NATIONAL ASSET MANAGEMENT, INC.

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National Asset Management is based out of New York. National Asset Management is a hedge fund with 7804 clients and discretionary assets under management (AUM) of $2,340,000,000 (Form ADV from 2018-09-01). Their last reported 13F filing for Q2 2020 included $1,497,194,000 in managed 13F securities and a top 10 holdings concentration of 17.98%. National Asset Management's largest holding is Apple Inc with shares held of 115,475. Whalewisdom has at least 51 13F filings

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06/30/2020

13F Activity

  • Market Value $1.497 Billion
  • Prior Market Value $1.172 Billion
  • New Purchases134 stocks
  • Additional Purchases337 stocks
  • Sold out of63 stocks
  • Reduced holdings in369 stocks
  • Top 10 Holdings % 17.98 %
  • Turnover % [1]:22.85%
  • Turnover Alt % [2]: 15.18 %
  • Time Held Top20:9.25 quarters
  • Time Held Top10:10.60 quarters
  • Time Held All:12.39 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: 21.42%
Performance Last 4 Quarters: 3.35%
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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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

NATIONAL ASSET MANAGEMENT, INC.
Classified as Hedge Fund
ONE UNION SQUARE 600 UNIVERSITY STREET SUITE 2900
SEATTLE WA    98101
Country: United States

Business Phone: 206-343-6238
Fax: 206-388-5067
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: WA
Number of employees: 268
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,Performance-based fees,CARRIED INTEREST
Amount of client funds and securities: 505,000,000
Total Number of Clients: 7804
Amount of client funds and securities by related persons: 478,000,000
Total Number of clients from related persons: 33
Disclosures: 11.A (2),11.C (1),11.C (2),11.C (4),11.C (5),11.D (2),11.D (4),11.D (5),11.E (1),11.E (2),11.E (4),11.H (2)
Data above was derived from SEC filings.

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NATIONAL ASSET MANAGEMENT, INC.

ownership team - last updated 2020-06-23
Name Title Start Date Direct/Indirect % Ownership
NATIONAL HOLDINGS CORPORATION PARENT COMPANY 03/01/0008 Direct 75% or more
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. PARENT COMPANY direct 0008-03-03
NATIONAL ASSET MANAGEMENT, INC. PARENT NATIONAL SECURITIES CORPORATION indirect 1994-07-01
WORMAN, GLENN, CHARLES DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERRILL LYNCH INVESTMENT MANAGERS LP HEAD OF BUSINESS FINANCE direct 2004-03-01
FUND ASSET MANAGEMENT LP HEAD OF BUSINESS FINANCE direct 2004-03-01
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2016-07-01
NATIONAL ASSET MANAGEMENT, INC. SECRETARY direct 2016-10-01
KOWALCZYK, THOMAS, DAVID CHIEF EXECUTIVE OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SYMETRA INVESTMENT SERVICES, INC. VICE PRESIDENT, DIRECTOR OF ADVISORY SERVICES direct 2012-03-01
NATIONAL ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT direct 2017-07-01
WFG ADVISORS, LP SENIOR VICE PRESIDENT direct 2014-03-01
WATSON, NATALIA, TOVAR TREASURER 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. TREASURER direct 2016-10-01
MULLEN, MICHAEL, ANTHONY DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2017-01-01
KOENIGSBERG, JOHN, A DIRECTOR OF OPERATIONS 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR OF OPERATIONS direct 2017-05-01
FIRST MONTAUK SECURITIES CORP. CHIEF OPERATIONS OFFICER direct 1999-06-01 2002-04-01
FIRST MONTAUK SECURITIES CORP. VICE PRESIDENT OPERATIONS direct 1999-06-01 2002-10-22
DESENA, JOHN, CHARLES SECRETARY 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SECRETARY direct 2017-12-01
MULLEN, MICHAEL, ANTHONY EXECUTIVE CHAIRMAN 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2017-01-01
GROENEVELD, WILLIAM, LAWRENCE VICE PRESIDENT 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VFINANCE ADVISORS, INC. DIRECTOR direct 2008-09-01
KAPLAN, HENRY, EDWARD PRESIDENT & CHIEF OPERATING OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. PRESIDENT & CHIEF OPERATING OFFICER direct 2018-07-01
NATIONAL PRIVATE SHARES, INC. PRESIDENT & CHIEF OPERATING OFFICER direct 2018-10-01
CHAFFEE, HAROLD, GERARD CHIEF COMPLIANCE OFFICER 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRIAD ADVISORS, INC. VICE PRESIDENT direct 2001-10-01 2001-12-05
TRIAD ADVISORS, INC. VICE PRESIDENT/MUNI PRINCIPAL/OPTIONS PINCIPAL/ COMPLIANCE OFFICER direct 2001-10-01 2004-10-27
TRIAD ADVISORS, INC. VICE PRESIDENT/CCO/MUNI PRINCIPAL/OPTIONS PINCIPAL/ COMPLIANCE OFFICER direct 2001-10-01 2006-04-07
TRIAD ADVISORS, INC. VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/MUNI PRINCIPAL/OPTIONS PINCIPAL/ COMPLIANCE OFFICER direct 2001-10-01 2008-03-28
KOWALCZYK, THOMAS, DAVID DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SYMETRA INVESTMENT SERVICES, INC. VICE PRESIDENT, DIRECTOR OF ADVISORY SERVICES direct 2012-03-01
NATIONAL ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT direct 2017-07-01
WFG ADVISORS, LP SENIOR VICE PRESIDENT direct 2014-03-01
ORTEGA, DANIEL CHIEF SUPERVISORY OFFICER 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. CHIEF SUPERVISORY OFFICER direct 2019-04-01
NATIONAL PRIVATE SHARES, INC. CHIEF SUPERVISORY OFFICER direct 2019-04-01
B.RILEY FINANCIAL, INC SHAREHOLDER ( COMMON STOCK) NATIONAL HOLDINGS CORPORATION 02/01/2019 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SHAREHOLDER ( COMMON STOCK) indirect 2019-02-01
NHC HOLDINGS LLC SHAREHOLDER (COMMON STOCK) NATIONAL HOLDINGS CORPORATION 02/01/2019 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SHAREHOLDER (COMMON STOCK) indirect 2019-02-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NAM SPECIAL SITUATIONS FUND I QP LLC SERIES I PALANTIR United States 805-2266755907 Private Equity Fund 4,433,216 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC LYFT SERIES IV United States 805-3455823648 Private Equity Fund 5,954,058 25,000
INNOVATION X HOLDINGS III LLC United States 805-8606313906 Private Equity Fund 1,935,000 25,000
INNOVATION X QP, LLC. SERIES 2018-2 (PINTEREST) United States 805-2966432620 Private Equity Fund 73,403,857 25,000
INNOVATION X HOLDINGS QP, LLC SERIES 2019-1 United States 805-2593013248 Private Equity Fund 40,885,528 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC SERIES F1 United States 805-6826191186 Private Equity Fund 10,966,800 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC SERIES 2018-6 United States 805-6081680487 Private Equity Fund 20,686,006 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC LYFT SERIES V United States 805-6616661732 Private Equity Fund 41,101,915 25,000
INNOVATION X HOLDINGS II LLC SERIES 2018-5 United States 805-8674460828 Private Equity Fund 8,617,992 25,000
NSC BIOTECH OPPORTUNITIES QP FUND, LLC (SERIES I) United States 805-2523754364 Private Equity Fund 16,962,273 100,000
INNOVATION X HOLDINGS II, LLC SERIES 2018-2(PINTEREST) United States 805-2522256194 Private Equity Fund 9,669,411 25,000
NAM SPECIAL SITUATIONS FUND V LLC SLACK SERIES I United States 805-3742994906 Private Equity Fund 4,194,000 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES I) United States 805-8500858152 Private Equity Fund 20,196,947 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES I United States 805-1425985459 Private Equity Fund 16,069,351 25,000
INNOVATION X QP LLC (LYFT SERIES IV) United States 805-2818582257 Private Equity Fund 0 25,000
INNOVATION X QP LLC SERIES I MAGIC LEAP United States 805-7601403023 Private Equity Fund 11,381,674 25,000
POWERMAT PARTNERS, LLC United States 805-7413447054 Private Equity Fund 4,099,016 100,000
NAM SPECIAL SITUATIONS FUND I, LLC (LYFT SERIES I) United States 805-7709200735 Private Equity Fund 18,766,730 25,000
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES III) United States 805-6502441089 Private Equity Fund 0 25,000
NAM SPECIAL SITUATIONS FUND IV, LLC WUP SERIES I United States 805-4972939079 Private Equity Fund 4,511,975 25,000
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES I) United States 805-3755794165 Private Equity Fund 0 25,000
INNOVATION X HOLDINGS, LLC (LYFT SERIES II) United States 805-1035142942 Private Equity Fund 5,742,337 25,000
NAM BIOTECH FUND II, LLC SERIES I United States 805-2477144111 Private Equity Fund 12,276,036 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC SERIES II PALANTIR United States 805-4261680387 Private Equity Fund 13,864,387 25,000
TRUNCATUS HOLDINGS QP LLC United States 805-1963910028 Private Equity Fund 26,330 77,200
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES II) United States 805-3659201726 Private Equity Fund 17,032,507 25,000
NAM SPECIAL SITUATIONS FUND II, LLC PALANTIR SERIES I United States 805-8299585200 Private Equity Fund 10,032,826 25,000
INNOVATION X QP LLC SERIES 2018-3(SPACE X) United States 805-4235240854 Private Equity Fund 9,846,089 25,000
TRUNCATUS HOLDINGS LLC United States 805-2987699435 Private Equity Fund 36,429 77,200
INNOVATION X HOLDINGS QP, LLC - SLACK SERIES I United States 805-6409290564 Private Equity Fund 10,673,693 25,000
INNOVATION X HOLDINGS, LLC (LYFT SERIES I) United States 805-2695392989 Private Equity Fund 0 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES III) United States 805-1635694450 Private Equity Fund 24,882,519 25,000
NSC BIOTECH OPPORTUNITIES FUND, LLC (SERIES I) United States 805-3719789214 Private Equity Fund 5,182,435 100,000
NAM SPECIAL SITUATIONS FUND VI, LLC (SERIES VI) United States 805-7408196133 Private Equity Fund 6,187,210 25,000
INNOVATION X QP LLC SERIES 2018-4 (LYFT) United States 805-4059398272 Private Equity Fund 21,671,100 25,000
INNOVATION X HOLDINGS QP, LLC - PALANTIR SERIES I United States 805-9507894959 Private Equity Fund 22,117,652 25,000
INNOVATION X HOLDINGS QP, LLC SERIES 2019-2 United States 805-6575482730 Private Equity Fund 55,000 50,000
INNOVATION X HOLDINGS QP, LLC SERIES 2018-6 United States 805-3293570183 Private Equity Fund 34,056,740 25,000
INNOVATION X HOLDINGS QP, LLC SERIES 2018-5 United States 805-4843155407 Private Equity Fund 93,667,518 25,000
INNOVATION X HOLDINGS QP, LLC SERIES 2019-5 United States 805-6330022229 Private Equity Fund 21,460,500 25,000
INNOVATION X HOLDINGS QP, LLC SERIES 2018-6B United States 805-5757059106 Private Equity Fund 22,210,159 25,000
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES II) United States 805-3635568056 Private Equity Fund 0 25,000
NAM SPECIAL SITUATIONS FUND III, LLC MAGIC LEAP SERIES 1 United States 805-4766888024 Private Equity Fund 7,750,957 25,000

