE ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2010-12-01
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP AND A&M CAPITAL OPPORTUNITIES-GP, LP (RELYING ADVISERS) direct 2012-03-01
NYL INVESTORS LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 2013-10-01
INDEXIQ ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2015-04-01
MADISON CAPITAL FUNDING LLC MEMBER direct 2015-12-01
MCF CAPITAL MANAGEMENT LLC MEMBER indirect 2015-12-01
EAGLE STRATEGIES CORP INDIRECT STOCKHOLDER direct 1988-07-01 2006-03-01
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2008-10-10
INSTITUTIONAL CAPITAL CORP INDIRECT INTEREST HOLDER indirect 1999-10-01 2009-01-16
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2009-06-04
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2012-06-18
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2013-01-28
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-03-25
NYLCAP MANAGER LLC INDIRECT INTEREST HOLDERS indirect 1999-12-01 2014-11-24
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-12-01
MCF CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2014-12-03
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2014-12-04
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP (RELYING ADVISER) direct 2012-03-01 2015-02-03
CROSSBEAM CAPITAL, LLC MEMBER indirect 2006-11-01 2015-03-31
MCF CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 1999-12-01 2015-07-31

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
MACKAY MUNICIPAL OPPORTUNITIES ALLOCATION MASTER FUND LP United States 805-4582192399 Hedge Fund 90,547,229 250,000 Master Fund
MACKAY CORNERSTONE US EQUITY MARKET NEUTRAL FUND LP United States 805-7319457608 Hedge Fund 261,403 500,000
MACKAY MUNICIPAL STRATEGIC OPPORTUNITIES FUND, L.P. United States 805-9094717073 Hedge Fund 234,051,098 500,000
MACKAY SHIELDS CORE FIXED INCOME FUND LP United States 805-9532805475 Other Private Fund COMMINGLED 140,391,285 5,000,000
MACKAY SHIELDS INTERMEDIATE BOND FUND LP United States 805-3295248719 Hedge Fund 353,405,473 1,000,000
MACKAY MUNICIPAL OPPORTUNITIES MASTER FUND, LP United States 805-2479996725 Hedge Fund 2,804,290,667 1,000,000 Master Fund
MACKAY SHIELDS DEFENSIVE BOND ARBITRAGE FUND LTD. Bermuda 805-9629990342 Hedge Fund 381,477,753 5,000,000
MACKAY SHIELDS HIGH YIELD ACTIVE CORE FUND LP United States 805-2807546760 Hedge Fund 381,195,018 2,000,000
MACKAY SHIELDS CORE PLUS/OPPORTUNITIES FUND, LP United States 805-2191053450 Hedge Fund 444,727,438 5,000,000
MACKAY MUNICIPAL CREDIT OPPORTUNITIES MASTER FUND LP United States 805-6029565126 Hedge Fund 2,923,638,166 1,000,000 Master Fund
MACKAY MUNICIPAL SHORT TERM OPPORTUNITIES FUND LP United States 805-9701666494 Hedge Fund 610,178,413 5,000,000
MACKAY MUNICIPAL CALIFORNIA OPPORTUNITIES FUND, L.P. United States 805-2338564429 Hedge Fund 422,110,190 250,000
MACKAY SHIELDS HIGH YIELD CROSSOVER FUND LP United States 805-2936386573 Other Private Fund FUND OF FUNDS 11,543 1,000,000 Fund of Funds
MACKAY PUERTO RICO OPPORTUNITIES FUND, L.P. United States 805-6517593046 Hedge Fund 148,834,717 500,000 Master Fund
MACKAY MUNICIPAL CAPITAL TRADING MASTER FUND, L.P. United States 805-7993046240 Hedge Fund 109,205,102 5,000,000 Master Fund
MACKAY SHIELDS SELECT HIGH YIELD BOND FUND LP United States 805-3984100291 Hedge Fund 49,410,510 1,000,000
MACKAY MUNICIPAL NEW YORK OPPORTUNITIES FUND, LP United States 805-4448374841 Hedge Fund 100,848,268 250,000

