MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT LLC

HTTPS://MATTHEWSASIA.COM SAN FRANCISCO, CA Investment Advisor How do I update this listing?

Also known as:

  • MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT LLC/CA

Matthews International Capital Management is based out of San Francisco. Matthews International Capital Management is a large advisory firm with 36 clients and discretionary assets under management (AUM) of $33,967,467,773 (Form ADV from 2018-03-29). Their last reported 13F filing for Q3 2018 included $2,080,556,000 in managed 13F securities and a top 10 holdings concentration of 86.3%. Matthews International Capital Management's largest holding is Alibaba Group Holding Ltd with shares held of 1,977,455. Matthews International Capital Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 60 13F filings The firm last filed a Form D notice of exempt offering of securities on 2011-09-07. The notice included securities offered of Option, Warrant or Other Right to Acquire Another Security,Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security

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Equal-WT
WhaleScore

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66

S&P 500
WhaleScore

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Manager Weighted
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Download 13F Summary to Excel Create Email Alert

09/30/2018

13F Sector Allocation Over Time

09/30/2018

13F Activity

  • Market Value $2.086 Billion
  • Prior Market Value $2.244 Billion
  • New Purchases3 stocks
  • Additional Purchases7 stocks
  • Sold out of4 stocks
  • Reduced holdings in21 stocks
  • Top 10 Holdings % 86.09 %
  • Turnover % [1]:20.00%
  • Turnover Alt % [2]: 10.45 %
  • Time Held Top20:19.50 quarters
  • Time Held Top10:17.70 quarters
  • Time Held All:19.15 quarters

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

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

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2018-11-14

Performance for Q3 2018: -11.1%
Performance Last 4 Quarters: -7.64%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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

View Last Form Adv Compilation Report on Record

MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC
Classified as Hedge Fund
FOUR EMBARCADERO CENTER SUITE 550
SAN FRANCISCO CA    94111
Country: United States

Business Phone: 415-788-7553
Fax: 415-788-4804
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 153
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities: 3,841,920
Total Number of Clients: 36
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Non-derivative Insider Transactions Since 09/30/2018