NATIONAL ASSET MANAGEMENT, INC.

ownership team - last updated 2020-02-11
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
INNOVATION X HOLDINGS QP, LLC SERIES 2018-6 United States 805-3293570183 Private Equity Fund 34,056,740 25,000
INNOVATION X HOLDINGS QP, LLC SERIES 2018-5 United States 805-4843155407 Private Equity Fund 93,667,518 25,000
INNOVATION X HOLDINGS QP, LLC SERIES 2019-5 United States 805-6330022229 Private Equity Fund 21,460,500 25,000
INNOVATION X HOLDINGS QP, LLC SERIES 2019-2 United States 805-6575482730 Private Equity Fund 55,000 50,000
INNOVATION X HOLDINGS QP, LLC SERIES 2018-6B United States 805-5757059106 Private Equity Fund 22,210,159 25,000
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES II) United States 805-3635568056 Private Equity Fund 0 25,000
NAM SPECIAL SITUATIONS FUND III, LLC MAGIC LEAP SERIES 1 United States 805-4766888024 Private Equity Fund 7,750,957 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC SERIES I PALANTIR United States 805-2266755907 Private Equity Fund 4,433,216 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC LYFT SERIES IV United States 805-3455823648 Private Equity Fund 5,954,058 25,000
INNOVATION X HOLDINGS III LLC United States 805-8606313906 Private Equity Fund 1,935,000 25,000
INNOVATION X QP, LLC. SERIES 2018-2 (PINTEREST) United States 805-2966432620 Private Equity Fund 73,403,857 25,000
INNOVATION X HOLDINGS QP, LLC SERIES 2019-1 United States 805-2593013248 Private Equity Fund 40,885,528 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC SERIES F1 United States 805-6826191186 Private Equity Fund 10,966,800 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC SERIES 2018-6 United States 805-6081680487 Private Equity Fund 20,686,006 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC LYFT SERIES V United States 805-6616661732 Private Equity Fund 41,101,915 25,000
INNOVATION X HOLDINGS II LLC SERIES 2018-5 United States 805-8674460828 Private Equity Fund 8,617,992 25,000
NSC BIOTECH OPPORTUNITIES QP FUND, LLC (SERIES I) United States 805-2523754364 Private Equity Fund 16,962,273 100,000
INNOVATION X HOLDINGS II, LLC SERIES 2018-2(PINTEREST) United States 805-2522256194 Private Equity Fund 9,669,411 25,000
NAM SPECIAL SITUATIONS FUND V LLC SLACK SERIES I United States 805-3742994906 Private Equity Fund 4,194,000 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES I) United States 805-8500858152 Private Equity Fund 20,196,947 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES I United States 805-1425985459 Private Equity Fund 16,069,351 25,000
INNOVATION X QP LLC SERIES I MAGIC LEAP United States 805-7601403023 Private Equity Fund 11,381,674 25,000
POWERMAT PARTNERS, LLC United States 805-7413447054 Private Equity Fund 4,099,016 100,000
NAM SPECIAL SITUATIONS FUND I, LLC (LYFT SERIES I) United States 805-7709200735 Private Equity Fund 18,766,730 25,000
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES III) United States 805-6502441089 Private Equity Fund 0 25,000
NAM SPECIAL SITUATIONS FUND IV, LLC WUP SERIES I United States 805-4972939079 Private Equity Fund 4,511,975 25,000
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES I) United States 805-3755794165 Private Equity Fund 0 25,000
INNOVATION X HOLDINGS, LLC (LYFT SERIES II) United States 805-1035142942 Private Equity Fund 5,742,337 25,000
NAM BIOTECH FUND II, LLC SERIES I United States 805-2477144111 Private Equity Fund 12,276,036 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC SERIES II PALANTIR United States 805-4261680387 Private Equity Fund 13,864,387 25,000
TRUNCATUS HOLDINGS QP LLC United States 805-1963910028 Private Equity Fund 26,330 77,200
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES II) United States 805-3659201726 Private Equity Fund 17,032,507 25,000
INNOVATION X QP LLC SERIES 2018-3(SPACE X) United States 805-4235240854 Private Equity Fund 9,846,089 25,000
NSC BIOTECH OPPORTUNITIES FUND, LLC (SERIES I) United States 805-3719789214 Private Equity Fund 5,182,435 100,000
NAM SPECIAL SITUATIONS FUND VI, LLC (SERIES VI) United States 805-7408196133 Private Equity Fund 6,187,210 25,000
INNOVATION X QP LLC SERIES 2018-4 (LYFT) United States 805-4059398272 Private Equity Fund 21,671,100 25,000
INNOVATION X HOLDINGS QP, LLC - PALANTIR SERIES I United States 805-9507894959 Private Equity Fund 22,117,652 25,000
NAM SPECIAL SITUATIONS FUND II, LLC PALANTIR SERIES I United States 805-8299585200 Private Equity Fund 10,032,826 25,000
TRUNCATUS HOLDINGS LLC United States 805-2987699435 Private Equity Fund 36,429 77,200
INNOVATION X HOLDINGS QP, LLC - SLACK SERIES I United States 805-6409290564 Private Equity Fund 10,673,693 25,000
INNOVATION X HOLDINGS, LLC (LYFT SERIES I) United States 805-2695392989 Private Equity Fund 0 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES III) United States 805-1635694450 Private Equity Fund 24,882,519 25,000
INNOVATION X QP LLC (LYFT SERIES IV) United States 805-2818582257 Private Equity Fund 0 25,000

NATIONAL ASSET MANAGEMENT, INC.

