PACIFIC INVESTMENT MANAGEMENT COMPANY LLC

HTTP://WWW.PIMCO.COM NEWPORT BEACH, CA Investment Advisor How do I update this listing?

Pacific Investment Management Company is based out of Newport Beach. Pacific Investment Management Company is a large advisory firm with 17236 clients and discretionary assets under management (AUM) of $2,191,563,956,636 (Form ADV from 2019-05-29). Whalewisdom has at least 6 13D filings, 33 13G filings, and 7 Form 4 filings

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Contact Info

pacific investment management company llc
650 NEWPORT CENTER DRIVE
NEWPORT BEACH CA    92660

Business Phone: 949-720-6000
Current 13D/G Holdings
Stock Sector Shares Held Market Value Rank Source Source Date
VICI Properties Inc (VICI) REAL ESTATE 28,413,329 533,602,318.62 1 13G 2018-12-31
Caesars Entertainment Corp (CZR) CONSUMER DISCRETIONARY 49,799,696 338,139,935.84 2 13G 2018-12-31
Clear Channel Outdoor Holdings Inc (CCO) COMMUNICATIONS 104,258,819 304,435,751.48 3 13D 2019-08-01
GreenSky Inc (GSKY) INFORMATION TECHNOLOGY 8,082,495 77,349,477.15 4 13G 2018-12-31
pdvWireless Inc (ATEX) UTILITIES AND TELECOMMUNICATIONS 1,358,166 50,781,826.74 5 13G 2018-12-31
New York REIT Inc (NYRT) REAL ESTATE 1,645,010 23,326,241.80 6 13G 2018-12-31
Quantum Corporation (QMCO) INFORMATION TECHNOLOGY 4,309,474 8,618,948.00 7 13G 2018-12-31
PHH Corp (PHH) INDUSTRIALS 573,934 6,003,349.64 8 13G 2018-03-31
FORBES ENERGY SVCS LTD (FESL) ENERGY 576,028 5,760.28 9 13G 2017-05-31
IHEARTMEDIA ORD SHS CLASS A (IHTM) 5,883,183 10 13G 2019-05-31

View Last Form Adv Compilation Report on Record

PACIFIC INVESTMENT MANAGEMENT COMPANY LLC
650 NEWPORT CENTER DRIVE
NEWPORT BEACH CA    92660
Country: United States

Business Phone: (949) 720-6000
Fax: (949) 720-6361
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: 2597
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 4,627,650,000
Total Number of Clients: 17236
Amount of client funds and securities by related persons: 16,335,500,000
Total Number of clients from related persons: 61
Disclosures: 11.C (1),11.C (2),11.C (4),11.C (5),11.E (2),11.E (4)
Data above was derived from SEC filings.

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PACIFIC INVESTMENT MANAGEMENT COMPANY LLC

ownership team - last updated 2019-05-29
Name Title Start Date Direct/Indirect % Ownership
ALLIANZ ASSET MANAGEMENT OF AMERICA L.P. MEMBER 11/01/1994 Direct 75% or more
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MEMBER direct 1994-11-01
PIMCO SOLAR ADVISER LLC MEMBER indirect 1994-11-01
PIMCO SPECIALTY MARKETS LLC MEMBER direct 2000-09-01
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC MEMBER indirect 2001-07-01
PIMCO ADVISORY SERVICES HOLDINGS LLC MEMBER direct 2001-07-01
NFJ INVESTMENT GROUP LLC MEMBER indirect 2001-07-01
PEA CAPITAL LLC SOLE MEMBER indirect 2001-07-01
OPPENHEIMER CAPITAL LLC SOLE MEMBER indirect 2001-07-01
OPCAP ADVISORS LLC SOLE MEMBER indirect 2001-07-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-07-01
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC MEMBER indirect 2001-07-01
ALLIANZ PRIVATE CLIENT SERVICES LLC MEMBER indirect 2001-07-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC MEMBER indirect 2002-01-01
OPPENHEIMER CAPITAL LLC MEMBER indirect 2005-04-01
OPCAP ADVISORS LLC SOLE MEMBER indirect 2005-04-01
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC MEMBER indirect 2008-06-01
NFJ INVESTMENT GROUP LLC MANAGING MEMBER direct 2010-03-01
ALLIANZ GLOBAL INVESTORS U.S. LLC MEMBER indirect 2011-12-01
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC MEMBER indirect 2011-12-01
RCM CAPITAL MANAGEMENT LLC MEMBER indirect 2011-12-01
OPPENHEIMER CAPITAL GENERAL PARTNER OF OPPENHEIMER CAPITAL direct 1997-11-01 2001-01-31
OPPENHEIMER CAPITAL GENERAL PARTNER OF VALUE ADVISORS & OPPENHEIMER CAPITAL direct 1997-11-01 2001-01-31
OPCAP ADVISORS GENERAL PARTNER indirect 1997-11-01 2001-01-31
PARAMETRIC PORTFOLIO ASSOCIATES GENERAL PARTNER direct 1994-11-01 2001-02-27
VALUE ADVISORS LLC SOLE MEMBER direct 1997-11-01 2001-03-30
OPCAP ADVISORS SOLE MEMBER indirect 2001-07-01 2001-07-12
VALUE ADVISORS LLC MEMBER direct 2001-07-01 2001-12-04
NFJ INVESTMENT GROUP GENERAL PARTNER direct 1994-11-01 2002-03-28
ALLIANZ PRIVATE CLIENT SERVICES LLC MEMBER indirect 2001-07-01 2002-03-28
ALLIANZ HEDGE FUND PARTNERS L.P. GENERAL PARTNER indirect 2001-10-01 2002-11-06
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC MEMBER indirect 2001-07-01 2002-11-27
PIMCO ALLIANZ ADVISORS LLC MEMBER indirect 2001-07-01 2002-11-27
OPPENHEIMER CAPITAL LLC SOLE MEMBER indirect 2001-07-01 2004-06-29
CADENCE CAPITAL MANAGEMENT LLC MEMBER indirect 2001-07-01 2004-06-29
ALLIANZ PRIVATE CLIENT SERVICES LLC MEMBER indirect 2001-07-01 2004-06-30
ALLIANZ HEDGE FUND PARTNERS L.P. MEMBER indirect 2001-07-01 2004-06-30
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-07-01 2004-08-30
PIMCO ADVISORS MANAGED ACCOUNTS LLC MEMBER indirect 2001-07-01 2004-08-30
OPCAP ADVISORS LLC SOLE MEMBER indirect 2001-07-01 2004-09-28
PIMCO EQUITY ADVISORS LLC SOLE MEMBER indirect 2001-07-01 2004-10-23
PIMCO ADVISORS FUND MANAGEMENT LLC MEMBER indirect 2001-07-01 2004-10-23
PA MANAGED ACCOUNTS LLC MEMBER indirect 2001-07-01 2005-03-30
PA FUND MANAGEMENT LLC MEMBER indirect 2001-07-01 2005-03-30
OPPENHEIMER CAPITAL LLC SOLE MEMBER OF OPPENHEIMER CAPITAL LLC direct 2001-07-01 2005-03-31
CADENCE CAPITAL MANAGEMENT LLC MEMBER indirect 2001-07-01 2005-04-21
PA FUND MANAGEMENT LLC MEMBER indirect 2001-07-01 2006-03-30
ALLIANZ HEDGE FUND PARTNERS L.P. MEMBER indirect 2001-07-01 2007-03-30
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-07-01 2008-07-15
OPPENHEIMER CAPITAL LLC SOLE MEMBER indirect 2001-07-01 2008-08-01
NFJ INVESTMENT GROUP L.P. STOCKHOLDER indirect 2001-07-01 2008-12-04
NFJ INVESTMENT GROUP L.P. LIMITED PARTNER direct 2002-06-01 2008-12-04
OPPENHEIMER CAPITAL LLC MEMBER indirect 2005-04-01 2010-01-27
NFJ INVESTMENT GROUP LLC MANAGING MEMBER direct 2008-12-01 2010-02-25
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-07-01 2010-07-27
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC MEMBER indirect 2001-07-01 2011-06-29
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC MEMBER indirect 2008-06-01 2011-06-29
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC MEMBER indirect 2001-07-01 2011-06-30