MACKAY SHIELDS LLC

ownership team - last updated 2019-05-07
Name Title Start Date Direct/Indirect % Ownership
NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC SOLE MEMBER 01/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 1999-12-01
NYLCAP MANAGER LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 1999-12-01
CANDRIAM BELGIUM S.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM FRANCE S.A.S INDIRECT INTEREST HOLDER indirect 1999-12-01
MACKAY SHIELDS LLC SOLE MEMBER direct 2000-01-01
INSTITUTIONAL CAPITAL LLC MEMBER direct 2006-06-01
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2008-09-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC SOLE MEMBER direct 2008-09-01
PRIVATE ADVISORS LLC MEMBER direct 2010-12-01
CANDRIAM LUXEMBOURG S.C.A. INDIRECT INTEREST HOLDER indirect 2013-12-01
INDEXIQ ADVISORS LLC MEMBER indirect 2015-04-01
CREDIT VALUE PARTNERS, LLC MANAGING MEMBER indirect 2016-12-01
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2008-09-01 2013-01-28
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2008-09-01 2013-03-27
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2013-01-01 2014-12-01
MCF CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2001-03-01 2014-12-03
MADISON SQUARE INVESTORS LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 2008-09-01 2014-12-04
PRIVATE ADVISORS LLC OWNER direct 2010-12-01 2014-12-08
MCF CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-03-01 2015-07-31
PROTAS, LUCILLE, MARIAN PRESIDENT, EXECUTIVE MANAGING DIRECTOR, CHIEF OPERATING OFFICER, TREASURER AND ELECTED TO THE BOARD OF MANAGERS 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER, ACTING CHIEF EXECUTIVE OFFICER direct 2016-07-01
MACKAY SHIELDS LLC PRESIDENT, EXECUTIVE MANAGING DIRECTOR, CHIEF OPERATING OFFICER, TREASURER AND ELECTED TO THE BOARD OF MANAGERS direct 2011-12-01
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-01-01 2006-07-14
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR AND CHIEF OPERATING OFFICER direct 2007-01-01 2010-03-29
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR AND ACTING CHIEF EXECUTIVE OFFICER direct 2010-04-01 2011-03-29
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR AND ACTING CHIEF EXECUTIVE OFFICER AND MEMBER OF THE BOARD OF MANAGERS direct 2011-04-01 2011-06-30
MACKAY SHIELDS LLC PRESIDENT, SENIOR MANAGING DIRECTOR AND MEMBER OF THE BOARD OF MANAGERS direct 2011-12-01 2013-05-15
MACKAY SHIELDS LLC PRESIDENT, EXECUTIVE MANAGING DIRECTOR AND MEMBER OF THE BOARD OF MANAGERS direct 2011-12-01 2015-01-09
ROBERTS, DANIEL, CRAIG EXECUTIVE MANAGING DIRECTOR 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2004-10-01
PARETO PARTNERS CHIEF INVESTMENT OFFICER US FIXED INCOME direct 2000-03-01 2001-02-28
PARETO PARTNERS CHIEF INVESTMENT OFFICER direct 2001-07-01 2004-06-21
PARETO PARTNERS CHIEF INVESTMENT OFFICER direct 2000-02-01 2004-07-19
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2004-10-01 2013-05-15
BUSTAMANTE, RENE, ARTURO CHIEF COMPLIANCE OFFICER, SENIOR MANAGING DIRECTOR 02/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, DIRECTOR direct 2004-04-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2004-04-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2005-02-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, SENIOR MANAGING DIRECTOR direct 2005-02-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, SENIOR MANAGING DIRECTOR direct 2010-07-01
LOFFREDO, JOHN, MICHAEL EXECUTIVE MANAGING DIRECTOR 07/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
FUND ASSET MANAGEMENT LP CO-HEAD-TAX-EXEMPT INVESTMENTS direct 2001-12-01
MERRILL LYNCH INVESTMENT MANAGERS LP CO-HEAD-TAX-EXEMPT INVESTMENTS direct 2001-12-01
MARINER MUNICIPAL MANAGERS LLC MANAGING MEMBER - SHAREHOLDER OF CLASS A INTERESTS direct 2007-11-01
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2009-07-01
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2009-07-01 2013-05-15
DIMELLA, ROBERT, ALAN EXECUTIVE MANAGING DIRECTOR 03/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2010-03-01
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2010-03-01
MARINER MUNICIPAL MANAGERS LLC MANAGING MEMBER - SHAREHOLDER OF CLASS A INTERESTS direct 2007-11-01
MALLOY, ANTHONY, RAMSEY ELECTED TO THE BOARD OF MANAGERS 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2011-01-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2011-01-01
PRIVATE ADVISORS LLC ELECTED MANAGER direct 2017-02-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2005-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2011-04-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT, GENERAL ACCOUNT ASSET MANAGEMENT direct 2011-07-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2011-07-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2017-02-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND MANAGER direct 2012-01-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND MANAGER, AND AUDIT COMMITTEE MEMBER direct 2012-01-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND AUDIT COMMITTEE MEMBER direct 2012-01-01
NYL INVESTORS LLC CHIEF EXECUTIVE OFFICER, AND ELECTED MANAGER direct 2014-01-01
NYL INVESTORS LLC CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD AND MANAGER direct 2014-01-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2012-01-01
MADISON CAPITAL FUNDING LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND MEMBER OF THE AUDIT COMMITTEE direct 2012-01-01
PHLEGAR, JEFFREY, SCOTT CHAIRMAN AND CHIEF EXECUTIVE OFFICER AND ELECTED TO THE BOARD OF MANAGERS 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ALLIANCE CAPITAL MANAGEMENT HOLDING L P EXECUTIVE VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCEBERNSTEIN HOLDING L.P. EXECUTIVE VICE PRESIDENT OF ABC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT HOLDING L P SENIOR VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCEBERNSTEIN CORPORATION EXECUTIVE VICE PRESIDENT direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT CORP EXECUTIVE VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT CORP SENIOR VICE PRESIDENT OF ACMC direct 2004-03-01
MACKAY SHIELDS LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER AND ELECTED TO THE BOARD OF MANAGERS direct 2011-12-01
MACKAY SHIELDS LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER AND MEMBER OF THE BOARD OF MANAGERS direct 2011-12-01
ALLIANCEBERNSTEIN L.P. EXECUTIVE VICE PRESIDENT OF ABC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT L P SENIOR VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT L P EXECUTIVE VICE PRESIDENT OF ACMC direct 2004-03-01
CANDRIAM BELGIUM S.A. DIRECTOR direct 2014-02-01
HUNG, YIE-HSIN, NMN ELECTED TO THE BOARD OF MANAGERS 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTIONAL CAPITAL LLC ELECTED MANAGER direct 2012-01-01
INSTITUTIONAL CAPITAL LLC DIRECTOR direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC ELECTED MANAGER direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC MANAGER direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD OF MANAGERS direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD OF MANAGERS, ELECTED MANAGER direct 2015-06-01
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2012-03-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2012-03-01
MORGAN STANLEY VENTURE CAPITAL III INC CHAIRMAN, DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MSDW VENTURE PARTNERS IV INC CHAIRMAN AND DIRECTOR direct 2004-10-01
MSDW CAPITAL PARTNERS IV INC DIRECTOR, MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC MANAGING DIRECTOR, CHAIRMAN AND CEO direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC DIRECTOR, CHAIRMAN AND CEO direct 2004-10-01
PRIVATE ADVISORS LLC BOARD OF MANAGERS direct 2010-12-01
PRIVATE ADVISORS LLC ELECTED MANAGER, CHAIRMAN OF THE BOARD OF MANAGERS direct 2010-12-01
PRIVATE ADVISORS LLC CHAIRMAN OF THE BOARD OF MANAGERS direct 2010-12-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, SENIOR MANAGING DIRECTOR direct 2010-11-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, EXECUTIVE VICE PRESIDENT direct 2010-11-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, EXECUTIVE VICE PRESIDENT direct 2011-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2011-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT, HEAD OF INSTITUTIONAL INVESTMENTS direct 2012-03-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC MANAGER AND CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR, CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER AND CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER, CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2015-06-01
MORGAN STANLEY CAPITAL PARTNERS III INC DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY VENTURE CAPITAL II INC CHAIRMAN AND DIRECTOR direct 2004-10-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MCMORGAN & COMPANY LLC CHAIRMAN-BOARD OF MANAGERS direct 2012-01-01
NYLCAP MANAGER LLC CHAIRMAN OF THE BOARD, CHAIRMAN OF THE COMPENSATION COMMITTEE, MEMBER OF INVESTMENT COMMITTEE direct 2010-11-01
NYLCAP MANAGER LLC CHAIRMAN OF THE BOARD, CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2010-11-01
GOLDPOINT PARTNERS LLC CHAIRMAN OF THE BOARD OF MANAGERS, CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2010-11-01
MSVP 2002, INC. CHAIRMAN, DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP DIRECTOR direct 2006-02-01
MORGAN STANLEY HEDGE FUND PARTNERS LP DIRECTOR direct 2006-02-01
PRIVATE INVESTMENT PARTNERS, INC. CHAIRMAN OF THE BOARD AND PRESIDENT direct 2005-11-01
PRIVATE INVESTMENT PARTNERS INC. MANAGING DIRECTOR direct 2006-03-01
INDEXIQ ADVISORS LLC ELECTED MANAGER direct 2015-10-01
MADISON SQUARE INVESTORS LLC CHAIRMAN OF THE BOARD OF MANAGERS AND CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC MANAGER direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC CHAIRMAN OF THE BOARD OF MANAGERS, ELECTED MANAGER direct 2015-06-01
CREDIT VALUE PARTNERS, LLC ELECTED MANAGER, CHAIRMAN OF THE BOARD OF MANAGERS indirect 2017-02-01
CANDRIAM BELGIUM S.A. CHAIRMAN OF THE BOARD OF DIRECTORS AND MEMBER OF THE AUDIT COMMITTEE direct 2014-02-01
CANDRIAM LUXEMBOURG S.C.A. CHAIRMAN OF THE BOARD OF DIRECTORS AND CHAIRMAN OF THE AUDIT & COMPLIANCE COMMITTEE direct 2014-02-01
CANDRIAM FRANCE S.A.S. CHAIRMAN OF THE STRATEGIC COMMITTEE direct 2014-02-01
CANDRIAM S.A. (FRANCE) CHAIRMAN OF THE BOARD direct 2014-02-01
MADISON CAPITAL FUNDING LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND MEMBER OF THE AUDIT COMMITTEE direct 2017-02-01
AKKERMAN, JOHN, WILLIAM EXECUTIVE MANAGING DIRECTOR 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2012-09-01
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2012-09-01
LEE, YOUNG, NMN GENERAL COUNSEL, SENIOR MANAGING DIRECTOR 02/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPPENHEIMER CAPITAL LLC CHIEF LEGAL OFFICER direct 2007-02-01
MACKAY SHIELDS LLC GENERAL COUNSEL, SENIOR MANAGING DIRECTOR direct 2013-02-01
MACKAY SHIELDS LLC ACTING GENERAL COUNSEL, MANAGING DIRECTOR direct 2013-02-01
PRINCIPLED ASSET ADMINISTRATION, L.L.C. GENERAL COUNSEL direct 2009-03-01
CORKER, MICHAEL, DANIEL CHIEF FINANCIAL OFFICER, SENIOR MANAGING DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC CHIEF FINANCIAL OFFICER direct 2008-01-01
MACKAY SHIELDS LLC CHIEF FINANCIAL OFFICER, SENIOR MANAGING DIRECTOR direct 2008-01-01
SUSSER, ANDREW, MARK EXECUTIVE MANAGING DIRECTOR 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2015-01-01
ABOU-JAOUDE, NAIM ELECTED TO THE BOARD OF MANAGERS 03/01/3017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 3017-03-01
CANDRIAM BELGIUM S.A. DIRECTOR AND CHIEF EXECUTIVE OFFICER direct 2007-03-01
CANDRIAM BELGIUM SA DIRECTOR AND CHIEF EXECUTIVE OFFICER OF CANDRIAM GROUP direct 2007-03-01
CANDRIAM LUXEMBOURG S.C.A. DIRECTOR direct 2006-12-01
CANDRIAM FRANCE S.A.S. DIRECTOR AND CHIEF EXECUTIVE OFFICER direct 2006-12-01
CANDRIAM S.A. (FRANCE) DIRECTOR AND CHIEF EXECUTIVE OFFICER OF CANDRIAM GROUP direct 2006-12-01
Lehneis, Kirk, C ELECTED TO BOARD OF MANAGERS 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC ELECTED TO BOARD OF MANAGERS direct 2017-03-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2017-02-01
HARTE, FRANCIS, MICHAEL ELECTED TO THE BOARD OF MANAGERS 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
JULIUS BAER SECURITIES INC. SENIOR VICE PRESIDENT direct 2002-10-01
ARTIO GLOBAL MANAGEMENT LLC MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER direct 2002-10-01
ARTIO GLOBAL MANAGEMENT LLC SENIOR VICE PRESIDENT/CFO direct 2002-10-01
INSTITUTIONAL CAPITAL LLC ELECTED MANAGER direct 2014-06-01
INSTITUTIONAL CAPITAL LLC DIRECTOR direct 2014-06-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2017-03-01
MACKAY SHIELDS LLC KIRK LEHNEIS, ELECTED TO THE BOARD OF MANAGERS direct 2017-03-01
GAM USA INC. TREASURER direct 2005-12-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2017-02-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2017-02-01
MCF CAPITAL MANAGEMENT LLC MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-07-01
MCF CAPITAL MANAGEMENT LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-07-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-07-01
NEW YORK LIFE INSURANCE COMPANY INDIRECT INTEREST HOLDER NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC 10/01/1999 Indirect Other
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC INDIRECT INTEREST HOLDER indirect 1999-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
INSTITUTIONAL CAPITAL LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM FRANCE S.A.S. INDIRECT INTEREST HOLDER indirect 1999-12-01
GOLDPOINT PARTNERS LLC SOLE MEMBER indirect 1999-12-01
CANDRIAM BELGIUM S.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM LUXEMBOURG S.C.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CREDIT VALUE PARTNERS, LLC MANAGING MEMBER indirect 1999-12-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
PRIVATE ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2010-12-01
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP AND A&M CAPITAL OPPORTUNITIES-GP, LP (RELYING ADVISERS) direct 2012-03-01
NYL INVESTORS LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 2013-10-01
INDEXIQ ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2015-04-01
MADISON CAPITAL FUNDING LLC MEMBER direct 2015-12-01
MCF CAPITAL MANAGEMENT LLC MEMBER indirect 2015-12-01
EAGLE STRATEGIES CORP INDIRECT STOCKHOLDER direct 1988-07-01 2006-03-01
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2008-10-10
INSTITUTIONAL CAPITAL CORP INDIRECT INTEREST HOLDER indirect 1999-10-01 2009-01-16
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2009-06-04
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2012-06-18
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2013-01-28
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-03-25
NYLCAP MANAGER LLC INDIRECT INTEREST HOLDERS indirect 1999-12-01 2014-11-24
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-12-01
MCF CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2014-12-03
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2014-12-04
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP (RELYING ADVISER) direct 2012-03-01 2015-02-03
CROSSBEAM CAPITAL, LLC MEMBER indirect 2006-11-01 2015-03-31
MCF CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 1999-12-01 2015-07-31