ownership team - last updated 2019-12-24
Name Title Start Date Direct/Indirect % Ownership
NATIONAL HOLDINGS CORPORATION PARENT COMPANY 03/01/0008 Direct 75% or more
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. PARENT COMPANY direct 0008-03-03
NATIONAL ASSET MANAGEMENT, INC. PARENT NATIONAL SECURITIES CORPORATION indirect 1994-07-01
WORMAN, GLENN, CHARLES DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERRILL LYNCH INVESTMENT MANAGERS LP HEAD OF BUSINESS FINANCE direct 2004-03-01
FUND ASSET MANAGEMENT LP HEAD OF BUSINESS FINANCE direct 2004-03-01
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2016-07-01
NATIONAL ASSET MANAGEMENT, INC. SECRETARY direct 2016-10-01
WATSON, NATALIA, TOVAR TREASURER 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. TREASURER direct 2016-10-01
MULLEN, MICHAEL, ANTHONY DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2017-01-01
KOENIGSBERG, JOHN, A DIRECTOR OF OPERATIONS 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR OF OPERATIONS direct 2017-05-01
FIRST MONTAUK SECURITIES CORP. CHIEF OPERATIONS OFFICER direct 1999-06-01 2002-04-01
FIRST MONTAUK SECURITIES CORP. VICE PRESIDENT OPERATIONS direct 1999-06-01 2002-10-22
KOWALCZYK, THOMAS, DAVID CHIEF EXECUTIVE OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SYMETRA INVESTMENT SERVICES, INC. VICE PRESIDENT, DIRECTOR OF ADVISORY SERVICES direct 2012-03-01
NATIONAL ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT direct 2017-07-01
WFG ADVISORS, LP SENIOR VICE PRESIDENT direct 2014-03-01
DESENA, JOHN, CHARLES SECRETARY 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SECRETARY direct 2017-12-01
MULLEN, MICHAEL, ANTHONY EXECUTIVE CHAIRMAN 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2017-01-01
GROENEVELD, WILLIAM, LAWRENCE VICE PRESIDENT 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VFINANCE ADVISORS, INC. DIRECTOR direct 2008-09-01
KAPLAN, HENRY, EDWARD PRESIDENT & CHIEF OPERATING OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. PRESIDENT & CHIEF OPERATING OFFICER direct 2018-07-01
NATIONAL PRIVATE SHARES, INC. PRESIDENT & CHIEF OPERATING OFFICER direct 2018-10-01
CHAFFEE, HAROLD, GERARD CHIEF COMPLIANCE OFFICER 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRIAD ADVISORS, INC. VICE PRESIDENT direct 2001-10-01 2001-12-05
TRIAD ADVISORS, INC. VICE PRESIDENT/MUNI PRINCIPAL/OPTIONS PINCIPAL/ COMPLIANCE OFFICER direct 2001-10-01 2004-10-27
TRIAD ADVISORS, INC. VICE PRESIDENT/CCO/MUNI PRINCIPAL/OPTIONS PINCIPAL/ COMPLIANCE OFFICER direct 2001-10-01 2006-04-07
TRIAD ADVISORS, INC. VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/MUNI PRINCIPAL/OPTIONS PINCIPAL/ COMPLIANCE OFFICER direct 2001-10-01 2008-03-28
KOWALCZYK, THOMAS, DAVID DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SYMETRA INVESTMENT SERVICES, INC. VICE PRESIDENT, DIRECTOR OF ADVISORY SERVICES direct 2012-03-01
NATIONAL ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT direct 2017-07-01
WFG ADVISORS, LP SENIOR VICE PRESIDENT direct 2014-03-01
RUNKLE, DONALD, KENNETH CHIEF REGULATORY OFFICER 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2004-06-01
RAYMOND JAMES FINANCIAL SERVICES, INC. VICE PRESIDENT direct 1999-07-01 2004-02-26
RAYMOND JAMES FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER/SROP/CROP direct 2004-06-01 2005-01-03
RAYMOND JAMES FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER/SROP direct 2004-06-01 2006-03-17
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CHIEF COMPLIANCE OFFICER direct 2004-06-01 2012-11-21
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CHIEF COMPLIANCE OFFICER/RJFS direct 2004-06-01 2013-08-30
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC RJFS COMPLIANCE OFFICER IN CHIEF direct 2004-06-01 2014-04-01
ORTEGA, DANIEL CHIEF SUPERVISORY OFFICER 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. CHIEF SUPERVISORY OFFICER direct 2019-04-01
NATIONAL PRIVATE SHARES, INC. CHIEF SUPERVISORY OFFICER direct 2019-04-01
B.RILEY FINANCIAL, INC SHAREHOLDER ( COMMON STOCK) NATIONAL HOLDINGS CORPORATION 02/01/2019 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SHAREHOLDER ( COMMON STOCK) indirect 2019-02-01
NHC HOLDINGS LLC SHAREHOLDER (COMMON STOCK) NATIONAL HOLDINGS CORPORATION 02/01/2019 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SHAREHOLDER (COMMON STOCK) indirect 2019-02-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
INNOVATION X HOLDINGS QP, LLC SERIES 2018-6 United States 805-3293570183 Private Equity Fund 34,056,740 25,000
INNOVATION X HOLDINGS QP, LLC SERIES 2018-5 United States 805-4843155407 Private Equity Fund 93,667,518 25,000
INNOVATION X HOLDINGS QP, LLC SERIES 2019-5 United States 805-6330022229 Private Equity Fund 21,460,500 25,000
INNOVATION X HOLDINGS QP, LLC SERIES 2019-2 United States 805-6575482730 Private Equity Fund 55,000 50,000
INNOVATION X HOLDINGS QP, LLC SERIES 2018-6B United States 805-5757059106 Private Equity Fund 22,210,159 25,000
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES II) United States 805-3635568056 Private Equity Fund 0 25,000
NAM SPECIAL SITUATIONS FUND IV, LLC WUP SERIES I United States 805-4972939079 Private Equity Fund 4,511,975 25,000
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES I) United States 805-3755794165 Private Equity Fund 0 25,000
INNOVATION X HOLDINGS, LLC (LYFT SERIES II) United States 805-1035142942 Private Equity Fund 5,742,337 25,000
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES III) United States 805-6502441089 Private Equity Fund 0 25,000
NAM BIOTECH FUND II, LLC SERIES I United States 805-2477144111 Private Equity Fund 12,276,036 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC SERIES II PALANTIR United States 805-4261680387 Private Equity Fund 13,864,387 25,000
TRUNCATUS HOLDINGS QP LLC United States 805-1963910028 Private Equity Fund 26,330 77,200
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES II) United States 805-3659201726 Private Equity Fund 17,032,507 25,000
INNOVATION X QP LLC SERIES 2018-3(SPACE X) United States 805-4235240854 Private Equity Fund 9,846,089 25,000
NSC BIOTECH OPPORTUNITIES FUND, LLC (SERIES I) United States 805-3719789214 Private Equity Fund 5,182,435 100,000
NAM SPECIAL SITUATIONS FUND VI, LLC (SERIES VI) United States 805-7408196133 Private Equity Fund 6,187,210 25,000
INNOVATION X QP LLC SERIES 2018-4 (LYFT) United States 805-4059398272 Private Equity Fund 21,671,100 25,000
INNOVATION X HOLDINGS QP, LLC - PALANTIR SERIES I United States 805-9507894959 Private Equity Fund 22,117,652 25,000
TRUNCATUS HOLDINGS LLC United States 805-2987699435 Private Equity Fund 36,429 77,200
INNOVATION X HOLDINGS QP, LLC - SLACK SERIES I United States 805-6409290564 Private Equity Fund 10,673,693 25,000
INNOVATION X HOLDINGS, LLC (LYFT SERIES I) United States 805-2695392989 Private Equity Fund 0 25,000
NAM SPECIAL SITUATIONS FUND II, LLC PALANTIR SERIES I United States 805-8299585200 Private Equity Fund 10,032,826 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES III) United States 805-1635694450 Private Equity Fund 24,882,519 25,000
INNOVATION X QP LLC (LYFT SERIES IV) United States 805-2818582257 Private Equity Fund 0 25,000
NSC BIOTECH OPPORTUNITIES QP FUND, LLC (SERIES I) United States 805-2523754364 Private Equity Fund 16,962,273 100,000
INNOVATION X HOLDINGS II, LLC SERIES 2018-2(PINTEREST) United States 805-2522256194 Private Equity Fund 9,669,411 25,000
NAM SPECIAL SITUATIONS FUND V LLC SLACK SERIES I United States 805-3742994906 Private Equity Fund 4,194,000 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES I) United States 805-8500858152 Private Equity Fund 20,196,947 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC LYFT SERIES V United States 805-6616661732 Private Equity Fund 41,101,915 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES I United States 805-1425985459 Private Equity Fund 16,069,351 25,000
INNOVATION X QP LLC SERIES I MAGIC LEAP United States 805-7601403023 Private Equity Fund 11,381,674 25,000
POWERMAT PARTNERS, LLC United States 805-7413447054 Private Equity Fund 4,099,016 100,000
NAM SPECIAL SITUATIONS FUND I, LLC (LYFT SERIES I) United States 805-7709200735 Private Equity Fund 18,766,730 25,000
NAM SPECIAL SITUATIONS FUND III, LLC MAGIC LEAP SERIES 1 United States 805-4766888024 Private Equity Fund 7,750,957 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC SERIES I PALANTIR United States 805-2266755907 Private Equity Fund 4,433,216 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC LYFT SERIES IV United States 805-3455823648 Private Equity Fund 5,954,058 25,000
INNOVATION X HOLDINGS III LLC United States 805-8606313906 Private Equity Fund 1,935,000 25,000
INNOVATION X QP, LLC. SERIES 2018-2 (PINTEREST) United States 805-2966432620 Private Equity Fund 73,403,857 25,000
INNOVATION X HOLDINGS QP, LLC SERIES 2019-1 United States 805-2593013248 Private Equity Fund 40,885,528 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC SERIES F1 United States 805-6826191186 Private Equity Fund 10,966,800 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC SERIES 2018-6 United States 805-6081680487 Private Equity Fund 20,686,006 25,000
INNOVATION X HOLDINGS II LLC SERIES 2018-5 United States 805-8674460828 Private Equity Fund 8,617,992 25,000

NATIONAL ASSET MANAGEMENT, INC.