ALLIANZ GLOBAL INVESTORS CAPITAL LLC MEMBER direct 2001-07-01 2011-11-30
NFJ INVESTMENT GROUP LLC MEMBER indirect 2001-07-01 2012-07-17
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC MEMBER indirect 2001-07-01 2012-11-21
ALLIANZ GLOBAL INVESTORS CAPITAL LLC MEMBER indirect 2011-12-01 2012-12-11
MATHER, SCOTT, ALAN MANAGING DIRECTOR - CHIEF INVESTMENT OFFICER (U.S. CORE STRATEGIES) 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT CO LLC MANAGING DIRECTOR direct 2004-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2004-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, DEPUTY CHIEF INVESTMENT OFFICER direct 2014-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER (U.S. CORE STRATEGIES) direct 2014-09-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - CHIEF INVESTMENT OFFICER (U.S. CORE STRATEGIES) direct 2014-09-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE, CHIEF INVESTMENT OFFICER (U.S. CORE STRATEGIES) direct 2014-09-01
OTTERBEIN, THOMAS, JOHN MANAGING DIRECTOR - EXECUTIVE COMMITTEE 02/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2006-02-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2006-02-01
IVASCYN, DANIEL, JOHN MANAGING DIRECTOR - EXECUTIVE COMMITTEE, GROUP CHIEF INVESTMENT OFFICER 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT CO LLC MANAGING DIRECTOR direct 2007-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2007-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE, DEPUTY CHIEF INVESTMENT OFFICER direct 2014-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE, GROUP CHIEF INVESTMENT OFFICER direct 2014-09-01
PUNTORIERO, MICHAEL, JAMES MANAGING DIRECTOR, CO-CHIEF FINANCIAL OFFICER 12/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC CHIEF FINANCIAL OFFICER direct 2007-12-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, CO-CHIEF FINANCIAL OFFICER direct 2007-12-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2007-12-01
OPPENHEIMER CAPITAL LLC CHIEF FINANCIAL OFFICER direct 2007-12-01
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER direct 2007-07-01
NFJ INVESTMENT GROUP LLC CHIEF FINANCIAL OFFICER direct 2007-12-01
OPCAP ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2007-12-01
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2007-12-01
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC CHIEF FINANCIAL OFFICER direct 2007-12-01
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2012-10-01
RCM CAPITAL MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2012-09-01
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC CHIEF FINANCIAL OFFICER direct 2008-06-01
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER direct 2007-12-01
ALLIANZ GLOBAL INVESTORS U.S. LLC MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER direct 2008-06-01
FLATTUM, DAVID, CARL MANAGING DIRECTOR, GLOBAL GENERAL COUNSEL 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, GLOBAL GENERAL COUNSEL direct 2009-01-01
PA FUND MANAGEMENT LLC MEMBER OF MANAGEMENT BOARD direct 2004-07-01 2006-03-30
PIMCO ADVISORS LP MANAGING DIRECTOR direct 2001-04-01 2006-10-18
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2009-01-01 2017-03-01
KIESEL, MARK, RICHARD MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER (GLOBAL CREDIT) 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2009-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, DEPUTY CHIEF INVESTMENT OFFICER direct 2014-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER (GLOBAL CREDIT) direct 2014-09-01
WORAH, MIHIR, PRAVIN MANAGING DIRECTOR - EXECUTIVE COMMITTEE, CHIEF INVESTMENT OFFICER (REAL RETURN AND ASSET ALLOCATION) 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE, CHIEF INVESTMENT OFFICER (REAL RETURN AND ASSET ALLOCATION) direct 2014-09-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2009-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE, DEPUTY CHIEF INVESTMENT OFFICER direct 2014-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, DEPUTY CHIEF INVESTMENT OFFICER direct 2014-01-01
BALLS, ANDREW, THOMAS MANAGING DIRECTOR - CHIEF INVESTMENT OFFICER (GLOBAL) 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2009-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, DEPUTY CHIEF INVESTMENT OFFICER direct 2014-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE, CHIEF INVESTMENT OFFICER (GLOBAL) direct 2014-09-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - CHIEF INVESTMENT OFFICER (GLOBAL) direct 2014-09-01
ALLIANZ ASSET MANAGEMENT OF AMERICA LLC MEMBER 12/01/2006 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. SOLE MEMBER indirect 2000-05-01
OPCAP ADVISORS LLC SOLE MEMBER indirect 2000-05-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MEMBER direct 2006-12-01
OPPENHEIMER CAPITAL SOLE MEMBER indirect 2000-05-01 2001-01-31
PARAMETRIC PORTFOLIO ASSOCIATES MANAGING MEMBER indirect 2000-05-01 2001-02-27
PARAMETRIC PORTFOLIO ASSOCIATES GENERAL PARTNER indirect 2000-05-01 2001-02-27
NFJ INVESTMENT GROUP MEMBER indirect 2000-05-01 2001-02-27
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE MEMBER indirect 2000-05-01 2001-02-28
CADENCE CAPITAL MANAGEMENT MEMBER indirect 2000-05-01 2001-02-28
PIMCO SPECIALTY MARKETS LLC MEMBER indirect 2000-05-01 2001-03-30
VALUE ADVISORS LLC MEMBER indirect 2000-05-01 2001-03-30
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC MEMBER indirect 2000-05-01 2001-03-30
OPCAP ADVISORS SOLE MEMBER indirect 2000-05-01 2001-07-12
PIMCO ADVISORS LP SOLE MEMBER indirect 2000-05-01 2001-07-25
OPCAP ADVISORS SOLE MEMBER AND UNITHOLDER RESPECTIVELY indirect 2000-05-01 2002-03-28
OPCAP ADVISORS LLC SOLE MEMBER indirect 2000-05-01 2006-09-29
PIMCO ADVISORS LP SOLE MEMBER indirect 2000-05-01 2006-10-18
DURHAM, JENNIFER, E. MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC CHIEF COMPLIANCE OFFICER direct 2009-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER direct 2009-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2012-01-01
SEIDNER, MARC, PETER MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER (NON-TRADITIONAL STRATEGIES) 11/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
STANDISH AYER & WOOD INC DIRECTOR, VICE PRESIDENT direct 1995-08-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER (NON-TRADITIONAL STRATEGIES) direct 2014-11-01