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Form D Filings

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

Form D Filings
Filing Date Form Type Industry Group Securities Offered Total Offering Amount Total Amount Sold Total Remaining
2011-09-07 D OTHER BANKING AND FINANCIAL SERVICES Option, Warrant or Other Right to Acquire Another Security,Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security 1,650,000 1,650,000 0
Other Issuers in Filings
Name Address
No Other Issuers
Related Parties included in filings
Name Address Relationship
DAVID A. HARTLEY subscription required
    EXECUTIVE OFFICER
G. PAUL MATTHEWS subscription required
    EXECUTIVE OFFICER
MARK W. HEADLEY subscription required
    EXECUTIVE OFFICER
ROBERT J. HORROCKS subscription required
    EXECUTIVE OFFICER
WILLIAM J. HACKETT subscription required
    EXECUTIVE OFFICER
ownership team - last updated 2017-03-29
Name Title Start Date Direct/Indirect % Ownership
HEADLEY, MARK, WOLD CHAIRMAN/DIRECTOR/MEMBER 04/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC CHAIRMAN/DIRECTOR/MEMBER direct 2009-04-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC PRESIDENT/EQUITY OWNER direct 1996-09-01 2002-08-30
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC PRESIDENT/CO-CHIEF EXECUTIVE OFFICER/EQUITY OWNER direct 1996-09-01 2004-05-24
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC PRESIDENT/CO-CHIEF EXECUTIVE OFFICER/EQUITY OWNER direct 2001-05-01 2005-03-31
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC PRESIDENT/CHIEF EXECUTIVE OFFICER/EQUITY OWNER direct 2001-05-01 2005-09-22
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC PRESIDENT/CHIEF EXECUTIVE OFFICER/MEMBER direct 2001-05-01 2006-03-30
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER/MEMBER direct 2001-05-01 2007-06-18
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC CO-CHIEF EXECUTIVE OFFICER/MEMBER direct 2007-08-01 2007-09-18
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC CO-CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER / MEMBER direct 2007-08-01 2008-03-31
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER / MEMBER direct 2008-09-01 2009-03-30
MATTHEWS, GORDON, PAUL DIRECTOR/MEMBER 04/01/2009 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC DIRECTOR/MEMBER direct 2009-04-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/EQUITY OWNER direct 1996-09-01 2002-08-30
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC CHAIRMAN/CHIEF INVESTMENT OFFICER/CO-CHIEF EXECUTIVE OFFICER//EQUITY OWNER direct 1996-09-01 2003-03-31
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC CHAIRMAN/CHIEF INVESTMENT OFFICER/CO-CHIEF EXECUTIVE OFFICER/EQUITY OWNER direct 1996-09-01 2005-03-31
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC CHAIRMAN/CHIEF INVESTMENT OFFICER/EQUITY OWNER direct 2005-07-01 2005-09-22
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC CHAIRMAN/CHIEF INVESTMENT OFFICER/MEMBER direct 1996-05-01 2007-09-18
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC CHAIRMAN/MEMBER direct 1996-05-01 2009-03-30
RBC USA HOLDCO CORPORATION MEMBER 11/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FERRIS, BAKER WATTS, LLC INDIRECT OWNER indirect 2003-10-01
J. B. HANAUER & CO. INDIRECT OWNER indirect 2003-10-01
JONES & BABSON, INC. INDIRECT OWNER indirect 2003-10-01