ownership team - last updated 2019-09-06
Name Title Start Date Direct/Indirect % Ownership
NATIONAL HOLDINGS CORPORATION PARENT COMPANY 03/01/0008 Direct 75% or more
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. PARENT COMPANY direct 0008-03-03
NATIONAL ASSET MANAGEMENT, INC. PARENT NATIONAL SECURITIES CORPORATION indirect 1994-07-01
WORMAN, GLENN, CHARLES DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERRILL LYNCH INVESTMENT MANAGERS LP HEAD OF BUSINESS FINANCE direct 2004-03-01
FUND ASSET MANAGEMENT LP HEAD OF BUSINESS FINANCE direct 2004-03-01
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2016-07-01
NATIONAL ASSET MANAGEMENT, INC. SECRETARY direct 2016-10-01
WATSON, NATALIA, TOVAR TREASURER 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. TREASURER direct 2016-10-01
MULLEN, MICHAEL, ANTHONY DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2017-01-01
KOENIGSBERG, JOHN, A DIRECTOR OF OPERATIONS 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR OF OPERATIONS direct 2017-05-01
FIRST MONTAUK SECURITIES CORP. CHIEF OPERATIONS OFFICER direct 1999-06-01 2002-04-01
FIRST MONTAUK SECURITIES CORP. VICE PRESIDENT OPERATIONS direct 1999-06-01 2002-10-22
KOWALCZYK, THOMAS, DAVID CHIEF EXECUTIVE OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SYMETRA INVESTMENT SERVICES, INC. VICE PRESIDENT, DIRECTOR OF ADVISORY SERVICES direct 2012-03-01
NATIONAL ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT direct 2017-07-01
WFG ADVISORS, LP SENIOR VICE PRESIDENT direct 2014-03-01
DESENA, JOHN, CHARLES SECRETARY 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SECRETARY direct 2017-12-01
MULLEN, MICHAEL, ANTHONY EXECUTIVE CHAIRMAN 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2017-01-01
GROENEVELD, WILLIAM, LAWRENCE VICE PRESIDENT 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VFINANCE ADVISORS, INC. DIRECTOR direct 2008-09-01
KAPLAN, HENRY, EDWARD PRESIDENT & CHIEF OPERATING OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. PRESIDENT & CHIEF OPERATING OFFICER direct 2018-07-01
NATIONAL PRIVATE SHARES, INC. PRESIDENT & CHIEF OPERATING OFFICER direct 2018-10-01
CHAFFEE, HAROLD, GERARD CHIEF COMPLIANCE OFFICER 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRIAD ADVISORS, INC. VICE PRESIDENT direct 2001-10-01 2001-12-05
TRIAD ADVISORS, INC. VICE PRESIDENT/MUNI PRINCIPAL/OPTIONS PINCIPAL/ COMPLIANCE OFFICER direct 2001-10-01 2004-10-27
TRIAD ADVISORS, INC. VICE PRESIDENT/CCO/MUNI PRINCIPAL/OPTIONS PINCIPAL/ COMPLIANCE OFFICER direct 2001-10-01 2006-04-07
TRIAD ADVISORS, INC. VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/MUNI PRINCIPAL/OPTIONS PINCIPAL/ COMPLIANCE OFFICER direct 2001-10-01 2008-03-28
KOWALCZYK, THOMAS, DAVID DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SYMETRA INVESTMENT SERVICES, INC. VICE PRESIDENT, DIRECTOR OF ADVISORY SERVICES direct 2012-03-01
NATIONAL ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT direct 2017-07-01
WFG ADVISORS, LP SENIOR VICE PRESIDENT direct 2014-03-01
RUNKLE, DONALD, KENNETH CHIEF REGULATORY OFFICER 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2004-06-01
RAYMOND JAMES FINANCIAL SERVICES, INC. VICE PRESIDENT direct 1999-07-01 2004-02-26
RAYMOND JAMES FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER/SROP/CROP direct 2004-06-01 2005-01-03
RAYMOND JAMES FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER/SROP direct 2004-06-01 2006-03-17
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CHIEF COMPLIANCE OFFICER direct 2004-06-01 2012-11-21
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CHIEF COMPLIANCE OFFICER/RJFS direct 2004-06-01 2013-08-30
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC RJFS COMPLIANCE OFFICER IN CHIEF direct 2004-06-01 2014-04-01
ORTEGA, DANIEL CHIEF SUPERVISORY OFFICER 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. CHIEF SUPERVISORY OFFICER direct 2019-04-01
NATIONAL PRIVATE SHARES, INC. CHIEF SUPERVISORY OFFICER direct 2019-04-01
B.RILEY FINANCIAL, INC SHAREHOLDER ( COMMON STOCK) NATIONAL HOLDINGS CORPORATION 02/01/2019 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SHAREHOLDER ( COMMON STOCK) indirect 2019-02-01
NHC HOLDINGS LLC SHAREHOLDER (COMMON STOCK) NATIONAL HOLDINGS CORPORATION 02/01/2019 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SHAREHOLDER (COMMON STOCK) indirect 2019-02-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES II) United States 805-3635568056 Private Equity Fund 35,162,173 25,000
NAM SPECIAL SITUATIONS FUND IV, LLC WUP SERIES I United States 805-4972939079 Private Equity Fund 4,062,387 25,000
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES I) United States 805-3755794165 Private Equity Fund 22,938,304 25,000
INNOVATION X HOLDINGS, LLC (LYFT SERIES II) United States 805-1035142942 Private Equity Fund 5,742,337 25,000
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES III) United States 805-6502441089 Private Equity Fund 14,232,326 25,000
NAM BIOTECH FUND II, LLC SERIES I United States 805-2477144111 Private Equity Fund 12,499,272 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC SERIES II PALANTIR United States 805-4261680387 Private Equity Fund 1,984,840 25,000
TRUNCATUS HOLDINGS QP LLC United States 805-1963910028 Private Equity Fund 26,330 77,200
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES VI United States 805-8030183787 Private Equity Fund 0 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES II United States 805-4301327176 Private Equity Fund 0 25,000
INNOVATION X HOLDINGS II LLC SNAP SERIES I United States 805-5796310730 Private Equity Fund 0 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES V United States 805-2509053794 Private Equity Fund 0 25,000
NAM BIOTECH FUND II, LLC SERIES III United States 805-5342784092 Private Equity Fund 0 25,000
INNOVATION X QP LLC SERIES I SPOTIFY United States 805-2398162269 Private Equity Fund 0 100,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES III United States 805-4143857641 Private Equity Fund 0 25,000
NSC BIOTECH VENTURE FUND I LLC United States 805-2061710164 Private Equity Fund 0 100,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES IV United States 805-7833823795 Private Equity Fund 0 25,000
NAM BIOTECH FUND II, LLC SERIES VI United States 805-2621366917 Private Equity Fund 0 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES III) United States 805-1635694450 Private Equity Fund 24,882,519 25,000
INNOVATION X QP LLC (LYFT SERIES IV) United States 805-2818582257 Private Equity Fund 17,145,025 25,000
NSC BIOTECH OPPORTUNITIES QP FUND, LLC (SERIES I) United States 805-2523754364 Private Equity Fund 16,962,273 100,000
INNOVATION X HOLDINGS II, LLC SERIES 2018-2(PINTEREST) United States 805-2522256194 Private Equity Fund 7,990,683 25,000
INNOVATION X QP LLC SERIES I SNAP United States 805-6765586059 Private Equity Fund 0 25,000
NAM SPECIAL SITUATIONS FUND V LLC SLACK SERIES I United States 805-3742994906 Private Equity Fund 3,570,548 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES I) United States 805-8500858152 Private Equity Fund 20,196,947 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC LYFT SERIES V United States 805-6616661732 Private Equity Fund 41,101,915 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES I United States 805-1425985459 Private Equity Fund 16,460,876 25,000
INNOVATION X QP LLC SERIES I MAGIC LEAP United States 805-7601403023 Private Equity Fund 11,381,919 25,000
POWERMAT PARTNERS, LLC United States 805-7413447054 Private Equity Fund 4,099,028 100,000
NAM SPECIAL SITUATIONS FUND I, LLC (LYFT SERIES I) United States 805-7709200735 Private Equity Fund 18,766,730 25,000
NAM SPECIAL SITUATIONS FUND III, LLC MAGIC LEAP SERIES 1 United States 805-4766888024 Private Equity Fund 7,751,673 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC SERIES I PALANTIR United States 805-2266755907 Private Equity Fund 5,069,678 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC LYFT SERIES IV United States 805-3455823648 Private Equity Fund 5,954,058 25,000
THE SOCIAL INTERNET FUND I LLC United States 805-3939637533 Private Equity Fund 0 100,000
MEDIA VENTURES FUND I LLC United States 805-5784376918 Private Equity Fund 0 100,000
NAM BIOTECH FUND II, LLC SERIES II United States 805-1071297822 Private Equity Fund 0 25,000
NAM BIOTECH FUND II, LLC SERIES V United States 805-8960576367 Private Equity Fund 0 25,000
NAM BIOTECH FUND II, LLC SERIES IV United States 805-4404265513 Private Equity Fund 0 25,000
INNOVATION X QP, LLC. SERIES 2018-2 (PINTEREST) United States 805-2966432620 Private Equity Fund 60,441,449 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES II) United States 805-3659201726 Private Equity Fund 17,032,507 25,000
INNOVATION X QP LLC SERIES 2018-3(SPACE X) United States 805-4235240854 Private Equity Fund 8,374,477 25,000
NSC BIOTECH OPPORTUNITIES FUND, LLC (SERIES I) United States 805-3719789214 Private Equity Fund 5,182,435 100,000
NAM SPECIAL SITUATIONS FUND VI, LLC (SERIES VI) United States 805-7408196133 Private Equity Fund 6,863,878 25,000
INNOVATION X QP LLC SERIES 2018-4 (LYFT) United States 805-4059398272 Private Equity Fund 21,671,100 25,000
INNOVATION X HOLDINGS QP, LLC - PALANTIR SERIES I United States 805-9507894959 Private Equity Fund 25,297,784 25,000
TRUNCATUS HOLDINGS LLC United States 805-2987699435 Private Equity Fund 36,429 77,200
INNOVATION X HOLDINGS QP, LLC - SLACK SERIES I United States 805-6409290564 Private Equity Fund 10,673,693 25,000
INNOVATION X HOLDINGS, LLC (LYFT SERIES I) United States 805-2695392989 Private Equity Fund 13,278,996 25,000
NAM SPECIAL SITUATIONS FUND II, LLC PALANTIR SERIES I United States 805-8299585200 Private Equity Fund 11,481,760 25,000

NATIONAL ASSET MANAGEMENT, INC.