STANDISH AYER & WOOD INC PRINCIPAL, VICE PRESIDENT direct 1995-08-01 2000-11-17
STANDISH INTERNATIONAL MANAGEMENT COMPANY, LLC TRUSTEE indirect 2000-04-01 2001-02-27
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2011-01-01 2013-01-16
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2011-01-01 2014-02-27
GRANTHAM MAYO VAN OTTERLOO & CO LLC MEMBER; INVESTMENT DIRECTOR direct 2014-03-01 2014-05-16
KORINKE, KIMBERLEY, GRACE MANAGING DIRECTOR - EXECUTIVE COMMITTEE 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2016-02-01
ROMAN, EMMANUEL, NMN MANAGING DIRECTOR - EXECUTIVE COMMITTEE AND CHIEF EXECUTIVE OFFICER 11/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE AND CHIEF EXECUTIVE OFFICER direct 2016-11-01
SOCIETE GENERALE ASSET MGMT INTL LTD DIRECTOR direct 2009-04-01
NUMERIC INVESTORS LLC DIRECTOR direct 2014-09-01
DAWSON, CRAIG, ALLEN MANAGING DIRECTOR - EXECUTIVE COMMITTEE 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2008-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2017-02-01
STRACKE, THIBAULT, CHRISTIAN MANAGING DIRECTOR - EXECUTIVE COMMITTEE 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2010-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2017-02-01
WANG, QI MANAGING DIRECTOR - EXECUTIVE COMMITTEE 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2012-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2017-02-01
KIRKOWSKI, JOHN, JEFFREY MANAGING DIRECTOR - CO-CHIEF FINANCIAL OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - CO-CHIEF FINANCIAL OFFICER direct 2017-09-01
STRELOW, PETER, G. MANAGING DIRECTOR - CO-CHIEF OPERATING OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2012-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - CO-CHIEF OPERATING OFFICER direct 2017-09-01
Shanahan, Robin, Christine MANAGING DIRECTOR, CO-CHIEF OPERATING OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, CO-CHIEF OPERATING OFFICER direct 2017-09-01
STAHL, CATHLEEN, RUTH MANAGING DIRECTOR - EXECUTIVE COMMITTEE 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2019-01-01
ALLIANZ ASSET MANAGEMENT OF AMERICA LLC PARTNER ALLIANZ ASSET MANAGEMENT OF AMERICA L.P. 12/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PIMCO ADVISORS RETAIL HOLDINGS LLC MEMBER indirect 2000-05-01
PIMCO SPECIALTY MARKETS LLC MEMBER indirect 2000-05-01
PEA CAPITAL LLC MEMBER indirect 2000-05-01
OPCAP ADVISORS LLC UNITHOLDER indirect 2001-01-01
ALLIANZ PRIVATE CLIENT SERVICES LLC MEMBER indirect 2001-07-01
PEA CAPITAL LLC UNITHOLDER indirect 2002-01-01
PA RETAIL HOLDINGS LLC UNITHOLDER indirect 2002-01-01
ALLIANZ PRIVATE CLIENT SERVICES LLC UNITHOLDER indirect 2002-01-01
PIMCO SPECIALTY MARKETS LLC UNITHOLDER indirect 2002-01-01
ALLIANZ GLOBAL INVESTORS CAPITAL LLC PARTNER indirect 2009-12-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC PARTNER indirect 2009-12-01
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC PARTNER indirect 2009-12-01
NFJ INVESTMENT GROUP LLC PARTNER indirect 2009-12-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC PARTNER indirect 2009-12-01
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC PARTNER indirect 2009-12-01
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC PARTNER indirect 2009-12-01
OPPENHEIMER CAPITAL LLC GENERAL PARTNER indirect 2009-12-01
RCM CAPITAL MANAGEMENT LLC PARTNER indirect 2009-12-01
PIMCO SOLAR ADVISER LLC PARTNER indirect 2009-12-01
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC PARTNER indirect 2009-12-01
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP LIMITED PARTNER direct 2001-01-01 2001-03-02
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP MEMBER indirect 2001-01-01 2001-03-02
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP MEMBER indirect 2001-01-01 2001-08-24
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP LIMITED PARTNER direct 2001-07-01 2001-08-24
NFJ INVESTMENT GROUP MEMBER indirect 2000-05-01 2001-10-19
ALLIANZ HEDGE FUND MEMBER indirect 2000-05-01 2001-11-20
CADENCE CAPITAL MANAGEMENT MEMBER indirect 2000-05-01 2001-11-21
PIMCO SPECIALTY MARKETS LLC MEMBER indirect 2000-05-01 2001-11-27
VALUE ADVISORS LLC MEMBER indirect 2000-05-01 2001-12-04
PIMCO ADVISORY SERVICES LLC MEMBER indirect 2000-05-01 2001-12-06
PIMCO EQUITY ADVISORS LLC MEMBER indirect 2000-05-01 2001-12-06
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE MEMBER indirect 2000-05-01 2001-12-06
PIMCO PRIVATE CLIENT SERVICES LLC MEMBER indirect 2001-07-01 2001-12-06
CADENCE CAPITAL MANAGEMENT UNITHOLDER indirect 2002-01-01 2004-06-29
OPPENHEIMER CAPITAL LLC UNITHOLDER indirect 2002-01-01 2004-06-29
NFJ INVESTMENT GROUP L.P. MEMBER indirect 2001-07-01 2004-06-30
ALLIANZ HEDGE FUND PARTNERS L.P. UNITHOLDER indirect 2002-01-01 2004-06-30
PIMCO SPECIALTY MARKETS LLC UNITHOLDER indirect 2002-01-01 2004-06-30
ALLIANZ PRIVATE CLIENT SERVICES LLC UNITHOLDER indirect 2002-01-01 2004-06-30
NFJ INVESTMENT GROUP UNITHOLDER indirect 2002-01-01 2004-06-30
PACIFIC INVESTMENT MANAGEMENT CO LLC UNITHOLDER indirect 2002-01-01 2004-08-04
PA MANAGED ACCOUNTS LLC UNITHOLDER indirect 2002-01-01 2004-08-30
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC UNITHOLDER indirect 2002-01-01 2004-08-30
OPCAP ADVISORS LLC UNITHOLDER indirect 2001-01-01 2004-09-28
PEA CAPITAL LLC UNITHOLDER indirect 2002-01-01 2004-10-23
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC UNITHOLDER indirect 2002-01-01 2004-10-23
PIMCO ADVISORY SERVICES HOLDINGS LLC UNITHOLDER indirect 2002-01-01 2004-10-25
CADENCE CAPITAL MANAGEMENT LLC MEMBER indirect 2000-05-01 2005-04-21
CADENCE CAPITAL MANAGEMENT LLC UNITHOLDER indirect 2002-01-01 2005-04-21
OPPENHEIMER CAPITAL LLC SOLE MEMBER indirect 2000-05-01 2006-03-29
ALLIANZ HEDGE FUND PARTNERS L.P. MEMBER indirect 2000-05-01 2006-03-29
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC MEMBER indirect 2000-05-01 2006-03-30
PA MANAGED ACCOUNTS LLC MEMBER indirect 2000-05-01 2006-03-30
PACIFIC INVESTMENT MANAGEMENT CO LLC MEMBER indirect 2001-07-01 2006-05-15
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC MEMBER indirect 2000-05-01 2006-06-28
NFJ INVESTMENT GROUP MEMBER indirect 2000-05-01 2006-10-11
ALLIANZ HEDGE FUND PARTNERS L.P. MEMBER indirect 2000-05-01 2007-03-30
ALLIANZ HEDGE FUND PARTNERS L.P. UNITHOLDER indirect 2002-01-01 2007-03-30
NFJ INVESTMENT GROUP L.P. MEMBER indirect 2001-07-01 2008-08-05