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
MACKAY MUNICIPAL OPPORTUNITIES ALLOCATION MASTER FUND LP United States 805-4582192399 Hedge Fund 90,547,229 250,000 Master Fund
MACKAY CORNERSTONE US EQUITY MARKET NEUTRAL FUND LP United States 805-7319457608 Hedge Fund 261,403 500,000
MACKAY MUNICIPAL STRATEGIC OPPORTUNITIES FUND, L.P. United States 805-9094717073 Hedge Fund 234,051,098 500,000
MACKAY SHIELDS CORE FIXED INCOME FUND LP United States 805-9532805475 Other Private Fund COMMINGLED 140,391,285 5,000,000
MACKAY SHIELDS INTERMEDIATE BOND FUND LP United States 805-3295248719 Hedge Fund 353,405,473 1,000,000
MACKAY MUNICIPAL OPPORTUNITIES MASTER FUND, LP United States 805-2479996725 Hedge Fund 2,804,290,667 1,000,000 Master Fund
MACKAY SHIELDS DEFENSIVE BOND ARBITRAGE FUND LTD. Bermuda 805-9629990342 Hedge Fund 381,477,753 5,000,000
MACKAY SHIELDS HIGH YIELD ACTIVE CORE FUND LP United States 805-2807546760 Hedge Fund 381,195,018 2,000,000
MACKAY SHIELDS CORE PLUS/OPPORTUNITIES FUND, LP United States 805-2191053450 Hedge Fund 444,727,438 5,000,000
MACKAY MUNICIPAL CREDIT OPPORTUNITIES MASTER FUND LP United States 805-6029565126 Hedge Fund 2,923,638,166 1,000,000 Master Fund
MACKAY MUNICIPAL SHORT TERM OPPORTUNITIES FUND LP United States 805-9701666494 Hedge Fund 610,178,413 5,000,000
MACKAY MUNICIPAL CALIFORNIA OPPORTUNITIES FUND, L.P. United States 805-2338564429 Hedge Fund 422,110,190 250,000
MACKAY SHIELDS HIGH YIELD CROSSOVER FUND LP United States 805-2936386573 Other Private Fund FUND OF FUNDS 11,543 1,000,000 Fund of Funds
MACKAY PUERTO RICO OPPORTUNITIES FUND, L.P. United States 805-6517593046 Hedge Fund 148,834,717 500,000 Master Fund
MACKAY MUNICIPAL NEW YORK OPPORTUNITIES FUND, LP United States 805-4448374841 Hedge Fund 100,848,268 250,000
MACKAY MUNICIPAL CAPITAL TRADING MASTER FUND, L.P. United States 805-7993046240 Hedge Fund 109,205,102 5,000,000 Master Fund
MACKAY SHIELDS SELECT HIGH YIELD BOND FUND LP United States 805-3984100291 Hedge Fund 49,410,510 1,000,000