ownership team - last updated 2019-04-30
Name Title Start Date Direct/Indirect % Ownership
NATIONAL HOLDINGS CORPORATION PARENT COMPANY 03/01/0008 Direct 75% or more
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. PARENT COMPANY direct 0008-03-03
NATIONAL ASSET MANAGEMENT, INC. PARENT NATIONAL SECURITIES CORPORATION indirect 1994-07-01
WORMAN, GLENN, CHARLES DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERRILL LYNCH INVESTMENT MANAGERS LP HEAD OF BUSINESS FINANCE direct 2004-03-01
FUND ASSET MANAGEMENT LP HEAD OF BUSINESS FINANCE direct 2004-03-01
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2016-07-01
NATIONAL ASSET MANAGEMENT, INC. SECRETARY direct 2016-10-01
WATSON, NATALIA, TOVAR TREASURER 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. TREASURER direct 2016-10-01
MULLEN, MICHAEL, ANTHONY DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2017-01-01
KOENIGSBERG, JOHN, A DIRECTOR OF OPERATIONS 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR OF OPERATIONS direct 2017-05-01
FIRST MONTAUK SECURITIES CORP. CHIEF OPERATIONS OFFICER direct 1999-06-01 2002-04-01
FIRST MONTAUK SECURITIES CORP. VICE PRESIDENT OPERATIONS direct 1999-06-01 2002-10-22
KOWALCZYK, THOMAS, DAVID CHIEF EXECUTIVE OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SYMETRA INVESTMENT SERVICES, INC. VICE PRESIDENT, DIRECTOR OF ADVISORY SERVICES direct 2012-03-01
NATIONAL ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT direct 2017-07-01
WFG ADVISORS, LP SENIOR VICE PRESIDENT direct 2014-03-01
DESENA, JOHN, CHARLES SECRETARY 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SECRETARY direct 2017-12-01
MULLEN, MICHAEL, ANTHONY EXECUTIVE CHAIRMAN 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2017-01-01
GROENEVELD, WILLIAM, LAWRENCE VICE PRESIDENT 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VFINANCE ADVISORS, INC. DIRECTOR direct 2008-09-01
KAPLAN, HENRY, EDWARD PRESIDENT & CHIEF OPERATING OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. PRESIDENT & CHIEF OPERATING OFFICER direct 2018-07-01
NATIONAL PRIVATE SHARES, INC. PRESIDENT & CHIEF OPERATING OFFICER direct 2018-10-01
CHAFFEE, HAROLD, GERARD CHIEF COMPLIANCE OFFICER 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRIAD ADVISORS, INC. VICE PRESIDENT direct 2001-10-01 2001-12-05
TRIAD ADVISORS, INC. VICE PRESIDENT/MUNI PRINCIPAL/OPTIONS PINCIPAL/ COMPLIANCE OFFICER direct 2001-10-01 2004-10-27
TRIAD ADVISORS, INC. VICE PRESIDENT/CCO/MUNI PRINCIPAL/OPTIONS PINCIPAL/ COMPLIANCE OFFICER direct 2001-10-01 2006-04-07
TRIAD ADVISORS, INC. VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/MUNI PRINCIPAL/OPTIONS PINCIPAL/ COMPLIANCE OFFICER direct 2001-10-01 2008-03-28
KOWALCZYK, THOMAS, DAVID DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SYMETRA INVESTMENT SERVICES, INC. VICE PRESIDENT, DIRECTOR OF ADVISORY SERVICES direct 2012-03-01
NATIONAL ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT direct 2017-07-01
WFG ADVISORS, LP SENIOR VICE PRESIDENT direct 2014-03-01
RUNKLE, DONALD, KENNETH CHIEF REGULATORY OFFICER 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2004-06-01
RAYMOND JAMES FINANCIAL SERVICES, INC. VICE PRESIDENT direct 1999-07-01 2004-02-26
RAYMOND JAMES FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER/SROP/CROP direct 2004-06-01 2005-01-03
RAYMOND JAMES FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER/SROP direct 2004-06-01 2006-03-17
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CHIEF COMPLIANCE OFFICER direct 2004-06-01 2012-11-21
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CHIEF COMPLIANCE OFFICER/RJFS direct 2004-06-01 2013-08-30
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC RJFS COMPLIANCE OFFICER IN CHIEF direct 2004-06-01 2014-04-01
ORTEGA, DANIEL CHIEF SUPERVISORY OFFICER 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. CHIEF SUPERVISORY OFFICER direct 2019-04-01
NATIONAL PRIVATE SHARES, INC. CHIEF SUPERVISORY OFFICER direct 2019-04-01
B.RILEY FINANCIAL, INC SHAREHOLDER ( COMMON STOCK) NATIONAL HOLDINGS CORPORATION 02/01/2019 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SHAREHOLDER ( COMMON STOCK) indirect 2019-02-01
NHC HOLDINGS LLC SHAREHOLDER (COMMON STOCK) NATIONAL HOLDINGS CORPORATION 02/01/2019 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SHAREHOLDER (COMMON STOCK) indirect 2019-02-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES VI United States 805-8030183787 Private Equity Fund 0 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES II United States 805-4301327176 Private Equity Fund 0 25,000
INNOVATION X HOLDINGS II LLC SNAP SERIES I United States 805-5796310730 Private Equity Fund 0 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES V United States 805-2509053794 Private Equity Fund 0 25,000
NAM BIOTECH FUND II, LLC SERIES III United States 805-5342784092 Private Equity Fund 0 25,000
INNOVATION X QP LLC SERIES I SPOTIFY United States 805-2398162269 Private Equity Fund 0 100,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES III United States 805-4143857641 Private Equity Fund 0 25,000
MEDIA VENTURES FUND I LLC United States 805-5784376918 Private Equity Fund 0 100,000
NSC BIOTECH VENTURE FUND I LLC United States 805-2061710164 Private Equity Fund 0 100,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES IV United States 805-7833823795 Private Equity Fund 0 25,000
NAM BIOTECH FUND II, LLC SERIES VI United States 805-2621366917 Private Equity Fund 0 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES III) United States 805-1635694450 Private Equity Fund 24,882,519 25,000
INNOVATION X QP LLC (LYFT SERIES IV) United States 805-2818582257 Private Equity Fund 17,145,025 25,000
NSC BIOTECH OPPORTUNITIES QP FUND, LLC (SERIES I) United States 805-2523754364 Private Equity Fund 16,962,273 100,000
INNOVATION X HOLDINGS II, LLC SERIES 2018-2(PINTEREST) United States 805-2522256194 Private Equity Fund 7,990,683 25,000
INNOVATION X QP LLC SERIES I SNAP United States 805-6765586059 Private Equity Fund 0 25,000
NAM SPECIAL SITUATIONS FUND V LLC SLACK SERIES I United States 805-3742994906 Private Equity Fund 3,570,548 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES I) United States 805-8500858152 Private Equity Fund 20,196,947 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC LYFT SERIES V United States 805-6616661732 Private Equity Fund 41,101,915 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES I United States 805-1425985459 Private Equity Fund 16,460,876 25,000
INNOVATION X QP LLC SERIES I MAGIC LEAP United States 805-7601403023 Private Equity Fund 11,381,919 25,000
POWERMAT PARTNERS, LLC United States 805-7413447054 Private Equity Fund 4,099,028 100,000
NAM SPECIAL SITUATIONS FUND I, LLC (LYFT SERIES I) United States 805-7709200735 Private Equity Fund 18,766,730 25,000
NAM SPECIAL SITUATIONS FUND III, LLC MAGIC LEAP SERIES 1 United States 805-4766888024 Private Equity Fund 7,751,673 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC SERIES I PALANTIR United States 805-2266755907 Private Equity Fund 5,069,678 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC LYFT SERIES IV United States 805-3455823648 Private Equity Fund 5,954,058 25,000
THE SOCIAL INTERNET FUND I LLC United States 805-3939637533 Private Equity Fund 0 100,000
NAM BIOTECH FUND II, LLC SERIES II United States 805-1071297822 Private Equity Fund 0 25,000
NAM BIOTECH FUND II, LLC SERIES V United States 805-8960576367 Private Equity Fund 0 25,000
NAM BIOTECH FUND II, LLC SERIES IV United States 805-4404265513 Private Equity Fund 0 25,000
INNOVATION X QP, LLC. SERIES 2018-2 (PINTEREST) United States 805-2966432620 Private Equity Fund 60,441,449 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES II) United States 805-3659201726 Private Equity Fund 17,032,507 25,000
INNOVATION X QP LLC SERIES 2018-3(SPACE X) United States 805-4235240854 Private Equity Fund 8,374,477 25,000
NSC BIOTECH OPPORTUNITIES FUND, LLC (SERIES I) United States 805-3719789214 Private Equity Fund 5,182,435 100,000
NAM SPECIAL SITUATIONS FUND VI, LLC (SERIES VI) United States 805-7408196133 Private Equity Fund 6,863,878 25,000
INNOVATION X QP LLC SERIES 2018-4 (LYFT) United States 805-4059398272 Private Equity Fund 21,671,100 25,000
INNOVATION X HOLDINGS QP, LLC - PALANTIR SERIES I United States 805-9507894959 Private Equity Fund 25,297,784 25,000
INNOVATION X HOLDINGS QP, LLC - SLACK SERIES I United States 805-6409290564 Private Equity Fund 10,673,693 25,000
TRUNCATUS HOLDINGS LLC United States 805-2987699435 Private Equity Fund 36,429 77,200
INNOVATION X HOLDINGS, LLC (LYFT SERIES I) United States 805-2695392989 Private Equity Fund 13,278,996 25,000
NAM SPECIAL SITUATIONS FUND II, LLC PALANTIR SERIES I United States 805-8299585200 Private Equity Fund 11,481,760 25,000
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES II) United States 805-3635568056 Private Equity Fund 35,162,173 25,000
NAM SPECIAL SITUATIONS FUND IV, LLC WUP SERIES I United States 805-4972939079 Private Equity Fund 4,062,387 25,000
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES I) United States 805-3755794165 Private Equity Fund 22,938,304 25,000
INNOVATION X HOLDINGS, LLC (LYFT SERIES II) United States 805-1035142942 Private Equity Fund 5,742,337 25,000
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES III) United States 805-6502441089 Private Equity Fund 14,232,326 25,000
NAM BIOTECH FUND II, LLC SERIES I United States 805-2477144111 Private Equity Fund 12,499,272 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC SERIES II PALANTIR United States 805-4261680387 Private Equity Fund 1,984,840 25,000
TRUNCATUS HOLDINGS QP LLC United States 805-1963910028 Private Equity Fund 26,330 77,200