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC UNITHOLDER indirect 2002-01-01 2009-09-10
NFJ INVESTMENT GROUP L.P. UNITHOLDER indirect 2002-01-01 2009-09-14
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC UNITHOLDER indirect 2002-01-01 2009-09-14
PA MANAGED ACCOUNTS LLC UNITHOLDER indirect 2002-01-01 2009-09-21
OPPENHEIMER CAPITAL LLC UNITHOLDER indirect 2002-01-01 2009-11-20
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC UNITHOLDER indirect 2002-01-01 2009-11-20
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC UNITHOLDER indirect 2002-01-01 2009-11-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC UNITHOLDER indirect 2008-06-01 2009-11-23
NFJ INVESTMENT GROUP LLC MEMBER indirect 2001-07-01 2010-02-25
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC MEMBER indirect 2000-05-01 2010-03-23
OPPENHEIMER CAPITAL LLC SOLE MEMBER indirect 2000-05-01 2010-03-23
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC MEMBER indirect 2000-05-01 2010-03-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC MEMBER indirect 2008-06-01 2010-03-23
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC GENERAL PARTNER indirect 2009-12-01 2010-03-23
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MEMBER indirect 2001-07-01 2010-03-25
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC GENERAL PARTNER indirect 2009-12-01 2010-03-25
NFJ INVESTMENT GROUP L.P. MEMBER indirect 2000-05-01 2010-03-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC MEMBER indirect 2000-05-01 2010-03-30
NFJ INVESTMENT GROUP LLC GENERAL PARTNER indirect 2009-12-01 2010-03-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC GENERAL PARTNER indirect 2009-12-01 2010-03-30
ALLIANZ GLOBAL INVESTORS CAPITAL LLC MEMBER indirect 2000-05-01 2010-04-30
ALLIANZ GLOBAL INVESTORS CAPITAL LLC GENERAL PARTNER indirect 2009-12-01 2010-07-27
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2009-12-01 2010-07-27
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC GENERAL PARTNER indirect 2009-12-01 2010-09-22
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC PARTNER indirect 2009-12-01 2011-06-29
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC PARTNER indirect 2009-12-01 2011-06-29
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC PARTNER indirect 2009-12-01 2011-06-29
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC PARTNER indirect 2009-12-01 2011-06-30
NFJ INVESTMENT GROUP LLC PARTNER indirect 2009-12-01 2011-10-05
NFJ INVESTMENT GROUP LLC MEMBER indirect 2010-03-01 2011-10-05
ALLIANZ GLOBAL INVESTORS CAPITAL LLC PARTNER indirect 2009-12-01 2011-11-30
ALLIANZ OF AMERICA, INC. MEMBER ALLIANZ ASSET MANAGEMENT OF AMERICA LLC 05/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ALLIANZ INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1979-11-01
QUESTAR ASSET MANAGEMENT, INC. SHAREHOLDER indirect 1996-04-01
USALLIANZ SECURITIES, INC. SHAREHOLDER indirect 1999-08-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MEMBER indirect 2000-05-01
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC MEMBER indirect 2000-05-01
RCM CAPITAL MANAGEMENT LLC MEMBER indirect 2000-05-01
ALLIANZ GLOBAL INVESTORS U.S. LLC MEMBER indirect 2000-05-01
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC MEMBER indirect 2000-05-01
PIMCO SOLAR ADVISER LLC MEMBER indirect 2000-05-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC MEMBER indirect 2000-05-01
NFJ INVESTMENT GROUP LLC MEMBER indirect 2000-05-01
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC MEMBER indirect 2000-05-01
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC MEMBER indirect 2000-05-01
ALLIANZ CAPITAL PARTNERS OF AMERICA, INC. SOLE SHAREHOLDER direct 2002-12-01
QUESTAR CAPITAL CORPORATION SHAREHOLDER indirect 2005-11-01
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP MEMBER indirect 2001-01-01 2001-03-02
VALUE ADVISORS LLC MEMBER indirect 2000-05-01 2001-03-30
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP MEMBER indirect 2001-01-01 2001-08-24
PIMCO ALLIANZ ADVISORS LLC MEMBER indirect 2000-05-01 2002-01-30
USALLIANZ SECURITIES, INC. SHAREHOLDER indirect 1999-08-01 2004-03-26
PIMCO ADVISORS MANAGED ACCOUNTS LLC MEMBER indirect 2000-05-01 2004-08-30
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC MEMBER indirect 2000-05-01 2004-08-30
DRESDNER RCM GLOBAL INVESTORS LLC PARENT indirect 2001-07-01 2004-08-31
QUESTAR ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2005-11-01 2009-06-03
RCM CAPITAL MANAGEMENT LLC PARENT indirect 2001-07-01 2010-07-28
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC MEMBER indirect 2008-06-01 2010-09-22
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC MEMBER indirect 2000-05-01 2011-06-29
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MEMBER indirect 2000-05-01 2011-06-29
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC MEMBER indirect 2000-05-01 2011-06-29
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC MEMBER indirect 2000-05-01 2011-06-30
NFJ INVESTMENT GROUP LLC MEMBER indirect 2000-05-01 2011-10-05
ALLIANZ GLOBAL INVESTORS CAPITAL LLC MEMBER indirect 2000-05-01 2011-11-30
ALLIANZ CAPITAL PARTNERS OF AMERICA, INC. SHAREHOLDER direct 2002-12-01 2014-03-31
ALLIANZ EUROPE B.V. SOLE STOCKHOLDER ALLIANZ OF AMERICA, INC. 06/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PIERCE STREET ADVISORS, LLC GENERAL PARTNER indirect 2004-08-01
ORBITEX MANAGEMENT INC PARENT direct 2000-05-01
TD CAPITAL PRIVATE EQUITY ADVISORS LTD. DIRECT OWNER direct 2009-11-01
BBRS PRIVATE WEALTH MANAGEMENT, LLC MEMBER direct 2009-11-01
ODEY ASSET MANAGEMENT LLP LIMITED LIABILITY COMPANY direct 2010-01-01
CALAMOS PARTNERS LLC SHAREHOLDER indirect 2004-10-01
CHURCHILL FINANCIAL LLC SHAREHOLDER indirect 2010-04-01
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2000-06-01
PHINEUS PARTNERS, L.P. SHAREHOLDER indirect 2004-10-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2010-04-01
PHARMAKON ADVISORS, LP OWNER direct 2010-04-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2010-05-01
ING LEXINGTON MANAGEMENT CORP SHAREHOLDER indirect 2000-09-01
RWC ASSET MANAGEMENT LLP SHAREHOLDER indirect 2010-06-01
MARKET SYSTEMS RESEARCH INC SHAREHOLDER indirect 2000-09-01
TWELVE CAPITAL (UK) LTD SHAREHOLDER indirect 2010-07-01