MACKAY SHIELDS LLC

ownership team - last updated 2019-03-28
Name Title Start Date Direct/Indirect % Ownership
NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC SOLE MEMBER 01/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 1999-12-01
NYLCAP MANAGER LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 1999-12-01
CANDRIAM BELGIUM S.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM FRANCE S.A.S INDIRECT INTEREST HOLDER indirect 1999-12-01
MACKAY SHIELDS LLC SOLE MEMBER direct 2000-01-01
INSTITUTIONAL CAPITAL LLC MEMBER direct 2006-06-01
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2008-09-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC SOLE MEMBER direct 2008-09-01
PRIVATE ADVISORS LLC MEMBER direct 2010-12-01
CANDRIAM LUXEMBOURG S.C.A. INDIRECT INTEREST HOLDER indirect 2013-12-01
INDEXIQ ADVISORS LLC MEMBER indirect 2015-04-01
CREDIT VALUE PARTNERS, LLC MANAGING MEMBER indirect 2016-12-01
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2008-09-01 2013-01-28
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2008-09-01 2013-03-27
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2013-01-01 2014-12-01
MCF CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2001-03-01 2014-12-03
MADISON SQUARE INVESTORS LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 2008-09-01 2014-12-04
PRIVATE ADVISORS LLC OWNER direct 2010-12-01 2014-12-08
MCF CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-03-01 2015-07-31
PROTAS, LUCILLE, MARIAN PRESIDENT, EXECUTIVE MANAGING DIRECTOR, CHIEF OPERATING OFFICER, TREASURER AND ELECTED TO THE BOARD OF MANAGERS 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER, ACTING CHIEF EXECUTIVE OFFICER direct 2016-07-01
MACKAY SHIELDS LLC PRESIDENT, EXECUTIVE MANAGING DIRECTOR, CHIEF OPERATING OFFICER, TREASURER AND ELECTED TO THE BOARD OF MANAGERS direct 2011-12-01
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-01-01 2006-07-14
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR AND CHIEF OPERATING OFFICER direct 2007-01-01 2010-03-29
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR AND ACTING CHIEF EXECUTIVE OFFICER direct 2010-04-01 2011-03-29
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR AND ACTING CHIEF EXECUTIVE OFFICER AND MEMBER OF THE BOARD OF MANAGERS direct 2011-04-01 2011-06-30
MACKAY SHIELDS LLC PRESIDENT, SENIOR MANAGING DIRECTOR AND MEMBER OF THE BOARD OF MANAGERS direct 2011-12-01 2013-05-15
MACKAY SHIELDS LLC PRESIDENT, EXECUTIVE MANAGING DIRECTOR AND MEMBER OF THE BOARD OF MANAGERS direct 2011-12-01 2015-01-09
ROBERTS, DANIEL, CRAIG EXECUTIVE MANAGING DIRECTOR 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2004-10-01
PARETO PARTNERS CHIEF INVESTMENT OFFICER US FIXED INCOME direct 2000-03-01 2001-02-28
PARETO PARTNERS CHIEF INVESTMENT OFFICER direct 2001-07-01 2004-06-21
PARETO PARTNERS CHIEF INVESTMENT OFFICER direct 2000-02-01 2004-07-19
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2004-10-01 2013-05-15
BUSTAMANTE, RENE, ARTURO CHIEF COMPLIANCE OFFICER, SENIOR MANAGING DIRECTOR 02/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, DIRECTOR direct 2004-04-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2004-04-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2005-02-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, SENIOR MANAGING DIRECTOR direct 2005-02-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, SENIOR MANAGING DIRECTOR direct 2010-07-01
LOFFREDO, JOHN, MICHAEL EXECUTIVE MANAGING DIRECTOR 07/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
FUND ASSET MANAGEMENT LP CO-HEAD-TAX-EXEMPT INVESTMENTS direct 2001-12-01
MERRILL LYNCH INVESTMENT MANAGERS LP CO-HEAD-TAX-EXEMPT INVESTMENTS direct 2001-12-01
MARINER MUNICIPAL MANAGERS LLC MANAGING MEMBER - SHAREHOLDER OF CLASS A INTERESTS direct 2007-11-01
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2009-07-01
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2009-07-01 2013-05-15
DIMELLA, ROBERT, ALAN EXECUTIVE MANAGING DIRECTOR 03/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2010-03-01
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2010-03-01
MARINER MUNICIPAL MANAGERS LLC MANAGING MEMBER - SHAREHOLDER OF CLASS A INTERESTS direct 2007-11-01
MALLOY, ANTHONY, RAMSEY ELECTED TO THE BOARD OF MANAGERS 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2011-01-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2011-01-01
PRIVATE ADVISORS LLC ELECTED MANAGER direct 2017-02-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2005-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2011-04-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT, GENERAL ACCOUNT ASSET MANAGEMENT direct 2011-07-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2011-07-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2017-02-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND MANAGER direct 2012-01-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND MANAGER, AND AUDIT COMMITTEE MEMBER direct 2012-01-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND AUDIT COMMITTEE MEMBER direct 2012-01-01
NYL INVESTORS LLC CHIEF EXECUTIVE OFFICER, AND ELECTED MANAGER direct 2014-01-01
NYL INVESTORS LLC CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD AND MANAGER direct 2014-01-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2012-01-01
MADISON CAPITAL FUNDING LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND MEMBER OF THE AUDIT COMMITTEE direct 2012-01-01
PHLEGAR, JEFFREY, SCOTT CHAIRMAN AND CHIEF EXECUTIVE OFFICER AND ELECTED TO THE BOARD OF MANAGERS 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ALLIANCE CAPITAL MANAGEMENT HOLDING L P EXECUTIVE VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCEBERNSTEIN HOLDING L.P. EXECUTIVE VICE PRESIDENT OF ABC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT HOLDING L P SENIOR VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCEBERNSTEIN CORPORATION EXECUTIVE VICE PRESIDENT direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT CORP EXECUTIVE VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT CORP SENIOR VICE PRESIDENT OF ACMC direct 2004-03-01
MACKAY SHIELDS LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER AND ELECTED TO THE BOARD OF MANAGERS direct 2011-12-01
MACKAY SHIELDS LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER AND MEMBER OF THE BOARD OF MANAGERS direct 2011-12-01
ALLIANCEBERNSTEIN L.P. EXECUTIVE VICE PRESIDENT OF ABC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT L P SENIOR VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT L P EXECUTIVE VICE PRESIDENT OF ACMC direct 2004-03-01
CANDRIAM BELGIUM S.A. DIRECTOR direct 2014-02-01
HUNG, YIE-HSIN, NMN ELECTED TO THE BOARD OF MANAGERS 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTIONAL CAPITAL LLC ELECTED MANAGER direct 2012-01-01
INSTITUTIONAL CAPITAL LLC DIRECTOR direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC ELECTED MANAGER direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC MANAGER direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD OF MANAGERS direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD OF MANAGERS, ELECTED MANAGER direct 2015-06-01
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2012-03-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2012-03-01
MORGAN STANLEY VENTURE CAPITAL III INC CHAIRMAN, DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MSDW VENTURE PARTNERS IV INC CHAIRMAN AND DIRECTOR direct 2004-10-01
MSDW CAPITAL PARTNERS IV INC DIRECTOR, MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC MANAGING DIRECTOR, CHAIRMAN AND CEO direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC DIRECTOR, CHAIRMAN AND CEO direct 2004-10-01
PRIVATE ADVISORS LLC BOARD OF MANAGERS direct 2010-12-01
PRIVATE ADVISORS LLC ELECTED MANAGER, CHAIRMAN OF THE BOARD OF MANAGERS direct 2010-12-01
PRIVATE ADVISORS LLC CHAIRMAN OF THE BOARD OF MANAGERS direct 2010-12-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, SENIOR MANAGING DIRECTOR direct 2010-11-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, EXECUTIVE VICE PRESIDENT direct 2010-11-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, EXECUTIVE VICE PRESIDENT direct 2011-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2011-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT, HEAD OF INSTITUTIONAL INVESTMENTS direct 2012-03-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC MANAGER AND CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR, CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER AND CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER, CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2015-06-01
MORGAN STANLEY CAPITAL PARTNERS III INC DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY VENTURE CAPITAL II INC CHAIRMAN AND DIRECTOR direct 2004-10-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MCMORGAN & COMPANY LLC CHAIRMAN-BOARD OF MANAGERS direct 2012-01-01
NYLCAP MANAGER LLC CHAIRMAN OF THE BOARD, CHAIRMAN OF THE COMPENSATION COMMITTEE, MEMBER OF INVESTMENT COMMITTEE direct 2010-11-01
NYLCAP MANAGER LLC CHAIRMAN OF THE BOARD, CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2010-11-01
GOLDPOINT PARTNERS LLC CHAIRMAN OF THE BOARD OF MANAGERS, CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2010-11-01
MSVP 2002, INC. CHAIRMAN, DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP DIRECTOR direct 2006-02-01
MORGAN STANLEY HEDGE FUND PARTNERS LP DIRECTOR direct 2006-02-01
PRIVATE INVESTMENT PARTNERS, INC. CHAIRMAN OF THE BOARD AND PRESIDENT direct 2005-11-01
PRIVATE INVESTMENT PARTNERS INC. MANAGING DIRECTOR direct 2006-03-01
INDEXIQ ADVISORS LLC ELECTED MANAGER direct 2015-10-01
MADISON SQUARE INVESTORS LLC CHAIRMAN OF THE BOARD OF MANAGERS AND CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC MANAGER direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC CHAIRMAN OF THE BOARD OF MANAGERS, ELECTED MANAGER direct 2015-06-01
CREDIT VALUE PARTNERS, LLC ELECTED MANAGER, CHAIRMAN OF THE BOARD OF MANAGERS indirect 2017-02-01
CANDRIAM BELGIUM S.A. CHAIRMAN OF THE BOARD OF DIRECTORS AND MEMBER OF THE AUDIT COMMITTEE direct 2014-02-01
CANDRIAM LUXEMBOURG S.C.A. CHAIRMAN OF THE BOARD OF DIRECTORS AND CHAIRMAN OF THE AUDIT & COMPLIANCE COMMITTEE direct 2014-02-01
CANDRIAM FRANCE S.A.S. CHAIRMAN OF THE STRATEGIC COMMITTEE direct 2014-02-01
CANDRIAM S.A. (FRANCE) CHAIRMAN OF THE BOARD direct 2014-02-01
MADISON CAPITAL FUNDING LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND MEMBER OF THE AUDIT COMMITTEE direct 2017-02-01
AKKERMAN, JOHN, WILLIAM EXECUTIVE MANAGING DIRECTOR 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2012-09-01
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2012-09-01
LEE, YOUNG, NMN GENERAL COUNSEL, SENIOR MANAGING DIRECTOR 02/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPPENHEIMER CAPITAL LLC CHIEF LEGAL OFFICER direct 2007-02-01
MACKAY SHIELDS LLC GENERAL COUNSEL, SENIOR MANAGING DIRECTOR direct 2013-02-01
MACKAY SHIELDS LLC ACTING GENERAL COUNSEL, MANAGING DIRECTOR direct 2013-02-01
PRINCIPLED ASSET ADMINISTRATION, L.L.C. GENERAL COUNSEL direct 2009-03-01
FLEURANT, JOHN, THOMAS ELECTED TO THE BOARD OF MANAGERS 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRUDENTIAL INVESTMENTS LLC EXEC. VP, CFO AND TREASURER direct 2004-03-01
PRUDENTIAL INVESTMENT MANAGEMENT, INC. VP, FINANCE direct 2004-03-01
GLOBAL PORTFOLIO STRATEGIES, INC. DIRECTOR AND CHIEF FINANCIAL OFFICER direct 2004-12-01
INSTITUTIONAL CAPITAL LLC DIRECTOR direct 2013-02-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2013-01-01
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2013-01-01
AMERICAN SKANDIA INVESTMENT SERVICES, INC. DIRECTOR, EXEC. VP, CFO direct 2004-03-01
AST INVESTMENT SERVICES, INC. CONTROLLER direct 2010-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC MANAGER direct 2011-04-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC MANAGER, CHAIRMAN OF AUDIT COMMITTEE direct 2011-04-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER, CHAIRMAN OF AUDIT COMMITTEE direct 2011-04-01
EAGLE STRATEGIES LLC MANAGER direct 2012-06-01
NYLCAP MANAGER LLC MANAGER AND CHAIRMAN OF THE AUDIT COMMITTEE direct 2011-04-01
MCF CAPITAL MANAGEMENT LLC MANAGER, CHAIRMAN OF AUDIT COMMITTEE direct 2011-04-01
MCF CAPITAL MANAGEMENT LLC MANAGER, CHAIRMAN OF AUDIT COMMITTEE direct 2013-01-01
NYL INVESTORS LLC MANAGER AND SENIOR MANAGING DIRECTOR direct 2015-02-01
NYL INVESTORS LLC ELECTED MANAGER AND SENIOR MANAGING DIRECTOR direct 2015-02-01
CANDRIAM BELGIUM S.A. DIRECTOR AND MEMBER OF THE AUDIT COMMITTEE direct 2014-02-01
CANDRIAM LUXEMBOURG S.C.A. DIRECTOR AND MEMBER OF THE AUDIT AND COMPLIANCE COMMITTEE direct 2014-02-01
CANDRIAM FRANCE S.A.S. DIRECTOR direct 2014-02-01
CORKER, MICHAEL, DANIEL CHIEF FINANCIAL OFFICER, SENIOR MANAGING DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC CHIEF FINANCIAL OFFICER direct 2008-01-01
MACKAY SHIELDS LLC CHIEF FINANCIAL OFFICER, SENIOR MANAGING DIRECTOR direct 2008-01-01
SUSSER, ANDREW, MARK EXECUTIVE MANAGING DIRECTOR 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2015-01-01
ABOU-JAOUDE, NAIM ELECTED TO THE BOARD OF MANAGERS 03/01/3017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 3017-03-01
CANDRIAM BELGIUM S.A. DIRECTOR AND CHIEF EXECUTIVE OFFICER direct 2007-03-01
CANDRIAM BELGIUM SA DIRECTOR AND CHIEF EXECUTIVE OFFICER OF CANDRIAM GROUP direct 2007-03-01
CANDRIAM LUXEMBOURG S.C.A. DIRECTOR direct 2006-12-01
CANDRIAM FRANCE S.A.S. DIRECTOR AND CHIEF EXECUTIVE OFFICER direct 2006-12-01
CANDRIAM S.A. (FRANCE) DIRECTOR AND CHIEF EXECUTIVE OFFICER OF CANDRIAM GROUP direct 2006-12-01
Lehneis, Kirk, C ELECTED TO BOARD OF MANAGERS 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC ELECTED TO BOARD OF MANAGERS direct 2017-03-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2017-02-01
HARTE, FRANCIS, MICHAEL ELECTED TO THE BOARD OF MANAGERS 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
JULIUS BAER SECURITIES INC. SENIOR VICE PRESIDENT direct 2002-10-01
ARTIO GLOBAL MANAGEMENT LLC MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER direct 2002-10-01
ARTIO GLOBAL MANAGEMENT LLC SENIOR VICE PRESIDENT/CFO direct 2002-10-01
INSTITUTIONAL CAPITAL LLC ELECTED MANAGER direct 2014-06-01
INSTITUTIONAL CAPITAL LLC DIRECTOR direct 2014-06-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2017-03-01
MACKAY SHIELDS LLC KIRK LEHNEIS, ELECTED TO THE BOARD OF MANAGERS direct 2017-03-01
GAM USA INC. TREASURER direct 2005-12-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2017-02-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2017-02-01
MCF CAPITAL MANAGEMENT LLC MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-07-01
MCF CAPITAL MANAGEMENT LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-07-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-07-01
NEW YORK LIFE INSURANCE COMPANY INDIRECT INTEREST HOLDER NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC 10/01/1999 Indirect Other
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC INDIRECT INTEREST HOLDER indirect 1999-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
INSTITUTIONAL CAPITAL LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM FRANCE S.A.S. INDIRECT INTEREST HOLDER indirect 1999-12-01
GOLDPOINT PARTNERS LLC SOLE MEMBER indirect 1999-12-01
CANDRIAM BELGIUM S.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM LUXEMBOURG S.C.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CREDIT VALUE PARTNERS, LLC MANAGING MEMBER indirect 1999-12-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
PRIVATE ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2010-12-01
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP AND A&M CAPITAL OPPORTUNITIES-GP, LP (RELYING ADVISERS) direct 2012-03-01
NYL INVESTORS LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 2013-10-01
INDEXIQ ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2015-04-01
MADISON CAPITAL FUNDING LLC MEMBER direct 2015-12-01
MCF CAPITAL MANAGEMENT LLC MEMBER indirect 2015-12-01
EAGLE STRATEGIES CORP INDIRECT STOCKHOLDER direct 1988-07-01 2006-03-01
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2008-10-10
INSTITUTIONAL CAPITAL CORP INDIRECT INTEREST HOLDER indirect 1999-10-01 2009-01-16
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2009-06-04
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2012-06-18
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2013-01-28
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-03-25
NYLCAP MANAGER LLC INDIRECT INTEREST HOLDERS indirect 1999-12-01 2014-11-24
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-12-01
MCF CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2014-12-03
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2014-12-04
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP (RELYING ADVISER) direct 2012-03-01 2015-02-03
CROSSBEAM CAPITAL, LLC MEMBER indirect 2006-11-01 2015-03-31
MCF CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 1999-12-01 2015-07-31