NATIONAL ASSET MANAGEMENT, INC.

ownership team - last updated 2019-03-13
Name Title Start Date Direct/Indirect % Ownership
NATIONAL HOLDINGS CORPORATION PARENT COMPANY 03/01/0008 Direct 75% or more
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. PARENT COMPANY direct 0008-03-03
NATIONAL ASSET MANAGEMENT, INC. PARENT NATIONAL SECURITIES CORPORATION indirect 1994-07-01
JOHNSON, KAY, ALISON VICE PRESIDENT 03/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. VICE PRESIDENT direct 2013-03-01
NATIONAL ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-09-01
WORMAN, GLENN, CHARLES DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERRILL LYNCH INVESTMENT MANAGERS LP HEAD OF BUSINESS FINANCE direct 2004-03-01
FUND ASSET MANAGEMENT LP HEAD OF BUSINESS FINANCE direct 2004-03-01
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2016-07-01
NATIONAL ASSET MANAGEMENT, INC. SECRETARY direct 2016-10-01
WATSON, NATALIA, TOVAR TREASURER 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. TREASURER direct 2016-10-01
MULLEN, MICHAEL, ANTHONY DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2017-01-01
KOENIGSBERG, JOHN, A DIRECTOR OF OPERATIONS 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR OF OPERATIONS direct 2017-05-01
FIRST MONTAUK SECURITIES CORP. CHIEF OPERATIONS OFFICER direct 1999-06-01 2002-04-01
FIRST MONTAUK SECURITIES CORP. VICE PRESIDENT OPERATIONS direct 1999-06-01 2002-10-22
KOWALCZYK, THOMAS, DAVID CHIEF EXECUTIVE OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SYMETRA INVESTMENT SERVICES, INC. VICE PRESIDENT, DIRECTOR OF ADVISORY SERVICES direct 2012-03-01
NATIONAL ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT direct 2017-07-01
WFG ADVISORS, LP SENIOR VICE PRESIDENT direct 2014-03-01
RUNKLE, DONALD, KENNETH CHIEF SUPERVISORY OFFICER 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2004-06-01
RAYMOND JAMES FINANCIAL SERVICES, INC. VICE PRESIDENT direct 1999-07-01 2004-02-26
RAYMOND JAMES FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER/SROP/CROP direct 2004-06-01 2005-01-03
RAYMOND JAMES FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER/SROP direct 2004-06-01 2006-03-17
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CHIEF COMPLIANCE OFFICER direct 2004-06-01 2012-11-21
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CHIEF COMPLIANCE OFFICER/RJFS direct 2004-06-01 2013-08-30
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC RJFS COMPLIANCE OFFICER IN CHIEF direct 2004-06-01 2014-04-01
JOHNSON, KAY, ALISON DIRECTOR 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. VICE PRESIDENT direct 2013-03-01
NATIONAL ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-09-01
DESENA, JOHN, CHARLES SECRETARY 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SECRETARY direct 2017-12-01
MULLEN, MICHAEL, ANTHONY EXECUTIVE CHAIRMAN 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2017-01-01
GROENEVELD, WILLIAM, LAWRENCE VICE PRESIDENT 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VFINANCE ADVISORS, INC. DIRECTOR direct 2008-09-01
KAPLAN, HENRY, EDWARD PRESIDENT & CHIEF OPERATING OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. PRESIDENT & CHIEF OPERATING OFFICER direct 2018-07-01
NATIONAL PRIVATE SHARES, INC. PRESIDENT & CHIEF OPERATING OFFICER direct 2018-10-01
CHAFFEE, HAROLD, GERARD CHIEF COMPLIANCE OFFICER 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRIAD ADVISORS, INC. VICE PRESIDENT direct 2001-10-01 2001-12-05
TRIAD ADVISORS, INC. VICE PRESIDENT/MUNI PRINCIPAL/OPTIONS PINCIPAL/ COMPLIANCE OFFICER direct 2001-10-01 2004-10-27
TRIAD ADVISORS, INC. VICE PRESIDENT/CCO/MUNI PRINCIPAL/OPTIONS PINCIPAL/ COMPLIANCE OFFICER direct 2001-10-01 2006-04-07
TRIAD ADVISORS, INC. VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/MUNI PRINCIPAL/OPTIONS PINCIPAL/ COMPLIANCE OFFICER direct 2001-10-01 2008-03-28
KOWALCZYK, THOMAS, DAVID DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SYMETRA INVESTMENT SERVICES, INC. VICE PRESIDENT, DIRECTOR OF ADVISORY SERVICES direct 2012-03-01
NATIONAL ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT direct 2017-07-01
WFG ADVISORS, LP SENIOR VICE PRESIDENT direct 2014-03-01
B.RILEY FINANCIAL, INC SHAREHOLDER ( COMMON STOCK) NATIONAL HOLDINGS CORPORATION 02/01/2019 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SHAREHOLDER ( COMMON STOCK) indirect 2019-02-01
NHC HOLDINGS LLC SHAREHOLDER (COMMON STOCK) NATIONAL HOLDINGS CORPORATION 02/01/2019 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SHAREHOLDER (COMMON STOCK) indirect 2019-02-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
POWERMAT PARTNERS, LLC United States 805-7413447054 Private Equity Fund 4,099,028 100,000
TRUNCATUS HOLDINGS LLC United States 805-2987699435 Private Equity Fund 36,429 77,200
TRUNCATUS HOLDINGS QP LLC United States 805-1963910028 Private Equity Fund 26,330 77,200
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES II) United States 805-3635568056 Private Equity Fund 35,162,173 25,000
INNOVATION X HOLDINGS, LLC (LYFT SERIES I) United States 805-2695392989 Private Equity Fund 13,278,996 25,000
INNOVATION X HOLDINGS, LLC (LYFT SERIES II) United States 805-1035142942 Private Equity Fund 5,742,337 25,000
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES I) United States 805-3755794165 Private Equity Fund 22,938,304 25,000
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES III) United States 805-6502441089 Private Equity Fund 14,232,326 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES I) United States 805-8500858152 Private Equity Fund 20,196,947 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES II) United States 805-3659201726 Private Equity Fund 17,032,507 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES III) United States 805-1635694450 Private Equity Fund 24,882,519 25,000
INNOVATION X QP LLC (LYFT SERIES IV) United States 805-2818582257 Private Equity Fund 17,145,025 25,000
INNOVATION X HOLDINGS QP, LLC - PALANTIR SERIES I United States 805-9507894959 Private Equity Fund 25,297,784 25,000
INNOVATION X QP LLC SERIES I MAGIC LEAP United States 805-7601403023 Private Equity Fund 11,381,919 25,000
NAM BIOTECH FUND II, LLC SERIES I United States 805-2477144111 Private Equity Fund 12,499,272 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES I United States 805-1425985459 Private Equity Fund 16,460,876 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC SERIES I PALANTIR United States 805-2266755907 Private Equity Fund 5,069,678 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC LYFT SERIES IV United States 805-3455823648 Private Equity Fund 5,954,058 25,000
NAM SPECIAL SITUATIONS FUND II, LLC PALANTIR SERIES I United States 805-8299585200 Private Equity Fund 11,481,760 25,000
NAM SPECIAL SITUATIONS FUND III, LLC MAGIC LEAP SERIES 1 United States 805-4766888024 Private Equity Fund 7,751,673 25,000
NAM SPECIAL SITUATIONS FUND IV, LLC WUP SERIES I United States 805-4972939079 Private Equity Fund 4,062,387 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC LYFT SERIES V United States 805-6616661732 Private Equity Fund 41,101,915 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC SERIES II PALANTIR United States 805-4261680387 Private Equity Fund 1,984,840 25,000
NAM SPECIAL SITUATIONS FUND V LLC SLACK SERIES I United States 805-3742994906 Private Equity Fund 3,570,548 25,000
INNOVATION X HOLDINGS QP, LLC - SLACK SERIES I United States 805-6409290564 Private Equity Fund 10,673,693 25,000
NAM SPECIAL SITUATIONS FUND I, LLC (LYFT SERIES I) United States 805-7709200735 Private Equity Fund 18,766,730 25,000
INNOVATION X HOLDINGS II, LLC SERIES 2018-2(PINTEREST) United States 805-2522256194 Private Equity Fund 7,990,683 25,000
INNOVATION X QP, LLC. SERIES 2018-2 (PINTEREST) United States 805-2966432620 Private Equity Fund 60,441,449 25,000
INNOVATION X QP LLC SERIES 2018-3(SPACE X) United States 805-4235240854 Private Equity Fund 8,374,477 25,000
INNOVATION X QP LLC SERIES 2018-4 (LYFT) United States 805-4059398272 Private Equity Fund 21,671,100 25,000
NAM SPECIAL SITUATIONS FUND VI, LLC (SERIES VI) United States 805-7408196133 Private Equity Fund 6,863,878 25,000
NSC BIOTECH OPPORTUNITIES FUND, LLC (SERIES I) United States 805-3719789214 Private Equity Fund 5,182,435 100,000
NSC BIOTECH OPPORTUNITIES QP FUND, LLC (SERIES I) United States 805-2523754364 Private Equity Fund 16,962,273 100,000
INNOVATION X HOLDINGS II LLC SNAP SERIES I United States 805-5796310730 Private Equity Fund 0 25,000
INNOVATION X QP LLC SERIES I SPOTIFY United States 805-2398162269 Private Equity Fund 0 100,000
INNOVATION X QP LLC SERIES I SNAP United States 805-6765586059 Private Equity Fund 0 25,000
MEDIA VENTURES FUND I LLC United States 805-5784376918 Private Equity Fund 0 100,000
NAM BIOTECH FUND II, LLC SERIES II United States 805-1071297822 Private Equity Fund 0 25,000
NAM BIOTECH FUND II, LLC SERIES III United States 805-5342784092 Private Equity Fund 0 25,000
NAM BIOTECH FUND II, LLC SERIES IV United States 805-4404265513 Private Equity Fund 0 25,000
NAM BIOTECH FUND II, LLC SERIES V United States 805-8960576367 Private Equity Fund 0 25,000
NAM BIOTECH FUND II, LLC SERIES VI United States 805-2621366917 Private Equity Fund 0 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES II United States 805-4301327176 Private Equity Fund 0 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES III United States 805-4143857641 Private Equity Fund 0 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES IV United States 805-7833823795 Private Equity Fund 0 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES V United States 805-2509053794 Private Equity Fund 0 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES VI United States 805-8030183787 Private Equity Fund 0 25,000
NSC BIOTECH VENTURE FUND I LLC United States 805-2061710164 Private Equity Fund 0 100,000
THE SOCIAL INTERNET FUND I LLC United States 805-3939637533 Private Equity Fund 0 100,000