RBC DAIN RAUSCHER INC. INDIRECT OWNER indirect 2003-10-01
RBC CAPITAL MARKETS CORPORATION INDIRECT OWNER indirect 2003-10-01
RBC CAPITAL MARKETS, LLC DIRECT OWNER direct 2010-11-01
CITY NATIONAL SECURITIES, INC. OWNER indirect 2015-11-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC MEMBER direct 2015-11-01
RBC GLOBAL ASSET MANAGEMENT (U.S.) INC. DIRECT OWNER direct 2010-11-01
LIBERTY CAPITAL ADVISORS INC SHAREHOLDER indirect 2000-11-01
MID-CONTINENT CAPITAL LLC OWNER indirect 2015-11-01
CLIFFORD SWAN INVESTMENT COUNSEL LLC SHAREHOLDER indirect 2015-11-01
CLIFFORD SWAN INVESTMENT COUNSEL LLC SHAREHOLDER indirect 2015-11-01
CITY NATIONAL ROCHDALE, LLC OWNER indirect 2015-11-01
RBC PRIVATE COUNSEL (USA)CORPORATION OWNER direct 2003-12-01
ARTHURS LESTRANGE INVESTMENT ADVISORY, INC. INDIRECT OWNER indirect 2003-10-01
SYMPHONIC FINANCIAL ADVISORS LLC OWNER indirect 2015-11-01
CARLIN ASSET MANAGEMENT, LLC OWNER direct 2007-01-01
RBC ALTERNATIVE ASSET MANAGEMENT INC. DIRECT OWNER direct 2016-06-01
CONVERGENT WEALTH ADVISORS, LLC OWNER indirect 2015-11-01
LMCG INVESTMENTS, LLC OWNER indirect 2015-11-01
BLUEBAY ASSET MANAGEMENT USA LLC MANAGING MEMBER direct 2016-11-01
POMBRA, MANOJ, KUMAR CHIEF COMPLIANCE OFFICER/MEMBER 03/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-03-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER/MEMBER direct 2005-03-01
HACKETT, WILLIAM, JOHN CHIEF EXECUTIVE OFFICER/PRESIDENT/DIRECTOR/MEMBER 06/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC PRESIDENT direct 2007-02-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC PRESIDENT & SECRETARY direct 2007-02-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC PRESIDENT/SECRETARY/MEMBER direct 2007-02-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER/PRESIDENT/DIRECTOR/MEMBER direct 2009-06-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER/PRESIDENT/SECRETARY/MEMBER direct 2009-06-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER/PRESIDENT/SECRETARY/DIRECTOR/MEMBER direct 2009-06-01
CAREY, CHRISTOPHER, J. DIRECTOR 06/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC DIRECTOR direct 2007-06-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC MEMBER OF BOARD OF DIRECTORS direct 2007-06-01
REED CONNER & BIRDWELL LLC BOARD MEMBER direct 2005-01-01
LMCG INVESTMENTS, LLC BOARD MEMBER direct 2017-01-01
WALTER, JAMES, EDWARD EXECUTIVE VICE PRESIDENT/MEMBER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC VICE PRESIDENT, INVESTMENT OPERATIONS direct 2000-06-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC VICE PRESIDENT/MEMBER direct 2000-06-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC VICE PRESIDENT, INVESTMENT OPERATIONS/EQUITY OWNER direct 2000-06-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT/MEMBER direct 2009-01-01
HORROCKS, ROBERT, JAMES CHIEF INVESTMENT OFFICER / MEMBER 06/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC DIRECTOR OF RESEARCH direct 2008-08-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC CHIEF INVESTMENT OFFICER / MEMBER direct 2009-06-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2009-06-01
SHROFF, SHARAT PORTFOLIO MANAGER / MEMBER 09/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC PORTFOLIO MANAGER / MEMBER direct 2007-09-01
LOVELL, JEFFREY, DALE DIRECTOR 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTCAP INVESTORS LLC MANAGER indirect 2000-04-01