ING PILGRIM QUANTITATIVE MANAGEMENT, INC. SHAREHOLDER indirect 2000-09-01
C-QUADRAT KAPITALANLAGE AG CO direct 2000-09-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01
BOSTON ADVISORS INC OWNER direct 2001-01-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH STOCKHOLDER indirect 2010-08-01
PROTECTED INVESTORS OF AMERICA SHAREHOLDER direct 2001-01-01
MORGAN KEEGAN TRUST COMPANY, F.S.B. DIRECT OWNER / HOLDING COMPANY direct 2001-03-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH STOCKHOLDER indirect 2010-08-01
NWQ INVESTMENT MANAGEMENT CO INC 100% SHAREHOLDER OF NWQ INVESTMENT MANAGEMENT COMPANY INC. direct 2001-04-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER direct 2001-05-01
AIFAM, INC. SHAREHOLDER direct 2010-09-01
SARACEN PURE ENERGY PARTNERS, LP GENERAL PARTNER direct 2010-11-01
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2004-12-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2010-12-01
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2004-12-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC HOLDING COMPANY indirect 2010-12-01
HYPERION GMAC CAPITAL ADVISORS, LLC OWNER indirect 2004-12-01
WAFRA CAPITAL PARTNERS INC. DIRECT OWNER direct 2011-01-01
HYPERION GMAC CAPITAL ADVISORS, LLC OWNER indirect 2004-12-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SOLE STOCKHOLDER direct 2011-03-01
NXT CAPITAL INVESTMENT ADVISERS, LLC SHAREHOLDER indirect 2011-07-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MEMBER indirect 2011-07-01
PENN STREET INVESTMENT ADVISORS, INC. SHAREHOLDER direct 2005-03-01
KENMONT INVESTMENTS MANAGEMENT, L.P. LIMITED PARTNER direct 2005-03-01
TRINITY LEGACY PARTNERS, LLC GENERAL PARTNER indirect 2011-09-01
OPPENHEIMER CAPITAL LLC MEMBER direct 2005-04-01
TRINITY LEGACY PARTNERS, LLC GENERAL PARTNER indirect 2011-09-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 1940-04-01
PEA CAPITAL LLC MEMBER direct 2005-04-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2011-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2011-12-01
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 1973-08-01
PRIMA CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2011-12-01
KG REDDING, LLC OWNER indirect 2005-04-01
PRIMA CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2011-12-01
SKY HARBOR CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2011-12-01
BROOKFIELD PRIVATE EQUITY ADVISORS LLC OWNER indirect 2005-04-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 1978-08-01
AMP CAPITAL BROOKFIELD (US) LLC OWNER indirect 2005-04-01
CEDAR RIDGE PARTNERS, LLC CLASS A MEMBER direct 2005-04-01
POLEN CAPITAL MANAGEMENT, LLC BANK HOLDING COMPANY indirect 1978-11-01
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2005-04-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC BANK HOLDING COMPANY indirect 1978-11-01
ENHANCED CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2011-12-01
SHOREVIEW INDUSTRIES II, LLC OWNER indirect 1980-09-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2005-05-01
KENMONT INVESTMENTS MANAGEMENT, L.P. GENERAL PARTNER indirect 2005-06-01
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. STOCKHOLDER indirect 2005-06-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. STOCKHOLDER indirect 2005-06-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01
OPPENHEIMER CAPITAL LLC STOCKHOLDER indirect 2005-06-01
TREE LINE CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2011-12-01
MVP PARTNERS 5, LLC OWNER indirect 2012-01-01
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2005-06-01
OPCAP ADVISORS LLC STOCKHOLDER indirect 2005-06-01
TITAN HOLDINGS GROUP, INC. SHAREHOLDER direct 2012-01-01
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2012-01-01
WAFRA INVESTMENT ADVISORY GROUP, INC. WHOLLY OWNS APPLICANT direct 1984-07-01
PHOENIX CAPITAL REALTY ADVISORS, LLC MEMBER (PHOENIX CAPITAL REALTY ADVISORS, LLC) direct 2012-01-01
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2005-06-01
ERMITAGE ASSET MANAGEMENT JERSEY LIMITED SHAREHOLDER indirect 2012-04-01
EASTSPRING INVESTMENTS INCORPORATED SOLE SHAREHOLDER direct 2012-04-01
CITICORP TRUST BANK, FSB SHAREHOLDER indirect 2001-10-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 2012-06-01
PEA CAPITAL LLC STOCKHOLDER indirect 2005-06-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC SOLE STOCKHOLDER indirect 2012-06-01
PEA CAPITAL LLC STOCKHOLDER indirect 2005-06-01
ALLIANZ GLOBAL INVESTORS CAPITAL LLC SOLE STOCKHOLDER indirect 2012-06-01
NFJ INVESTMENT GROUP LLC SOLE STOCKHOLDER indirect 2012-06-01
RCM CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
AEGON USA INVESTMENT MANAGEMENT INC OWNER OF AEGON U.S. HOLDING CORP. direct 1988-03-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
AEGON USA INVESTMENT MANAGEMENT INC ACTIVE indirect 1988-03-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 1989-12-01
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2005-06-01
ALLIANZ CAPITAL PARTNERS OF AMERICA, INC. SOLE SHAREHOLDER indirect 2012-06-01
WAFRA INVESTMENT ADVISORY GROUP, INC. 95.5% OWNER OF WIC indirect 1990-01-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 2012-06-01
WAFRA INVESTMENT ADVISORY GROUP, INC. WHOLLY OWNS PIFSS indirect 1990-01-01
PIMCO SOLAR ADVISER LLC SOLE STOCKHOLDER indirect 2012-06-01
VELA INVESTORS PTE LTD SHAREHOLDER direct 2012-08-01
PROTECTED INVESTORS OF AMERICA SHAREHOLDER direct 2012-11-01
WAFRA CAPITAL PARTNERS INC. 95.5% OWNER OF WAFRA INTERVEST CORPORATION indirect 1990-01-01
WAFRA CAPITAL PARTNERS INC. WHOLLY OWNS THE PUBLIC INSTITUTION FOR SOCIAL SECURITY indirect 1990-01-01
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2005-06-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2001-11-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 1990-01-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC HOLDING COMPANY indirect 2001-11-01
GRANITE SPRINGS ASSET MANAGEMENT, LLC OWNER/ MEMBER direct 2012-12-01
ARCLIGHT CAPITAL PARTNERS, LLC WHOLLY OWNS PUBLIC INSTITUTION FOR SOCIAL SECURITY OF KUWAIT indirect 1990-01-01
LCN CAPITAL PARTNERS, L.P. LIMITED PARTNER OF LCN CAPITAL PARTNERS, L.P. direct 2013-01-01
LCN CAPITAL PARTNERS, L.P. LIMITED PARTNERS OF LCN CAPITAL MANAGEMENT, L.P. indirect 2013-01-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 1990-04-01