NATIONAL ASSET MANAGEMENT, INC.

ownership team - last updated 2018-12-27
Name Title Start Date Direct/Indirect % Ownership
NATIONAL HOLDINGS CORPORATION PARENT COMPANY 03/01/0008 Direct 75% or more
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. PARENT COMPANY direct 0008-03-03
NATIONAL ASSET MANAGEMENT, INC. PARENT NATIONAL SECURITIES CORPORATION indirect 1994-07-01
JOHNSON, KAY, ALISON VICE PRESIDENT 03/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. VICE PRESIDENT direct 2013-03-01
NATIONAL ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-09-01
WORMAN, GLENN, CHARLES DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERRILL LYNCH INVESTMENT MANAGERS LP HEAD OF BUSINESS FINANCE direct 2004-03-01
FUND ASSET MANAGEMENT LP HEAD OF BUSINESS FINANCE direct 2004-03-01
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2016-07-01
NATIONAL ASSET MANAGEMENT, INC. SECRETARY direct 2016-10-01
WATSON, NATALIA, TOVAR TREASURER 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. TREASURER direct 2016-10-01
MULLEN, MICHAEL, ANTHONY DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2017-01-01
KOENIGSBERG, JOHN, A DIRECTOR OF OPERATIONS 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR OF OPERATIONS direct 2017-05-01
FIRST MONTAUK SECURITIES CORP. CHIEF OPERATIONS OFFICER direct 1999-06-01 2002-04-01
FIRST MONTAUK SECURITIES CORP. VICE PRESIDENT OPERATIONS direct 1999-06-01 2002-10-22
KOWALCZYK, THOMAS, DAVID CHIEF EXECUTIVE OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SYMETRA INVESTMENT SERVICES, INC. VICE PRESIDENT, DIRECTOR OF ADVISORY SERVICES direct 2012-03-01
NATIONAL ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT direct 2017-07-01
WFG ADVISORS, LP SENIOR VICE PRESIDENT direct 2014-03-01
RUNKLE, DONALD, KENNETH CHIEF SUPERVISORY OFFICER 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2004-06-01
RAYMOND JAMES FINANCIAL SERVICES, INC. VICE PRESIDENT direct 1999-07-01 2004-02-26
RAYMOND JAMES FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER/SROP/CROP direct 2004-06-01 2005-01-03
RAYMOND JAMES FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER/SROP direct 2004-06-01 2006-03-17
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CHIEF COMPLIANCE OFFICER direct 2004-06-01 2012-11-21
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CHIEF COMPLIANCE OFFICER/RJFS direct 2004-06-01 2013-08-30
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC RJFS COMPLIANCE OFFICER IN CHIEF direct 2004-06-01 2014-04-01
JOHNSON, KAY, ALISON DIRECTOR 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. VICE PRESIDENT direct 2013-03-01
NATIONAL ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-09-01
DESENA, JOHN, CHARLES SECRETARY 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SECRETARY direct 2017-12-01
MULLEN, MICHAEL, ANTHONY EXECUTIVE CHAIRMAN 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2017-01-01
GROENEVELD, WILLIAM, LAWRENCE VICE PRESIDENT 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VFINANCE ADVISORS, INC. DIRECTOR direct 2008-09-01
KAPLAN, HENRY, EDWARD PRESIDENT & CHIEF OPERATING OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. PRESIDENT & CHIEF OPERATING OFFICER direct 2018-07-01
NATIONAL PRIVATE SHARES, INC. PRESIDENT & CHIEF OPERATING OFFICER direct 2018-10-01
CHAFFEE, HAROLD, GERARD CHIEF COMPLIANCE OFFICER 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRIAD ADVISORS, INC. VICE PRESIDENT direct 2001-10-01 2001-12-05
TRIAD ADVISORS, INC. VICE PRESIDENT/MUNI PRINCIPAL/OPTIONS PINCIPAL/ COMPLIANCE OFFICER direct 2001-10-01 2004-10-27
TRIAD ADVISORS, INC. VICE PRESIDENT/CCO/MUNI PRINCIPAL/OPTIONS PINCIPAL/ COMPLIANCE OFFICER direct 2001-10-01 2006-04-07
TRIAD ADVISORS, INC. VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/MUNI PRINCIPAL/OPTIONS PINCIPAL/ COMPLIANCE OFFICER direct 2001-10-01 2008-03-28
KOWALCZYK, THOMAS, DAVID DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SYMETRA INVESTMENT SERVICES, INC. VICE PRESIDENT, DIRECTOR OF ADVISORY SERVICES direct 2012-03-01
NATIONAL ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT direct 2017-07-01
WFG ADVISORS, LP SENIOR VICE PRESIDENT direct 2014-03-01
FORTRESS BIOTECH, INC SHAREHOLDER (COMMON STOCK) NATIONAL HOLDINGS CORPORATION 09/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SHAREHOLDER (COMMON STOCK) indirect 2016-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
INNOVATION X QP, LLC. SERIES 2018-2 (PINTEREST) United States 805-2966432620 Private Equity Fund 60,441,449 25,000
INNOVATION X QP LLC SERIES 2018-3(SPACE X) United States 805-4235240854 Private Equity Fund 8,374,477 25,000
INNOVATION X QP LLC SERIES 2018-4 (LYFT) United States 805-4059398272 Private Equity Fund 21,671,100 25,000
NSC BIOTECH OPPORTUNITIES FUND, LLC (SERIES I) United States 805-3719789214 Private Equity Fund 5,182,435 100,000
NAM SPECIAL SITUATIONS FUND VI, LLC (SERIES VI) United States 805-7408196133 Private Equity Fund 6,863,878 25,000
INNOVATION X HOLDINGS, LLC (LYFT SERIES II) United States 805-1035142942 Private Equity Fund 5,742,337 25,000
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES III) United States 805-6502441089 Private Equity Fund 14,232,326 25,000
NAM BIOTECH FUND II, LLC SERIES I United States 805-2477144111 Private Equity Fund 12,499,272 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC SERIES II PALANTIR United States 805-4261680387 Private Equity Fund 1,984,840 25,000
INNOVATION X HOLDINGS QP, LLC - PALANTIR SERIES I United States 805-9507894959 Private Equity Fund 25,297,784 25,000
INNOVATION X HOLDINGS QP, LLC - SLACK SERIES I United States 805-6409290564 Private Equity Fund 10,673,693 25,000
TRUNCATUS HOLDINGS LLC United States 805-2987699435 Private Equity Fund 36,429 77,200
INNOVATION X HOLDINGS, LLC (LYFT SERIES I) United States 805-2695392989 Private Equity Fund 13,278,996 25,000
NAM SPECIAL SITUATIONS FUND II, LLC PALANTIR SERIES I United States 805-8299585200 Private Equity Fund 11,481,760 25,000
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES II) United States 805-3635568056 Private Equity Fund 35,162,173 25,000
NAM SPECIAL SITUATIONS FUND IV, LLC WUP SERIES I United States 805-4972939079 Private Equity Fund 4,062,387 25,000
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES I) United States 805-3755794165 Private Equity Fund 22,938,304 25,000
NAM SPECIAL SITUATIONS FUND V LLC SLACK SERIES I United States 805-3742994906 Private Equity Fund 3,570,548 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES I) United States 805-8500858152 Private Equity Fund 20,196,947 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC LYFT SERIES V United States 805-6616661732 Private Equity Fund 41,101,915 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES I United States 805-1425985459 Private Equity Fund 16,460,876 25,000
INNOVATION X QP LLC SERIES I MAGIC LEAP United States 805-7601403023 Private Equity Fund 11,381,919 25,000
POWERMAT PARTNERS, LLC United States 805-7413447054 Private Equity Fund 4,099,028 100,000
NAM SPECIAL SITUATIONS FUND I, LLC (LYFT SERIES I) United States 805-7709200735 Private Equity Fund 18,766,730 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES II) United States 805-3659201726 Private Equity Fund 17,032,507 25,000
NAM SPECIAL SITUATIONS FUND III, LLC MAGIC LEAP SERIES 1 United States 805-4766888024 Private Equity Fund 7,751,673 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC SERIES I PALANTIR United States 805-2266755907 Private Equity Fund 5,069,678 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC LYFT SERIES IV United States 805-3455823648 Private Equity Fund 5,954,058 25,000
TRUNCATUS HOLDINGS QP LLC United States 805-1963910028 Private Equity Fund 26,330 77,200
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES III) United States 805-1635694450 Private Equity Fund 24,882,519 25,000
INNOVATION X QP LLC (LYFT SERIES IV) United States 805-2818582257 Private Equity Fund 17,145,025 25,000
NSC BIOTECH OPPORTUNITIES QP FUND, LLC (SERIES I) United States 805-2523754364 Private Equity Fund 16,962,273 100,000
INNOVATION X HOLDINGS II, LLC SERIES 2018-2(PINTEREST) United States 805-2522256194 Private Equity Fund 7,990,683 25,000