CAPITAL INVESTMENT ADVISORS LLC MANAGER direct 2002-01-01
BERKELEY CAPITAL MANAGEMENT LLC DIRECTOR direct 2003-05-01
LOVELL MINNICK PARTNERS LLC CHIEF EXECUTIVE direct 2003-11-01
LOVELL MINNICK PARTNERS LLC PARTNER indirect 2003-12-01
BERKELEY CAPITAL MANAGEMENT LLC CO-MANAGING MEMBER indirect 2004-02-01
WESTCAP INVESTORS LLC CO-MANAGING MEMBER indirect 2004-02-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC DIRECTOR direct 2011-01-01
ASSETMARK INVESTMENT SERVICES INC MEMBER OF PUTNAM LOVELL EQUITY ADVISORS LLC indirect 2000-09-01 2002-07-02
ASSETMARK INVESTMENT SERVICES INC BENEFICIARY OF JEFFREY D. LOVELL FAMILY TRUST indirect 2000-09-01 2002-07-02
STEIN ROE INVESTMENT COUNSEL,LLC ELECTED MANAGER direct 2001-01-01 2003-12-18
BROADMARK ASSET MANAGEMENT LLC CO-MANAGING MEMBER indirect 2004-02-01 2004-03-29
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP CO MANAGING MEMBER OF LOVELL MINNICK HOLDINGS LLC indirect 2004-02-01 2004-03-31
PHILIPPE INVESTMENT MANAGEMENT, INC MANAGER indirect 2000-04-01 2005-03-31
PIM GESTION FRANCE, SA MANAGER indirect 2000-04-01 2005-03-31
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP MANAGER indirect 2000-04-01 2005-04-18
DUFF & PHELPS LLC CO-MANAGING MEMBER indirect 2004-02-01 2005-06-01
DENALI ADVISORS, LLC MANAGER indirect 2000-04-01 2005-09-01
PIM GESTION FRANCE, SA MANAGER indirect 2000-04-01 2006-03-24
PIM GESTION FRANCE, SA CO-MANAGING MEMBER indirect 2004-02-01 2006-03-24
ASSETMARK INVESTMENT SERVICES INC CO-MANAGING MEMBER OF LOVELL MINNICK HOLDINGS LLC indirect 2004-02-01 2006-03-30
PHILIPPE INVESTMENT MANAGEMENT, INC MANAGER indirect 2000-04-01 2006-09-21
PHILIPPE INVESTMENT MANAGEMENT, INC CO-MANAGING MEMBER indirect 2004-02-01 2006-09-21
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP MANAGER indirect 2000-04-01 2007-03-29
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP CO MANAGING MEMBER indirect 2004-02-01 2007-03-29
SPM JR., L.L.C. CO-MANAGING MEMBER indirect 2004-02-01 2007-03-30
SPM III, L.L.C. CO- MANAGING MEMBER indirect 2004-02-01 2007-03-30
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C CO-MANAGING MEMBER indirect 2004-02-01 2007-03-30
SPM IV, L.L.C. CO-MANAGING MEMBER indirect 2004-02-01 2007-03-30
SPM PRODUCTS, L.L.C. CO-MANAGING MEMBER indirect 2004-02-01 2007-03-30
SPM PRIME, L.L.C. CO-MANAGING MEMBER indirect 2004-02-01 2007-03-30
STONERIDGE INVESTMENT PARTNERS LLC CO-MANAGING MEMBER indirect 2004-02-01 2007-04-30
SPM CREDIT, L.L.C. CO-MANAGING MEMBER indirect 2004-02-01 2007-11-12
TIBER ASSET MANAGEMENT LLC CO-MANAGING MEMBER indirect 2004-02-01 2008-03-29
TORTOISE CAPITAL ADVISORS, L.L.C. CO-MANAGING MEMBER indirect 2004-02-01 2008-05-27
TORTOISE CAPITAL ADVISORS, L.L.C. CO-MANAGING MEMBER indirect 2004-02-01 2009-03-30
SHENANDOAH ASSET MANAGEMENT, LLC MANAGER indirect 2000-04-01 2009-06-08
SHENANDOAH ASSET MANAGEMENT, LLC CO-MANAGING MEMBER indirect 2004-02-01 2009-06-08
DENALI ADVISORS, LLC MANAGER indirect 2000-04-01 2010-02-22
DENALI ADVISORS, LLC CO-MANAGING MEMBER indirect 2004-02-01 2010-02-22
ALPS ADVISORS, INC. OWNER indirect 2004-02-01 2010-12-22
ATLANTIC ASSET MANAGEMENT, L.L.C. CO-MANAGING MEMBER indirect 2004-02-01 2011-03-30
FOUNTAIN CAPITAL MANAGEMENT LLC CO-MANAGING MEMBER indirect 2004-02-01 2011-03-31
CLARIVEST ASSET MANAGEMENT LLC CO-MANAGING MEMBER indirect 2004-02-01 2012-12-12