LATIN AMERICA ALTERNATIVES MANAGEMENT (US), LLC SOLE MEMBER direct 2013-02-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 1990-04-01
CAMBERLINK LLC SHAREHOLDER indirect 2013-04-01
NEWGLOBE, L.P. GENERAL PARTNER direct 2013-05-01
CURSITOR EATON ASSET MANAGEMENT CO 100% S/H indirect 1990-07-01
ALLIANCE ASSET ALLOCATION LTD 100% SHAREHOLDER OF REGISTRANT direct 2002-03-01
WINDMILL HILL ASSET MANAGEMENT LIMITED SHAREHOLDER direct 2013-05-01
ENERVEST INVESTMENT SERVICES, LLC SHAREHOLDER indirect 1990-12-01
PINNACLE WEALTH MANAGEMENT, INC. PARENT COMPANY direct 2005-09-01
GMG INVESTMENT ADVISORS LLC HOLDING COMPANY direct 2013-06-01
NEWMAN RAGAZZI PARTNERS LLP PARTNER direct 2005-09-01
CONEGLIANO VENTURES, LLC GENERAL PARTNER direct 2013-06-01
ENDEAVOR MANAGEMENT CO OWNER indirect 1991-02-01
FINANCIAL MANAGEMENT ADVISORS INC PARENT COMPANY indirect 2002-04-01
EMSO PARTNERS LIMITED SOLE SHAREHOLDER direct 2013-08-01
ENDEAVOR MANAGEMENT CO OWNER indirect 1991-02-01
NEWMAN RAGAZZI PARTNERS LLP PARTNER direct 2005-11-01
ENDEAVOR MANAGEMENT CO OWNER indirect 1991-02-01
DIVERSIFIED GLOBAL ASSET MANAGEMENT INC OWNER indirect 2005-11-01
EMSO ASSET MANAGEMENT US LLC SOLE SHAREHOLDER indirect 2013-08-01
DSC ADVISORS, L.P. MEMBER indirect 2005-12-01
SPUNGINVESTMENTS, LLC MEMBER indirect 2005-12-01
IDEX MANAGEMENT, INC OWNER OF AEGON INTERNATIONAL NV indirect 1991-04-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 2013-10-01
CLEARY GULL ADVISORS INC. SHAREHOLDER OF A AND B SHARES indirect 1991-06-01
STRENTA INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2013-10-01
BROOKFIELD PRIVATE EQUITY ADVISORS LLC OWNER indirect 2005-12-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 1991-10-01
HYPERION BROOKFIELD ASSET MANAGEMENT, INC. OWNER indirect 2005-12-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2013-12-01
BROADSTONE REAL ESTATE, LLC GENERAL PARTNER indirect 2013-12-01
BROOKFIELD REDDING LLC OWNER indirect 2005-12-01
BOLTON LP OWNER indirect 2013-12-01
REAL ESTATE CAPITAL PARTNERS LP SHAREHOLDER indirect 1992-01-01
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2005-12-01
BOLTON LP OWNER indirect 2013-12-01
BOLTON LP OWNER indirect 2013-12-01
ODEY ASSET MANAGEMENT LLP LIMITED COMPANY, MANAGING MEMBER OF LLP direct 2005-12-01
BROADSTONE ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC GENERAL PARTNER indirect 2013-12-01
HOTTINGER CAPITAL CORP STOCKHOLDER direct 1993-01-01
CONNECTIVE PORTFOLIO MANAGEMENT, LLC SOLE STOCKHOLDER indirect 1993-01-01
NORTHSTAR CAPITAL INVESTMENT, CORP. MEMBER indirect 1993-03-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH SOLE STOCKHOLDER direct 2006-01-01
KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD. SHAREHOLDER direct 2014-03-01
DEUTSCHE ALTERNATIVE ASSET MANAGEMENT (GLOBAL) LIMITED OWNER direct 2006-02-01
DOUGHERTY & COMPANY LLC OWNER indirect 2014-04-01
PROPHECY ASSET MANAGEMENT, INC GENERAL PARTNER OF PROPHECY ASSET MANAGEMENT, LP direct 2014-04-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SOLE STOCKHOLDER indirect 2002-10-01
DOUGHERTY WEALTH ADVISERS LLC MEMBER indirect 2014-04-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2014-04-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 1994-05-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH SOLE STOCKHOLDER indirect 2002-10-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC PARENT indirect 2014-04-01
WESTLB MELLON ASSET MANAGEMENT (USA) LLC PARENT indirect 2006-04-01
TWELVE CAPITAL (UK) LTD SHAREHOLDER direct 2014-05-01
TWELVE CAPITAL (UK) LTD SHAREHOLDER indirect 2014-05-01
OAKTREE CAPITAL MANAGEMENT, L.P. MANAGING MEMBER direct 2014-08-01
CRA MANAGEMENT PTE LTD SHAREHOLDER direct 2006-06-01
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTNER indirect 2014-08-01
ARISTA WEALTH MANAGEMENT, LLC MEMBER indirect 2006-07-01
OAKTREE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2014-08-01
OAKTREE CAPITAL MANAGEMENT, L.P. MEMBER direct 2014-08-01
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER direct 2006-10-01
STREAMSONG ADVISORS, LLC OWNER direct 2014-08-01
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2014-08-01
ATL ADVISOR LLC GENERAL PARTNER direct 2014-09-01
STEAMBOAT CAPITAL PARTNERS, LLC MEMBER direct 2014-09-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAREHOLDER indirect 1995-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2006-12-01
OGAM, LP SHAREHOLDER indirect 2014-10-01
AMHERST CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2006-12-01
OGAM, LP SHAREHOLDER indirect 2014-10-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. L.P. STOCKHOLDER indirect 1996-04-01
AMHERST ADVISORY & MANAGEMENT LLC GENERAL PARTNER indirect 2006-12-01
MAWER INVESTMENT MANAGEMENT LTD. SHAREHOLDER direct 2015-01-01
AERO ASSET MANAGEMENT, LLC. PARENT COMPANY direct 2007-03-01
MILLENNIUM CAPITAL ADVISORS LLC SHAREHOLDER direct 1996-06-01
DEIMOS ASSET MANAGEMENT LLC MEMBER direct 2015-02-01
RERC, LLC PARTNERS indirect 2015-03-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. L.P. STOCKHOLDER indirect 2007-04-01
CEDRUS PARK MANAGEMENT LP LIMITED PARTNER OF ADVISER, MEMBER OF RELYING ADVISER direct 2015-04-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2007-04-01
AMERICAN BEACON ADVISORS, INC. GENERAL PARTNER indirect 2015-04-01
PIMCO SPECIALTY MARKETS LLC SOLE STOCKHOLDER indirect 2003-01-01
SHAPIRO CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2015-04-01
ALLIANZ DRESDNER ASSET MANAGEMENT OF AMERICA L.P. STOCKHOLDER indirect 2003-01-01
UNIO CAPITAL LLC LIMITED PARTNER indirect 2015-05-01
FIRST MARKET BANK, F.S.B. SHAREHOLDER direct 1997-11-01
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2003-01-01
CONCENTRIC WEALTH ADVISORS LLC MANAGING MEMBER indirect 2015-06-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2015-06-01
PA RETAIL HOLDINGS LLC STOCKHOLDER indirect 2003-01-01
GENSPRING CHARLESTON, LLC SHAREHOLDER indirect 2007-05-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC HOLDING COMPANY indirect 2015-06-01
ALLIANZ PRIVATE CLIENT SERVICES LLC STOCKHOLDER indirect 2003-01-01
ENVISO CAPITAL, LLC OWNER indirect 2015-07-01
UTC FUND SERVICES, INC. SHAREHOLDER direct 1997-12-01
STANLEY CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2015-07-01
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTNER indirect 2007-05-01