NATIONAL ASSET MANAGEMENT, INC.

ownership team - last updated 2018-06-11
Name Title Start Date Direct/Indirect % Ownership
NATIONAL HOLDINGS CORPORATION PARENT COMPANY 03/01/0008 Direct 75% or more
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. PARENT COMPANY direct 0008-03-03
NATIONAL ASSET MANAGEMENT, INC. PARENT NATIONAL SECURITIES CORPORATION indirect 1994-07-01
JOHNSON, KAY, ALISON VICE PRESIDENT 03/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. VICE PRESIDENT direct 2013-03-01
NATIONAL ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-09-01
JOHNSON, KAY, ALISON CHIEF COMPLIANCE OFFICER 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. VICE PRESIDENT direct 2013-03-01
NATIONAL ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-09-01
WORMAN, GLENN, CHARLES DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MERRILL LYNCH INVESTMENT MANAGERS LP HEAD OF BUSINESS FINANCE direct 2004-03-01
FUND ASSET MANAGEMENT LP HEAD OF BUSINESS FINANCE direct 2004-03-01
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2016-07-01
NATIONAL ASSET MANAGEMENT, INC. SECRETARY direct 2016-10-01
WATSON, NATALIA, TOVAR TREASURER 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. TREASURER direct 2016-10-01
MULLEN, MICHAEL, ANTHONY DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2017-01-01
KOENIGSBERG, JOHN, A DIRECTOR OF OPERATIONS 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR OF OPERATIONS direct 2017-05-01
FIRST MONTAUK SECURITIES CORP. CHIEF OPERATIONS OFFICER direct 1999-06-01 2002-04-01
FIRST MONTAUK SECURITIES CORP. VICE PRESIDENT OPERATIONS direct 1999-06-01 2002-10-22
KOWALCZYK, THOMAS, DAVID PRESIDENT 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
SYMETRA INVESTMENT SERVICES, INC. VICE PRESIDENT, DIRECTOR OF ADVISORY SERVICES direct 2012-03-01
NATIONAL ASSET MANAGEMENT, INC. SENIOR VICE PRESIDENT direct 2017-07-01
WFG ADVISORS, LP SENIOR VICE PRESIDENT direct 2014-03-01
RUNKLE, DONALD, KENNETH CHIEF SUPERVISORY OFFICER 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2004-06-01
RAYMOND JAMES FINANCIAL SERVICES, INC. VICE PRESIDENT direct 1999-07-01 2004-02-26
RAYMOND JAMES FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER/SROP/CROP direct 2004-06-01 2005-01-03
RAYMOND JAMES FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER/SROP direct 2004-06-01 2006-03-17
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CHIEF COMPLIANCE OFFICER direct 2004-06-01 2012-11-21
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CHIEF COMPLIANCE OFFICER/RJFS direct 2004-06-01 2013-08-30
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC RJFS COMPLIANCE OFFICER IN CHIEF direct 2004-06-01 2014-04-01
JOHNSON, KAY, ALISON DIRECTOR 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. VICE PRESIDENT direct 2013-03-01
NATIONAL ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-09-01
DESENA, JOHN, CHARLES SECRETARY 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SECRETARY direct 2017-12-01
MULLEN, MICHAEL, ANTHONY EXECUTIVE CHAIRMAN & INTERIM CHIEF EXECUTIVE OFFICER 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR direct 2017-01-01
GROENEVELD, WILLIAM, LAWRENCE VICE PRESIDENT 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VFINANCE ADVISORS, INC. DIRECTOR direct 2008-09-01
FORTRESS BIOTECH, INC SHAREHOLDER (COMMON STOCK) NATIONAL HOLDINGS CORP 09/01/2016 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SHAREHOLDER (COMMON STOCK) indirect 2016-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TRUNCATUS HOLDINGS LLC United States 805-2987699435 Private Equity Fund 42,351 77,200
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES III) United States 805-6502441089 Private Equity Fund 9,758,582 25,000
INNOVATION X HOLDINGS, LLC (LYFT SERIES I) United States 805-2695392989 Private Equity Fund 9,126,316 25,000
NAM SPECIAL SITUATIONS FUND IV, LLC WUP SERIES I United States 805-4972939079 Private Equity Fund 4,167,000 25,000
NAM SPECIAL SITUATIONS FUND V LLC SLACK SERIES I United States 805-3742994906 Private Equity Fund 3,105,000 25,000
INNOVATION X HOLDINGS II, LLC SNAP SERIES 1 United States 805-5796310730 Private Equity Fund 28 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES I) United States 805-8500858152 Private Equity Fund 13,872,916 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC LYFT SERIES V United States 805-6616661732 Private Equity Fund 45,000 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES I United States 805-1425985459 Private Equity Fund 1,804,000 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES II United States 805-4301327176 Private Equity Fund 4,190,000 25,000
NAM BIOTECH FUND II, LLC SERIES IV United States 805-4404265513 Private Equity Fund 1,070,000 25,000
INNOVATION X QP LLC SERIES I MAGIC LEAP United States 805-7601403023 Private Equity Fund 8,551,572 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES VI United States 805-8030183787 Private Equity Fund 5,296,500 25,000
NAM SPECIAL SITUATIONS FUND III, LLC MAGIC LEAP SERIES 1 United States 805-4766888024 Private Equity Fund 8,059,500 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC SERIES I PALANTIR United States 805-2266755907 Private Equity Fund 5,551,046 25,000
NSC BIOTECH VENTURE FUND I, LLC United States 805-2061710164 Private Equity Fund 27,640 100,000
NAM SPECIAL SITUATIONS FUND I QP, LLC LYFT SERIES IV United States 805-3455823648 Private Equity Fund 4,111,640 25,000
NAM SPECIAL SITUATIONS FUND II, LLC PALANTIR SERIES I United States 805-8299585200 Private Equity Fund 12,554,410 25,000
NAM BIOTECH FUND II, LLC SERIES III United States 805-5342784092 Private Equity Fund 2,840,000 25,000
INNOVATION X HOLDINGS QP, LLC (SPOTIFY SERIES I) United States 805-2398162269 Private Equity Fund 31,718,400 100,000
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES II) United States 805-3635568056 Private Equity Fund 24,095,577 25,000
MEDIA VENTURES FUND I, LLC United States 805-5784376918 Private Equity Fund 11,958,120 100,000
INNOVATION X HOLDINGS QP, LLC (LYFT SERIES I) United States 805-3755794165 Private Equity Fund 15,741,074 25,000
POWERMAT PARTNERS, LLC United States 805-7413447054 Private Equity Fund 4,144,305 100,000
NAM SPECIAL SITUATIONS FUND I, LLC (LYFT SERIES I) United States 805-7709200735 Private Equity Fund 12,823,883 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES II) United States 805-3659201726 Private Equity Fund 11,680,339 25,000
TRUNCATUS HOLDINGS QP LLC United States 805-1963910028 Private Equity Fund 32,252 77,200
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES V United States 805-2509053794 Private Equity Fund 1,547,000 25,000
INNOVATION X HOLDINGS, LLC (LYFT SERIES II) United States 805-1035142942 Private Equity Fund 3,967,459 25,000
NAM BIOTECH FUND II, LLC SERIES II United States 805-1071297822 Private Equity Fund 4,367,000 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES III United States 805-4143857641 Private Equity Fund 2,495,800 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES IV United States 805-7833823795 Private Equity Fund 750,000 25,000
NAM SPECIAL SITUATIONS FUND I QP, LLC (LYFT SERIES III) United States 805-1635694450 Private Equity Fund 17,027,612 25,000
THE SOCIAL INTERNET FUND I, LLC United States 805-3939637533 Private Equity Fund 7,981,766 100,000
NAM BIOTECH FUND II, LLC SERIES VI United States 805-2621366917 Private Equity Fund 1,074,900 25,000
INNOVATION X QP LLC (LYFT SERIES IV) United States 805-2818582257 Private Equity Fund 11,764,939 25,000
INNOVATION X QP, LLC SNAP SERIES I United States 805-6765586059 Private Equity Fund 5,208 25,000
NAM BIOTECH FUND II, LLC SERIES I United States 805-2477144111 Private Equity Fund 1,450,000 25,000
NAM BIOTECH FUND II, LLC SERIES V United States 805-8960576367 Private Equity Fund 1,470,500 25,000
NAM SPECIAL SITUATIONS FUND I QP LLC SERIES II PALANTIR United States 805-4261680387 Private Equity Fund 6,947,100 25,000
INNOVATION X HOLDINGS QP, LLC - PALANTIR SERIES I United States 805-9507894959 Private Equity Fund 27,486,612 25,000
INNOVATION X HOLDINGS QP, LLC - SLACK SERIES I United States 805-6409290564 Private Equity Fund 9,975,000 25,000

WhaleScore history for NATIONAL ASSET MANAGEMENT, INC.

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