MERCER GLOBAL ADVISORS INC. OWNER indirect 2004-02-01 2015-03-24
MERCER GLOBAL ADVISORS INC. DIRECTOR direct 2008-05-01 2015-03-24
LOVELL MINNICK PARTNERS LLC CHAIRMAN direct 2003-11-01 2015-10-22
LOVELL MINNICK PARTNERS LLC MANAGING DIRECTOR indirect 2003-12-01 2016-03-30
LM MATTHEWS HOLDINGS III LLC MEMBER 01/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
LM MATTHEWS HOLDINGS III-A LLC MEMBER 01/01/2011 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC MEMBER direct 2011-01-01
HARTLEY, DAVID, ALEXANDER CHIEF FINANCIAL OFFICER/MEMBER 05/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
INSTITUTIONAL TRUST CO. DIRECTOR direct 1999-01-01
INVESCO GLOBAL ASSET MANAGEMENT N A INC DIRECTOR AND CFO direct 2001-12-01
A I M ADVISORS, INC. CHIEF ACCOUNTING OFFICER AND TREASURER direct 2006-02-01
AIM PRIVATE ASSET MANAGEMENT, INC. CHIEF ACCOUNTING OFFICER AND TREASURER direct 2006-02-01
A I M CAPITAL MANAGEMENT, INC CHIEF ACCOUNTING OFFICER AND TREASURER direct 2006-02-01
A I M DISTRIBUTORS, INC. CHIEF FINANCIAL OFFICER AND TREASURER direct 2006-05-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER/MEMBER direct 2011-05-01
INVESCO PRIVATE CAPITAL INC DIRECTOR direct 2001-12-01 2003-03-24
INVESCO INSTITUTIONAL (N.A.), INC. CFO & DIRECTOR direct 1999-07-01 2009-07-09
INVESCO PRIVATE CAPITAL, INC. DIRECTOR direct 2008-01-01 2011-03-31
VAN KAMPEN ASSET MANAGEMENT TREASURER AND CHIEF FINANCIAL OFFICER direct 2010-06-01 2011-03-31
INVESCO ADVISERS, INC. TREASURER AND CHIEF ACCOUNTING OFFICER direct 2010-01-01 2011-04-14
INVESCO SENIOR SECURED MANAGEMENT INC DIRECTOR direct 2003-10-01 2011-09-29
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2011-05-01 2012-05-04
WHEELER, FRANK, LEE GLOBAL HEAD OF DISTRIBUTION/MEMBER 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC GLOBAL HEAD OF DISTRIBUTION & MARKETING/MEMBER direct 2013-11-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC GLOBAL HEAD OF DISTRIBUTION & MARKETING direct 2013-11-01
NUVEEN INVESTMENTS ADVISERS INC. EXECUTIVE VICE PRESIDENT direct 2011-03-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC GLOBAL HEAD OF DISTRIBUTION/MEMBER direct 2013-11-01
MONROE, DAVID, WALTER GENERAL COUNSEL/SECRETARY/MEMBER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC GENERAL COUNSEL/MEMBER direct 2015-01-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC GENERAL COUNSEL/SECRETARY/MEMBER direct 2015-01-01
NIKKO ASSET MANAGEMENT CO LTD CLO direct 2006-06-01
MORGAN STANLEY ASSET & INVESTMENT TRUST MANAGEMENT CO., LIMITED LEGAL OFFICER & EXECUTIVE DIRECTOR direct 2004-12-01
MOTOHASHI, KATSUNOBU DIRECTOR 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC DIRECTOR direct 2016-02-01
MIZUHO BANK, LTD. MEMBER 02/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC MEMBER direct 2016-02-01
PARKER, TIMOTHY, BRIAN INTERIM GLOBAL HEAD OF RISK AND COMPLIANCE/MEMBER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
DRESDNER RCM GLOBAL INVESTORS US HOLDINGS LLC DIRECTOR OF COMPLIANCE direct 1998-06-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC INTERIM GLOBAL HEAD OF RISK AND COMPLIANCE/MEMBER direct 2016-02-01
DRESDNER RCM GLOBAL INVESTORS LLC DIRECTOR OF COMPLIANCE direct 1998-06-01 2001-03-30
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC GENERAL COUNSEL direct 2005-10-01 2006-03-30