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
MACKAY CORNERSTONE US EQUITY MARKET NEUTRAL FUND LP United States 805-7319457608 Hedge Fund 261,403 500,000
MACKAY MUNICIPAL STRATEGIC OPPORTUNITIES FUND, L.P. United States 805-9094717073 Hedge Fund 234,051,098 500,000
MACKAY SHIELDS CORE FIXED INCOME FUND LP United States 805-9532805475 Other Private Fund COMMINGLED 140,391,285 5,000,000
MACKAY SHIELDS INTERMEDIATE BOND FUND LP United States 805-3295248719 Hedge Fund 353,405,473 1,000,000
MACKAY MUNICIPAL OPPORTUNITIES MASTER FUND, LP United States 805-2479996725 Hedge Fund 2,804,290,667 1,000,000 Master Fund
MACKAY SHIELDS DEFENSIVE BOND ARBITRAGE FUND LTD. Bermuda 805-9629990342 Hedge Fund 381,477,753 5,000,000
MACKAY SHIELDS HIGH YIELD ACTIVE CORE FUND LP United States 805-2807546760 Hedge Fund 381,195,018 2,000,000
MACKAY SHIELDS CORE PLUS/OPPORTUNITIES FUND, LP United States 805-2191053450 Hedge Fund 444,727,438 5,000,000
MACKAY MUNICIPAL CREDIT OPPORTUNITIES MASTER FUND LP United States 805-6029565126 Hedge Fund 2,923,638,166 1,000,000 Master Fund
MACKAY MUNICIPAL SHORT TERM OPPORTUNITIES FUND LP United States 805-9701666494 Hedge Fund 610,178,413 5,000,000
MACKAY MUNICIPAL CALIFORNIA OPPORTUNITIES FUND, L.P. United States 805-2338564429 Hedge Fund 422,110,190 250,000
MACKAY PUERTO RICO OPPORTUNITIES FUND, L.P. United States 805-6517593046 Hedge Fund 148,834,717 500,000 Master Fund
MACKAY MUNICIPAL NEW YORK OPPORTUNITIES FUND, LP United States 805-4448374841 Hedge Fund 100,848,268 250,000
MACKAY MUNICIPAL CAPITAL TRADING MASTER FUND, L.P. United States 805-7993046240 Hedge Fund 109,205,102 5,000,000 Master Fund
MACKAY SHIELDS HIGH YIELD CROSSOVER FUND LP United States 805-2936386573 Other Private Fund FUND OF FUNDS 11,543 1,000,000 Fund of Funds
MACKAY SHIELDS SELECT HIGH YIELD BOND FUND LP United States 805-3984100291 Hedge Fund 49,410,510 1,000,000