STANLEY CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2015-08-01
FRIENDS IVORY & SIME PLC PARENT COMPANY direct 1998-02-01
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTER indirect 2007-05-01
VICTORY PARK CAPITAL ADVISORS, LLC LIMITED PARTNER (OF VITALOGY CAPITAL PARTNERS MANAGEMENT LP) direct 2015-09-01
FRIENDS IVORY & SIME INC PARENT COMPANY indirect 1998-02-01
OAKTREE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2007-05-01
STANLEY CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2015-09-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAAREHOLDER direct 1998-06-01
OAKTREE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2007-05-01
STANLEY CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2015-09-01
CONCENTRIC WEALTH ADVISORS LLC OWNER, MANAGING MEMBER direct 2015-10-01
APEXIUM FINANCIAL LP GENERAL PARTNER direct 2015-10-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. L.P. STOCKHOLDER indirect 1998-07-01
APEXIUM FINANCIAL LP MEMBER indirect 2015-10-01
ING LEXINGTON MANAGEMENT CORP SHAREHOLDER indirect 1998-09-01
APEXIUM FINANCIAL LP GENERAL PARTNER direct 2015-10-01
ING LEXINGTON MANAGEMENT CORP SHAREHOLDER indirect 1998-09-01
APEXIUM FINANCIAL LP MEMBER indirect 2015-10-01
MARKET SYSTEMS RESEARCH ADVISORS INC SHAREHOLDER indirect 1998-09-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2015-10-01
MARKET SYSTEMS RESEARCH ADVISORS INC SHAREHOLDER indirect 1998-09-01
MARKET SYSTEMS RESEARCH INC SHAREHOLDER indirect 1998-09-01
CONSONANCE CAPITAL MASTER ACCOUNT LP GENERAL PARTNER direct 2007-07-01
ING MUTUAL FUNDS MANAGEMENT CO. LLC SHAREHOLDER indirect 1998-09-01
OPPENHEIMER CAPITAL LLC STOCKHOLDER indirect 2003-01-01
ING MUTUAL FUNDS MANAGEMENT CO. LLC SHAREHOLDER indirect 1998-09-01
HATTERAS FUNDS, LP GENERAL PARTNER direct 2016-01-01
ING MUTUAL FUNDS MANAGEMENT CO. LLC SHAREHOLDER indirect 1998-09-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 2003-01-01
IFG ADVISORY SERVICES INC SOLE SHAREHOLDER indirect 1998-11-01
STEWARD PARTNERS INVESTMENT ADVISORY, LLC MEMBER direct 2016-01-01
IFG ADVISORY SERVICES INC SOLE SHAREHOLDER indirect 1998-11-01
EDEN CAPITAL MANAGEMENT PARTNERS, L.P. GENERAL PARTNER direct 2003-02-01
STRATEGIC ASSET MANAGEMENT LTD. OWNER direct 2016-02-01
IFG ADVISORY SERVICES INC SOLE SHAREHOLDER indirect 1998-11-01
ATHENA RISK ADVISORS LLC OWNER direct 2003-03-01
STRATEGIC ASSET MANAGEMENT LTD. OWNER indirect 2016-02-01
OAKTREE CAPITAL MANAGEMENT, L.P. SHAREHOLDER direct 2007-10-01
COLONIAL ADVISORY SERVICES INC PARENT OF APPLICANT direct 1998-12-01
DSC ADVISORS, L.P. SOLE MEMBER OF ARBI LLC indirect 2016-03-01
BLUEPOINT INVESTMENT ADVISORY LLC MEMBER direct 2007-11-01
VILLANOVA SA CAPITAL TRUST SOLE TRUSTEE direct 1999-02-01
VILLANOVA MUTUAL FUND CAPITAL TRUST SOLE TRUSTEE direct 1999-02-01
ALBERT BRIDGE CAPITAL LLP INVESTOR MEMBER direct 2016-03-01
INLIGN WEALTH MANAGEMENT, LLC SHAREHOLDERS indirect 2007-12-01
ENTRUST PARTNERS OFFSHORE LP OWNER indirect 2016-05-01
EPLANNING ADVISORS INC PARENT COMPANY direct 1999-03-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2007-12-01
ENTRUST PARTNERS OFFSHORE LP IOWNER indirect 2016-05-01
RWC ASSET MANAGEMENT LLP MANAGING MEMBER direct 2007-12-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
TRANSAMERICA OCCIDENTAL LIFE INSURANCE CO. ACTIVE indirect 1999-07-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
CONEXUS CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2016-06-01
TXRE ADVISERS, LLC SHAREHOLDER indirect 2016-06-01
FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD SHAREHOLDER direct 2008-03-01
ALPHA QUANT ADVISORS, LLC GENERAL PARTNER indirect 2016-10-01
KPC TERRAPIN GROUP LLC MEMBER direct 2016-11-01
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2016-12-01
MAWER INVESTMENT MANAGEMENT LTD. SHAREHOLDER direct 2016-12-01
LIGHTBAY MANAGEMENT LLC GENERAL PARTNER OF LIGHTBAY INVESTMENT PARTNERS GP LP (RELYING ADVISER) direct 2016-12-01
AVENUE CREDIT MANAGEMENT, L.P. GENERAL PARTNER OF AVENUE CREDIT MANAGEMENT, L.P. direct 2017-01-01
CROSS KEYS SECURITIES LIMITED PARTNERSHIP GENERAL PARTNER direct 1999-11-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2017-01-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2017-01-01
LAUREATE WEALTH MANAGEMENT LLC GENERAL PARTNER indirect 2008-06-01
CADIAN CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2017-01-01
ONEASCENT FINANCIAL SOLUTIONS LLC MANAGING MEMBER direct 2017-02-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2003-06-01
MONCRIEF WILLINGHAM ENERGY ADVISERS, L.P. LIMITED PARTNER direct 2008-07-01
THE PALISADES GROUP, LLC OWNER direct 2017-03-01
MAWER INVESTMENT MANAGEMENT LTD. SHAREHOLDER direct 2003-06-01
MONCRIEF WILLINGHAM ENERGY ADVISERS, L.P. MEMBER indirect 2008-07-01
TALSON CAPITAL MANAGEMENT L.P. LIMITED PARTNER OF TAYLOR INVESTMENT ADVISORS LP direct 2017-03-01
CRUX RESOURCE MANAGEMENT, LLC MANAGING MEMBER, CRUX RESOURCE MANAGEMENT, LLC direct 2017-03-01
TAYLOR INVESTMENT ADVISORS LP LIMITED PARTNER direct 2017-03-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 2003-07-01
OGAM, LP PARTNER direct 2017-04-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER, COMMON VOTING indirect 2003-07-01
HIGHSIDE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2003-07-01
CW WEALTH STRATEGIES MEMBER direct 2017-06-01
HOURGLASS CAPITAL, LLC MEMBER indirect 2008-09-01
SHOREVIEW INDUSTRIES II, LLC OWNER indirect 2000-04-01
COTTON CREEK CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-04-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 2003-07-01
MERION INVESTMENT MANAGEMENT LP GENERAL PARTNER indirect 2008-10-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 2003-07-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2008-12-01
SANDS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL VENTURES, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL VENTURES, LLC MEMBER indirect 2008-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2008-12-01
PRIMA CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2008-12-01
HIGHSIDE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER (HIGHSIDE PERFORMANCE L.P.) ("RELYING ADVISER") direct 2008-12-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 2008-12-01
MCF-ALADDIN CAPITAL MANAGEMENT LLC MEMBER indirect 2003-12-01
SANDS CAPITAL VENTURES, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-12-01