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC GENERAL COUNSEL/MEMBER direct 2005-10-01 2014-03-27
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC DIRECTOR, INTERNATIONAL STRATEGY, PRODUCT AND OPERATIONS/MEMBER direct 2015-03-01 2015-03-27
LOVELL MINNICK HOLDINGS LLC SOLE MANAGING MEMBER LOVELL MINNICK PARTNERS LLC 05/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. MANAGING MEMBER indirect 2011-11-01
LEGEND ADVISORY CORP MANAGING MEMBER indirect 2013-01-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC SOLE MANAGING MEMBER indirect 2008-05-01
WESTCAP INVESTORS LLC SOLE MANAGING MEMBER indirect 2004-02-01
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C SOLE MANAGING MEMBER indirect 2004-02-01
ASSETMARK INVESTMENT SERVICES INC SOLE MANAGING MEMBER OF LOVELL MINNICK PARTNERS LLC indirect 2004-02-01
STONERIDGE INVESTMENT PARTNERS LLC SOLE MANAGING MEMBER indirect 2004-02-01
BROADMARK ASSET MANAGEMENT LLC SOLE MANAGING MEMBER indirect 2004-02-01
FOUNTAIN CAPITAL MANAGEMENT LLC SOLE MANAGING MEMBER indirect 2004-02-01
PHILIPPE INVESTMENT MANAGEMENT, INC SOLE MANAGING MEMBER indirect 2004-02-01
DENALI ADVISORS, LLC SOLE MANAGING MEMBER indirect 2004-02-01
SHENANDOAH ASSET MANAGEMENT, LLC SOLE MANAGING MEMBER indirect 2004-02-01
PIM GESTION FRANCE, SA SOLE MANAGING MEMBER indirect 2004-02-01
DUFF & PHELPS LLC SOLE MANAGING MEMBER indirect 2004-02-01
ATLANTIC ASSET MANAGEMENT, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01
361 CAPITAL LLC SOLE MANAGING MEMBER indirect 2008-09-01
TORTOISE CAPITAL ADVISORS, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01
TORTOISE CAPITAL ADVISORS, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01
TIBER ASSET MANAGEMENT LLC SOLE MANAGING MEMBER indirect 2004-02-01
SPM JR., L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01
BERKELEY CAPITAL MANAGEMENT LLC SOLE MANAGING MEMBER indirect 2004-02-01
SPM III, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01
ALPS ADVISORS, INC. SOLE MANAGING MEMBER indirect 2004-02-01
SPM IV, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01
FIRST ALLIED ADVISORY SERVICES, INC. MANAGING MEMBER indirect 2011-11-01
CLARIVEST ASSET MANAGEMENT LLC SOLE MANAGING MEMBER indirect 2004-02-01
FIRST ALLIED ASSET MANAGEMENT MANAGING MEMBER indirect 2011-11-01
SPM PRIME, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01
SPM PRODUCTS, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01
SPM CREDIT, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01
MERCER GLOBAL ADVISORS INC. SOLE MANAGING MEMBER indirect 2004-02-01
LOVELL MINNICK PARTNERS LLC SOLE MEMBER direct 2003-12-01
LOVELL MINNICK PARTNERS LLC SOLE MANAGING MEMBER FUND III UGP LLC 09/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. MANAGING MEMBER indirect 2011-11-01
LEGEND ADVISORY CORP MANAGING MEMBER indirect 2013-01-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC SOLE MANAGING MEMBER indirect 2008-09-01
WESTCAP INVESTORS LLC SOLE MANAGING MEMBER indirect 2004-02-01
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C SOLE MANAGING MEMBER indirect 2004-02-01
ASSETMARK INVESTMENT SERVICES INC SOLE MANAGING MEMBER OF LOVELL MINNICK EQUITY ADVISORS LLC indirect 2004-02-01
ASSETMARK INVESTMENT SERVICES INC SOLE MANAGING MEMBER OF PUTNAM LOVELL EQUITY ADVISORS LLC indirect 2004-02-01
STONERIDGE INVESTMENT PARTNERS LLC SOLE MANAGING MEMBER indirect 2004-02-01