MACKAY SHIELDS LLC

ownership team - last updated 2017-12-22
Name Title Start Date Direct/Indirect % Ownership
NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC SOLE MEMBER 01/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 1999-12-01
NYLCAP MANAGER LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 1999-12-01
CANDRIAM BELGIUM S.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM FRANCE S.A.S INDIRECT INTEREST HOLDER indirect 1999-12-01
MACKAY SHIELDS LLC SOLE MEMBER direct 2000-01-01
INSTITUTIONAL CAPITAL LLC MEMBER direct 2006-06-01
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2008-09-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC SOLE MEMBER direct 2008-09-01
PRIVATE ADVISORS LLC MEMBER direct 2010-12-01
CANDRIAM LUXEMBOURG S.C.A. INDIRECT INTEREST HOLDER indirect 2013-12-01
INDEXIQ ADVISORS LLC MEMBER indirect 2015-04-01
CREDIT VALUE PARTNERS, LLC MANAGING MEMBER indirect 2016-12-01
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2008-09-01 2013-01-28
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2008-09-01 2013-03-27
CORNERSTONE CAPITAL MANAGEMENT LLC SOLE MEMBER/DIRECT & SOLE INTEREST SHAREHOLDER indirect 2013-01-01 2014-12-01
MCF CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2001-03-01 2014-12-03
MADISON SQUARE INVESTORS LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 2008-09-01 2014-12-04
PRIVATE ADVISORS LLC OWNER direct 2010-12-01 2014-12-08
MCF CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-03-01 2015-07-31
PROTAS, LUCILLE, MARIAN PRESIDENT, EXECUTIVE MANAGING DIRECTOR, CHIEF OPERATING OFFICER, TREASURER AND ELECTED TO THE BOARD OF MANAGERS 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER, ACTING CHIEF EXECUTIVE OFFICER direct 2016-07-01
MACKAY SHIELDS LLC PRESIDENT, EXECUTIVE MANAGING DIRECTOR, CHIEF OPERATING OFFICER, TREASURER AND ELECTED TO THE BOARD OF MANAGERS direct 2011-12-01
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2000-01-01 2006-07-14
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR AND CHIEF OPERATING OFFICER direct 2007-01-01 2010-03-29
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR AND ACTING CHIEF EXECUTIVE OFFICER direct 2010-04-01 2011-03-29
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR AND ACTING CHIEF EXECUTIVE OFFICER AND MEMBER OF THE BOARD OF MANAGERS direct 2011-04-01 2011-06-30
MACKAY SHIELDS LLC PRESIDENT, SENIOR MANAGING DIRECTOR AND MEMBER OF THE BOARD OF MANAGERS direct 2011-12-01 2013-05-15
MACKAY SHIELDS LLC PRESIDENT, EXECUTIVE MANAGING DIRECTOR AND MEMBER OF THE BOARD OF MANAGERS direct 2011-12-01 2015-01-09
ROBERTS, DANIEL, CRAIG EXECUTIVE MANAGING DIRECTOR 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2004-10-01
PARETO PARTNERS CHIEF INVESTMENT OFFICER US FIXED INCOME direct 2000-03-01 2001-02-28
PARETO PARTNERS CHIEF INVESTMENT OFFICER direct 2001-07-01 2004-06-21
PARETO PARTNERS CHIEF INVESTMENT OFFICER direct 2000-02-01 2004-07-19
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2004-10-01 2013-05-15
BUSTAMANTE, RENE, ARTURO CHIEF COMPLIANCE OFFICER, SENIOR MANAGING DIRECTOR 02/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, DIRECTOR direct 2004-04-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2004-04-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR direct 2005-02-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, SENIOR MANAGING DIRECTOR direct 2005-02-01
MACKAY SHIELDS LLC CHIEF COMPLIANCE OFFICER, SENIOR MANAGING DIRECTOR direct 2010-07-01
LOFFREDO, JOHN, MICHAEL EXECUTIVE MANAGING DIRECTOR 07/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
FUND ASSET MANAGEMENT LP CO-HEAD-TAX-EXEMPT INVESTMENTS direct 2001-12-01
MERRILL LYNCH INVESTMENT MANAGERS LP CO-HEAD-TAX-EXEMPT INVESTMENTS direct 2001-12-01
MARINER MUNICIPAL MANAGERS LLC MANAGING MEMBER - SHAREHOLDER OF CLASS A INTERESTS direct 2007-11-01
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2009-07-01
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2009-07-01 2013-05-15
DIMELLA, ROBERT, ALAN EXECUTIVE MANAGING DIRECTOR 03/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2010-03-01
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2010-03-01
MARINER MUNICIPAL MANAGERS LLC MANAGING MEMBER - SHAREHOLDER OF CLASS A INTERESTS direct 2007-11-01
MALLOY, ANTHONY, RAMSEY ELECTED TO THE BOARD OF MANAGERS 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2011-01-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2011-01-01
PRIVATE ADVISORS LLC ELECTED MANAGER direct 2017-02-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2005-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2011-04-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT, GENERAL ACCOUNT ASSET MANAGEMENT direct 2011-07-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2011-07-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2017-02-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND MANAGER direct 2012-01-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND MANAGER, AND AUDIT COMMITTEE MEMBER direct 2012-01-01
MCF CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND AUDIT COMMITTEE MEMBER direct 2012-01-01
NYL INVESTORS LLC CHIEF EXECUTIVE OFFICER, AND ELECTED MANAGER direct 2014-01-01
NYL INVESTORS LLC CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD AND MANAGER direct 2014-01-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2012-01-01
MADISON CAPITAL FUNDING LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND MEMBER OF THE AUDIT COMMITTEE direct 2012-01-01
PHLEGAR, JEFFREY, SCOTT CHAIRMAN AND CHIEF EXECUTIVE OFFICER AND ELECTED TO THE BOARD OF MANAGERS 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ALLIANCE CAPITAL MANAGEMENT HOLDING L P EXECUTIVE VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCEBERNSTEIN HOLDING L.P. EXECUTIVE VICE PRESIDENT OF ABC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT HOLDING L P SENIOR VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCEBERNSTEIN CORPORATION EXECUTIVE VICE PRESIDENT direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT CORP EXECUTIVE VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT CORP SENIOR VICE PRESIDENT OF ACMC direct 2004-03-01
MACKAY SHIELDS LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER AND ELECTED TO THE BOARD OF MANAGERS direct 2011-12-01
MACKAY SHIELDS LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER AND MEMBER OF THE BOARD OF MANAGERS direct 2011-12-01
ALLIANCEBERNSTEIN L.P. EXECUTIVE VICE PRESIDENT OF ABC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT L P SENIOR VICE PRESIDENT OF ACMC direct 2004-03-01
ALLIANCE CAPITAL MANAGEMENT L P EXECUTIVE VICE PRESIDENT OF ACMC direct 2004-03-01
CANDRIAM BELGIUM S.A. DIRECTOR direct 2014-02-01
HUNG, YIE-HSIN, NMN ELECTED TO THE BOARD OF MANAGERS 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTIONAL CAPITAL LLC ELECTED MANAGER direct 2012-01-01
INSTITUTIONAL CAPITAL LLC DIRECTOR direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC ELECTED MANAGER direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC MANAGER direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD OF MANAGERS direct 2013-01-01
CORNERSTONE CAPITAL MANAGEMENT LLC CHAIRMAN OF THE BOARD OF MANAGERS, ELECTED MANAGER direct 2015-06-01
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2012-03-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2012-03-01
MORGAN STANLEY VENTURE CAPITAL III INC CHAIRMAN, DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MSDW VENTURE PARTNERS IV INC CHAIRMAN AND DIRECTOR direct 2004-10-01
MSDW CAPITAL PARTNERS IV INC DIRECTOR, MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC MANAGING DIRECTOR, CHAIRMAN AND CEO direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC DIRECTOR, CHAIRMAN AND CEO direct 2004-10-01
PRIVATE ADVISORS LLC BOARD OF MANAGERS direct 2010-12-01
PRIVATE ADVISORS LLC ELECTED MANAGER, CHAIRMAN OF THE BOARD OF MANAGERS direct 2010-12-01
PRIVATE ADVISORS LLC CHAIRMAN OF THE BOARD OF MANAGERS direct 2010-12-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, SENIOR MANAGING DIRECTOR direct 2010-11-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, EXECUTIVE VICE PRESIDENT direct 2010-11-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC HEAD OF ALTERNATIVE SCALE BUSINESSES, EXECUTIVE VICE PRESIDENT direct 2011-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2011-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT, HEAD OF INSTITUTIONAL INVESTMENTS direct 2012-03-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC MANAGER AND CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR, CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER AND CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER, CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2015-06-01
MORGAN STANLEY CAPITAL PARTNERS III INC DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY VENTURE CAPITAL II INC CHAIRMAN AND DIRECTOR direct 2004-10-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MCMORGAN & COMPANY LLC CHAIRMAN-BOARD OF MANAGERS direct 2012-01-01