BROADMARK ASSET MANAGEMENT LLC SOLE MANAGING MEMBER indirect 2004-02-01
FOUNTAIN CAPITAL MANAGEMENT LLC SOLE MANAGING MEMBER indirect 2004-02-01
FOUNTAIN CAPITAL MANAGEMENT LLC SOLE MANAGING MEMBER indirect 2004-02-01
PHILIPPE INVESTMENT MANAGEMENT, INC SOLE MANAGING MEMBER indirect 2004-02-01
PHILIPPE INVESTMENT MANAGEMENT, INC SOLE MANAGING MEMBER indirect 2004-02-01
DENALI ADVISORS, LLC SOLE MANAGING MEMBER indirect 2004-02-01
SHENANDOAH ASSET MANAGEMENT, LLC SOLE MANAGING MEMBER indirect 2004-02-01
PIM GESTION FRANCE, SA SOLE MANAGING MEMBER indirect 2004-02-01
DUFF & PHELPS LLC SOLE MANAGING MEMBER indirect 2004-02-01
ATLANTIC ASSET MANAGEMENT, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01
ATLANTIC ASSET MANAGEMENT, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP SOLE MANAGING MEMBER OF HIGHCREST CAPITAL PARTNERS LLC indirect 2004-02-01
361 CAPITAL LLC SOLE MANAGING MEMBER indirect 2008-09-01
TORTOISE CAPITAL ADVISORS, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01
TORTOISE CAPITAL ADVISORS, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01
TIBER ASSET MANAGEMENT LLC MANAGING MEMBER indirect 2004-02-01
SPM JR., L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01
BERKELEY CAPITAL MANAGEMENT LLC SOLE MANAGING MEMBER indirect 2004-02-01
BERKELEY CAPITAL MANAGEMENT LLC SOLE MANAGING MEMBER indirect 2004-02-01
SPM III, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01
ALPS ADVISORS, INC. SOLE MANAGING MEMBER indirect 2004-02-01
SPM IV, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01
FIRST ALLIED ADVISORY SERVICES, INC. MANAGING MEMBER indirect 2011-11-01
CLARIVEST ASSET MANAGEMENT LLC SOLE MANAGING MEMBER indirect 2003-10-01
FIRST ALLIED ASSET MANAGEMENT MANAGING MEMBER indirect 2011-11-01
SPM PRIME, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01
SPM PRODUCTS, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01
SPM CREDIT, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01
MERCER GLOBAL ADVISORS INC. SOLE MANAGING MEMBER indirect 2004-02-01
CSIM INVESTMENT MANAGEMENT LLC OWNER indirect 2014-01-01
FUND III UGP LLC SOLE GENERAL PARTNER LOVELL MINNICK EQUITY ADVISORS III LP 09/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. GENERAL PARTNER indirect 2011-11-01
LEGEND ADVISORY CORP GENERAL PARTNER indirect 2013-01-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC SOLE GENERAL PARTNER indirect 2008-09-01
361 CAPITAL LLC SOLE GENERAL PARTNER indirect 2008-09-01
FIRST ALLIED ADVISORY SERVICES, INC. GENERAL PARTNER indirect 2011-11-01
FIRST ALLIED ASSET MANAGEMENT GENERAL PARTNER indirect 2011-11-01
LOVELL MINNICK EQUITY ADVISORS III LP SOLE GENERAL PARTNER LMEP III LP AND LMEP III-A LP 01/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. GENERAL PARTNER indirect 2011-11-01
FIRST ALLIED SECURITIES, INC. GENERAL PARTNER indirect 2011-11-01
FIRST ALLIED SECURITIES, INC. GENERAL PARTNER indirect 2011-11-01
LEGEND ADVISORY CORP GENERAL PARTNER indirect 2013-01-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC SOLE GENERAL PARTNER indirect 2011-01-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC SOLE GENERAL PARTNER indirect 2011-01-01
361 CAPITAL LLC SOLE GENERAL PARTNER indirect 2011-01-01
361 CAPITAL LLC SOLE GENERAL PARTNER indirect 2011-01-01
361 CAPITAL LLC SOLE GENERAL PARTNER indirect 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. GENERAL PARTNER indirect 2011-11-01
FIRST ALLIED ADVISORY SERVICES, INC. GENERAL PARTNER indirect 2011-11-01
FIRST ALLIED ASSET MANAGEMENT GENERAL PARTNER indirect 2011-11-01
FIRST ALLIED ASSET MANAGEMENT GENERAL PARTNER indirect 2011-11-01
LMEP III LP SOLE MANAGING MEMBER LM MATTHEWS HOLDINGS III LLC 01/01/2011 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. SHAREHOLDER indirect 2011-11-01
LEGEND ADVISORY CORP SHAREHOLDER indirect 2013-01-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC SOLE MANAGING MEMBER indirect 2011-01-01
361 CAPITAL LLC MEMBER direct 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. SHAREHOLDER indirect 2011-11-01
FIRST ALLIED ASSET MANAGEMENT SHAREHOLDER indirect 2011-11-01
MERCER GLOBAL ADVISORS INC. SHAREHOLDER indirect 2016-08-01
LMEP III-A LP SOLE SHAREHOLDER MICM INVESTMENT HOLDINGS INC. 01/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. SHAREHOLDER indirect 2011-11-01
LEGEND ADVISORY CORP SHAREHOLDER indirect 2013-01-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2011-01-01
361 CAPITAL LLC OWNER indirect 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. SHAREHOLDER indirect 2011-11-01
FIRST ALLIED ASSET MANAGEMENT SHAREHOLDER indirect 2011-11-01
MICM INVESTMENT HOLDINGS INC. SOLE LIMITED PARTNER MICM INVESTMENT PARTNERSHIP LP 01/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC SOLE LIMITED PARTNER indirect 2011-01-01
MICM INVESTMENT PARTNERSHIP LP SOLE MANAGING MEMBER LM MATTHEWS HOLDINGS III-A LLC 01/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC SOLE MANAGING MEMBER indirect 2011-01-01
LOVELL MINNICK EQUITY ADVISOR III LP SOLE GENERAL PARTNER MICM INVESTMENT PARTNERSHIP LP 01/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. GENERAL PARTNER indirect 2011-11-01
FIRST ALLIED SECURITIES, INC. GENERAL PARTNER indirect 2011-11-01
FIRST ALLIED SECURITIES, INC. GENERAL PARTNER indirect 2011-11-01
LEGEND ADVISORY CORP GENERAL PARTNER indirect 2013-01-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC SOLE GENERAL PARTNER indirect 2011-01-01
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC SOLE GENERAL PARTNER indirect 2011-01-01
361 CAPITAL LLC SOLE GENERAL PARTNER indirect 2011-01-01
361 CAPITAL LLC SOLE GENERAL PARTNER indirect 2011-01-01
361 CAPITAL LLC SOLE GENERAL PARTNER indirect 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. GENERAL PARTNER indirect 2011-11-01
FIRST ALLIED ADVISORY SERVICES, INC. GENERAL PARTNER indirect 2011-11-01
FIRST ALLIED ASSET MANAGEMENT GENERAL PARTNER indirect 2011-11-01
FIRST ALLIED ASSET MANAGEMENT GENERAL PARTNER indirect 2011-11-01
ROYAL BANK OF CANADA PARENT RBC USA HOLDCO CORPORATION 11/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC PARENT indirect 2015-11-01
MIZUHO FINANCIAL GROUP, INC. PARENT MIZUHO BANK, LTD. 02/01/2016 Indirect 75% or more

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
MATTHEWS ASIAN SELECTIONS FUNDS PLC Ireland 805-7250114081 Other Private Fund IRISH OPEN-ENDED INVESTMENT COMPANY FOR QUALIFIED INVESTOR 802,679,866 100,000
MATTHEWS ASIA FUNDS-ASIA DIVIDEND FUND Luxembourg 805-5105152723 Other Private Fund INVESTMENT COMPANY WITH VARIABLE CAPITAL (SICAV) UNDERTAKING FOR COLLECTIVE INVESTMENTS IN TRANSFERABLE SECURITIES (UCITS) 373,423,050 5,000,000

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