NYLCAP MANAGER LLC CHAIRMAN OF THE BOARD, CHAIRMAN OF THE COMPENSATION COMMITTEE, MEMBER OF INVESTMENT COMMITTEE direct 2010-11-01
NYLCAP MANAGER LLC CHAIRMAN OF THE BOARD, CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2010-11-01
GOLDPOINT PARTNERS LLC CHAIRMAN OF THE BOARD OF MANAGERS, CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2010-11-01
MSVP 2002, INC. CHAIRMAN, DIRECTOR AND MANAGING DIRECTOR direct 2004-10-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP DIRECTOR direct 2006-02-01
MORGAN STANLEY HEDGE FUND PARTNERS LP DIRECTOR direct 2006-02-01
PRIVATE INVESTMENT PARTNERS, INC. CHAIRMAN OF THE BOARD AND PRESIDENT direct 2005-11-01
PRIVATE INVESTMENT PARTNERS INC. MANAGING DIRECTOR direct 2006-03-01
INDEXIQ ADVISORS LLC ELECTED MANAGER direct 2015-10-01
MADISON SQUARE INVESTORS LLC CHAIRMAN OF THE BOARD OF MANAGERS AND CHAIRMAN OF THE COMPENSATION COMMITTEE direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC MANAGER direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2012-01-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC CHAIRMAN OF THE BOARD OF MANAGERS, ELECTED MANAGER direct 2015-06-01
CREDIT VALUE PARTNERS, LLC ELECTED MANAGER, CHAIRMAN OF THE BOARD OF MANAGERS indirect 2017-02-01
CANDRIAM BELGIUM S.A. CHAIRMAN OF THE BOARD OF DIRECTORS AND MEMBER OF THE AUDIT COMMITTEE direct 2014-02-01
CANDRIAM LUXEMBOURG S.C.A. CHAIRMAN OF THE BOARD OF DIRECTORS AND CHAIRMAN OF THE AUDIT & COMPLIANCE COMMITTEE direct 2014-02-01
CANDRIAM FRANCE S.A.S. CHAIRMAN OF THE STRATEGIC COMMITTEE direct 2014-02-01
CANDRIAM S.A. (FRANCE) CHAIRMAN OF THE BOARD direct 2014-02-01
MADISON CAPITAL FUNDING LLC CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND MEMBER OF THE AUDIT COMMITTEE direct 2017-02-01
AKKERMAN, JOHN, WILLIAM EXECUTIVE MANAGING DIRECTOR 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2012-09-01
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2012-09-01
LEE, YOUNG, NMN GENERAL COUNSEL, SENIOR MANAGING DIRECTOR 02/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPPENHEIMER CAPITAL LLC CHIEF LEGAL OFFICER direct 2007-02-01
MACKAY SHIELDS LLC GENERAL COUNSEL, SENIOR MANAGING DIRECTOR direct 2013-02-01
MACKAY SHIELDS LLC ACTING GENERAL COUNSEL, MANAGING DIRECTOR direct 2013-02-01
PRINCIPLED ASSET ADMINISTRATION, L.L.C. GENERAL COUNSEL direct 2009-03-01
FLEURANT, JOHN, THOMAS ELECTED TO THE BOARD OF MANAGERS 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRUDENTIAL INVESTMENTS LLC EXEC. VP, CFO AND TREASURER direct 2004-03-01
PRUDENTIAL INVESTMENT MANAGEMENT, INC. VP, FINANCE direct 2004-03-01
GLOBAL PORTFOLIO STRATEGIES, INC. DIRECTOR AND CHIEF FINANCIAL OFFICER direct 2004-12-01
INSTITUTIONAL CAPITAL LLC DIRECTOR direct 2013-02-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2013-01-01
MACKAY SHIELDS LLC MEMBER OF THE BOARD OF MANAGERS direct 2013-01-01
AMERICAN SKANDIA INVESTMENT SERVICES, INC. DIRECTOR, EXEC. VP, CFO direct 2004-03-01
AST INVESTMENT SERVICES, INC. CONTROLLER direct 2010-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC MANAGER direct 2011-04-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC MANAGER, CHAIRMAN OF AUDIT COMMITTEE direct 2011-04-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER, CHAIRMAN OF AUDIT COMMITTEE direct 2011-04-01
EAGLE STRATEGIES LLC MANAGER direct 2012-06-01
NYLCAP MANAGER LLC MANAGER AND CHAIRMAN OF THE AUDIT COMMITTEE direct 2011-04-01
MCF CAPITAL MANAGEMENT LLC MANAGER, CHAIRMAN OF AUDIT COMMITTEE direct 2011-04-01
MCF CAPITAL MANAGEMENT LLC MANAGER, CHAIRMAN OF AUDIT COMMITTEE direct 2013-01-01
NYL INVESTORS LLC MANAGER AND SENIOR MANAGING DIRECTOR direct 2015-02-01
NYL INVESTORS LLC ELECTED MANAGER AND SENIOR MANAGING DIRECTOR direct 2015-02-01
CANDRIAM BELGIUM S.A. DIRECTOR AND MEMBER OF THE AUDIT COMMITTEE direct 2014-02-01
CANDRIAM LUXEMBOURG S.C.A. DIRECTOR AND MEMBER OF THE AUDIT AND COMPLIANCE COMMITTEE direct 2014-02-01
CANDRIAM FRANCE S.A.S. DIRECTOR direct 2014-02-01
CORKER, MICHAEL, DANIEL CHIEF FINANCIAL OFFICER, SENIOR MANAGING DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC CHIEF FINANCIAL OFFICER direct 2008-01-01
MACKAY SHIELDS LLC CHIEF FINANCIAL OFFICER, SENIOR MANAGING DIRECTOR direct 2008-01-01
SUSSER, ANDREW, MARK EXECUTIVE MANAGING DIRECTOR 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC EXECUTIVE MANAGING DIRECTOR direct 2015-01-01
ABOU-JAOUDE, NAIM ELECTED TO THE BOARD OF MANAGERS 03/01/3017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 3017-03-01
CANDRIAM BELGIUM S.A. DIRECTOR AND CHIEF EXECUTIVE OFFICER direct 2007-03-01
CANDRIAM BELGIUM SA DIRECTOR AND CHIEF EXECUTIVE OFFICER OF CANDRIAM GROUP direct 2007-03-01
CANDRIAM LUXEMBOURG S.C.A. DIRECTOR direct 2006-12-01
CANDRIAM FRANCE S.A.S. DIRECTOR AND CHIEF EXECUTIVE OFFICER direct 2006-12-01
CANDRIAM S.A. (FRANCE) DIRECTOR AND CHIEF EXECUTIVE OFFICER OF CANDRIAM GROUP direct 2006-12-01
FISHER, STEPHEN, PAUL ELECTED TO THE BOARD OF MANAGERS 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2017-03-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2005-03-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR, CHIEF MARKETING OFFICER direct 2012-03-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER AND CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR, CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC MANAGER AND CO-PRESIDENT direct 2014-01-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC ELECTED MANAGER AND PRESIDENT direct 2015-06-01
INDEXIQ ADVISORS LLC ELECTED MANAGER AND CHAIRMAN direct 2015-10-01
Lehneis, Kirk, C ELECTED TO BOARD OF MANAGERS 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC ELECTED TO BOARD OF MANAGERS direct 2017-03-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2017-02-01
HARTE, FRANCIS, MICHAEL ELECTED TO THE BOARD OF MANAGERS 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
JULIUS BAER SECURITIES INC. SENIOR VICE PRESIDENT direct 2002-10-01
ARTIO GLOBAL MANAGEMENT LLC MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER direct 2002-10-01
ARTIO GLOBAL MANAGEMENT LLC SENIOR VICE PRESIDENT/CFO direct 2002-10-01
INSTITUTIONAL CAPITAL LLC ELECTED MANAGER direct 2014-06-01
INSTITUTIONAL CAPITAL LLC DIRECTOR direct 2014-06-01
MACKAY SHIELDS LLC ELECTED TO THE BOARD OF MANAGERS direct 2017-03-01
MACKAY SHIELDS LLC KIRK LEHNEIS, ELECTED TO THE BOARD OF MANAGERS direct 2017-03-01
GAM USA INC. TREASURER direct 2005-12-01
GOLDPOINT PARTNERS LLC ELECTED MANAGER direct 2017-02-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC ELECTED MANAGER direct 2017-02-01
MCF CAPITAL MANAGEMENT LLC MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-07-01
MCF CAPITAL MANAGEMENT LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-07-01
MADISON CAPITAL FUNDING LLC ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE direct 2014-07-01
NEW YORK LIFE INSURANCE COMPANY INDIRECT INTEREST HOLDER NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC 10/01/1999 Indirect Other
Fund Name Position direct/indirect start date end date
MACKAY SHIELDS LLC INDIRECT INTEREST HOLDER indirect 1999-10-01
NEW YORK LIFE INVESTMENT MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
INSTITUTIONAL CAPITAL LLC INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM FRANCE S.A.S. INDIRECT INTEREST HOLDER indirect 1999-12-01
GOLDPOINT PARTNERS LLC SOLE MEMBER indirect 1999-12-01
CANDRIAM BELGIUM S.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CANDRIAM LUXEMBOURG S.C.A. INDIRECT INTEREST HOLDER indirect 1999-12-01
CREDIT VALUE PARTNERS, LLC MANAGING MEMBER indirect 1999-12-01
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01
PRIVATE ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2010-12-01
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP AND A&M CAPITAL OPPORTUNITIES-GP, LP (RELYING ADVISERS) direct 2012-03-01
NYL INVESTORS LLC SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER direct 2013-10-01
INDEXIQ ADVISORS LLC INDIRECT INTEREST HOLDER indirect 2015-04-01
MADISON CAPITAL FUNDING LLC MEMBER direct 2015-12-01
MCF CAPITAL MANAGEMENT LLC MEMBER indirect 2015-12-01
EAGLE STRATEGIES CORP INDIRECT STOCKHOLDER direct 1988-07-01 2006-03-01
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2008-10-10
INSTITUTIONAL CAPITAL CORP INDIRECT INTEREST HOLDER indirect 1999-10-01 2009-01-16
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2009-06-04
MCMORGAN & COMPANY LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2012-06-18
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2013-01-28
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-03-25
NYLCAP MANAGER LLC INDIRECT INTEREST HOLDERS indirect 1999-12-01 2014-11-24
CORNERSTONE CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 2008-08-01 2014-12-01
MCF CAPITAL MANAGEMENT LLC INDIRECT INTEREST HOLDER indirect 1999-12-01 2014-12-03
MADISON SQUARE INVESTORS LLC INDIRECT INTEREST HOLDER indirect 2008-09-01 2014-12-04
A&M CAPITAL ADVISORS, LLC LIMITED PARTNER OF A&M CAPITAL-GP, LP (RELYING ADVISER) direct 2012-03-01 2015-02-03
CROSSBEAM CAPITAL, LLC MEMBER indirect 2006-11-01 2015-03-31
MCF CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 1999-12-01 2015-07-31

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
MACKAY CORNERSTONE US EQUITY MARKET NEUTRAL FUND LP United States 805-7319457608 Hedge Fund 82,811,136 500,000
MACKAY SHIELDS INTERMEDIATE BOND FUND LP United States 805-3295248719 Hedge Fund 541,766,375 1,000,000
MACKAY MUNICIPAL STRATEGIC OPPORTUNITIES FUND, L.P. United States 805-9094717073 Hedge Fund 0 500,000
MACKAY SHIELDS CORE FIXED INCOME FUND LP United States 805-9532805475 Other Private Fund COMMINGLED 68,334,189 5,000,000
MACKAY MUNICIPAL OPPORTUNITIES MASTER FUND, LP United States 805-2479996725 Hedge Fund 1,914,385,058 1,000,000 Master Fund
MACKAY SHIELDS DEFENSIVE BOND ARBITRAGE FUND LTD. Bermuda 805-9629990342 Hedge Fund 355,466,491 5,000,000
MACKAY SHIELDS HIGH YIELD ACTIVE CORE FUND LP United States 805-2807546760 Hedge Fund 780,493,808 2,000,000
MACKAY SHIELDS STATUTORY TRUST HIGH YIELD CORPORATE BOND SERIES United States 805-9850695096 Other Private Fund COMMINGLED 70,363,590 2,000,000
MACKAY SHIELDS CORE PLUS/OPPORTUNITIES FUND, LP United States 805-2191053450 Hedge Fund 575,625,421 5,000,000
MACKAY MUNICIPAL CREDIT OPPORTUNITIES MASTER FUND LP United States 805-6029565126 Hedge Fund 1,991,411,754 1,000,000 Master Fund
MACKAY MUNICIPAL SHORT TERM OPPORTUNITIES FUND LP United States 805-9701666494 Hedge Fund 218,839,614 5,000,000
MACKAY MUNICIPAL CALIFORNIA OPPORTUNITIES FUND, L.P. United States 805-2338564429 Hedge Fund 327,507,819 250,000
MACKAY PUERTO RICO OPPORTUNITIES FUND, L.P. United States 805-6517593046 Hedge Fund 245,639,157 500,000 Master Fund
MACKAY MUNICIPAL NEW YORK OPPORTUNITIES FUND, LP United States 805-4448374841 Hedge Fund 36,005,947 250,000
MACKAY MUNICIPAL CAPITAL TRADING MASTER FUND, L.P. United States 805-7993046240 Hedge Fund 28,738,216 5,000,000 Master Fund
MACKAY SHIELDS HIGH YIELD CROSSOVER FUND LP United States 805-2936386573 Other Private Fund FUND OF FUNDS 10,000 1,000,000 Fund of Funds
MACKAY SHIELDS SELECT HIGH YIELD BOND FUND LP United States 805-3984100291 Hedge Fund 0 1,000,000

WhaleScore history for MACKAY SHIELDS LLC

You must have a subscription to view WhaleScore histories

**EXPERIMENTAL** Current International Short Positions

Get more info on our International short position coverage here

Holder Issuer Net Short Position Position Date Origin
MACKAY SHIELDS LLC SOLOCAL GROUP 0.5% 2018-05-10 FRANCE

Short Position History (last 100)

Holder Net Short Position Position Date Origin
Mackay Shields LLC PETRA DIAMONDS 0.65% 2018-06-26 UK
Mackay Shields LLC PETRA DIAMONDS LIMITED 0.6% 2018-06-15 UK
MACKAY SHIELDS LLC SOLOCAL GROUP 0.5% 2018-05-02 FRANCE
MACKAY SHIELDS LLC TECHNICOLOR 0.49% 2018-11-07 FRANCE
MACKAY SHIELDS LLC TECHNICOLOR 0.48% 2018-06-26 FRANCE
MACKAY SHIELDS LLC TECHNICOLOR 0.51% 2018-05-02 FRANCE

Elevate your investments