CLAYVARD FUND MANAGEMENT USA, INC. SHAREHOLDER direct 2004-01-01
HIGHSIDE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER (HOLGP, L.P.) ("RELYING ADVISER") direct 2009-02-01
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2004-01-01
CHAMBERS ENERGY MANAGEMENT, LP GENERAL PARTNER indirect 2009-03-01
GRANITE POINT CAPITAL MANAGEMENT, L.P. GENERAL PARTNER direct 2004-01-01
PRAEDIUM INVESTMENT ADVISERS LLC SHAREHOLDER indirect 2004-02-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2009-04-01
BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC SHAREHOLDER indirect 2004-02-01
SSR CAPITAL PARTNERS, LP RECEIVER indirect 2009-05-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2004-05-01
OAKTREE CAPITAL MANAGEMENT, L.P. MANAGING MEMBER indirect 2009-06-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2004-05-01
PROTECTED INVESTORS OF AMERICA SHAREHOLDER direct 2009-06-01
BELVERON REAL ESTATE PARTNERS, LLC OWNER direct 2004-05-01
HG AMALGAM LLP MEMBER direct 2009-10-01
PIERCE STREET ADVISORS, LLC GENERAL PARTNER indirect 2004-07-01
RITCHIE CAPITAL MANAGEMENT, LTD. MEMBER direct 2004-08-01
RITCHIE CAPITAL MANAGEMENT, LTD. SHAREHOLDER indirect 2004-08-01
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE MEMBER indirect 2000-05-01 2000-11-03
WAFRA INVESTMENT ADVISORY GROUP, INC. 95.5% OWNER OF WIC direct 1990-01-01 2001-01-31
WAFRA INVESTMENT ADVISORY GROUP, INC. WHOLLY OWNS PIFSS direct 1990-01-01 2001-01-31
CROSS KEYS ASSET MANAGEMENT INC SHAREHOLDER OF NFP direct 1999-11-01 2001-01-31
CROSS KEYS ASSET MANAGEMENT INC LIMITED PARTNER OF APOLLO FUND direct 1999-11-01 2001-01-31
OPCAP ADVISORS MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL SOLE MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL SOLE MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL SOLE SHAREHOLDER indirect 2000-05-01 2001-01-31
IDEX MANAGEMENT, INC OWNER OF AEGON indirect 1991-04-01 2001-02-01
PIMCO ADVISORS LP MEMBER indirect 2000-05-01 2001-02-01
PIMCO ADVISORS LP SOLE MEMBER indirect 2000-05-01 2001-02-01
PIMCO ADVISORS LP SOLE MEMBER indirect 2000-05-01 2001-02-01
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** GENERAL AND LIMITED PARTNER direct 1996-05-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER OF ROBECO indirect 1996-05-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER OF US indirect 1997-02-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER OF RAM indirect 1997-02-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER IN RAM indirect 1997-02-01 2001-02-06
CROSS KEYS SECURITIES LIMITED PARTNERSHIP SHAREHOLDER indirect 1999-11-01 2001-02-26
CROSS KEYS SECURITIES LIMITED PARTNERSHIP PARTNER indirect 1999-11-01 2001-02-26
PARAMETRIC PORTFOLIO ASSOCIATES MEMBER indirect 2000-05-01 2001-02-27
PARAMETRIC PORTFOLIO ASSOCIATES STOCKHOLDER indirect 2000-05-01 2001-02-27
PARAMETRIC PORTFOLIO ASSOCIATES MEMBER indirect 2000-05-01 2001-02-27
PARAMETRIC PORTFOLIO ASSOCIATES SHAREHOLDER indirect 2000-05-01 2001-02-27
NFJ INVESTMENT GROUP MEMBER indirect 2000-05-01 2001-02-27
NFJ INVESTMENT GROUP GENERAL PARTNER indirect 2000-05-01 2001-02-27
NFJ INVESTMENT GROUP SOLE STOCKHOLDER indirect 2000-05-01 2001-02-27
PACIFIC INVESTMENT MANAGEMENT CO LLC MEMBER indirect 2000-05-01 2001-02-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE MEMBER indirect 2000-05-01 2001-02-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE SHAREHOLDER indirect 2000-05-01 2001-02-28
CADENCE CAPITAL MANAGEMENT MEMBER indirect 2000-05-01 2001-02-28
CADENCE CAPITAL MANAGEMENT SOLE MEMBER indirect 2000-05-01 2001-02-28
CADENCE CAPITAL MANAGEMENT MEMBER indirect 2000-05-01 2001-02-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2000-05-01 2001-02-28
CROSS KEYS ASSET MANAGEMENT INC SHAREHOLDER indirect 1999-11-01 2001-03-05
CROSS KEYS ASSET MANAGEMENT INC PARTNER indirect 1999-11-01 2001-03-05
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP NON-MANAGING MEMBER OF PROGRESS HIGHCREST VENTURES, LLC indirect 2000-05-01 2001-03-13
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC MEMBER indirect 2000-05-01 2001-03-30
PIMCO SPECIALTY MARKETS LLC MEMBER direct 2000-07-01 2001-03-30
KAHN BROTHERS & CO. INC. STOCKHOLDERS direct 1995-10-01 2001-03-30
VALUE ADVISORS LLC MEMBER indirect 2000-05-01 2001-03-30
HFR EUROPE, LTD. CONTROLLING MEMBER direct 2001-04-01 2001-05-11
ALLIANCE ASSET ALLOCATION LTD 100% SHAREHOLDER OF REGISTRANT direct 1990-07-01 2001-05-22
OPCAP ADVISORS GENERAL PARTNER AND SOLE MEMBER indirect 2001-07-01 2001-07-12
OPCAP ADVISORS SOLE MEMBER indirect 2000-05-01 2001-07-12
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 1988-01-01 2001-07-16
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 1988-01-01 2001-07-16
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER direct 1991-10-01 2001-07-16
SPECTRUM ASSET MANAGEMENT, INC. OWNER direct 2001-08-01 2001-09-12
AMERICAN GENERAL SECURITIES, INCORPORATED VICE PRESIDENT/CCO/SROP/CROP direct 2000-03-01 2001-09-21
MARKET SYSTEMS RESEARCH ADVISORS INC SHAREHOLDER indirect 2000-09-01 2001-10-02
CYPRESSTREE INVESTMENT MANAGEMENT COMPANY, INC. OWNER direct 2001-08-01 2001-10-15
NFJ INVESTMENT GROUP GENERAL PARTNER indirect 2000-05-01 2001-10-19
CADENCE CAPITAL MANAGEMENT GENERAL PARTNER indirect 2000-05-01 2001-11-21
STEIN ROE & FARNHAM INC DIRECT AND SOLE SHAREHOLDER OF STEIN ROE & FARNHAM INCORPORATED direct 2001-01-01 2001-12-10
COLONIAL MANAGEMENT ASSSOCIATES INC PARENT OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-10
STEIN ROE & FARNHAM INC SOLE MEMBER OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-10
COLONIAL ADVISORY SERVICES INC SOLE MEMBER OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-10
COLONIAL MANAGEMENT ASSSOCIATES INC PARENT OF APPLICANT direct 1998-12-01 2001-12-10
FULTON BREAKEFIELD BROENNIMAN,LLC INDIRECT OWNER indirect 2001-03-01 2001-12-14
LIBERTY ADVISORY SERVICES CORP SOLE SHAREHOLDER OF LIBERTY ADVISORY SERVICES CORP. direct 2001-11-01 2001-12-18
LIBERTY ADVISORY SERVICES CORP SOLE MEMBER OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-18
NEWPORT PACIFIC MANAGEMENT INC SOLE SHAREHOLDER OF LIBERTY NEWPORT HOLDINGS, LIMITED indirect 2001-11-01 2001-12-18
NEWPORT FUND MANAGEMENT INC MINORITY SHAREH0LDER OF NEWPORT FUND MANAGEMENT, INC. direct 2001-11-01 2001-12-18
NEWPORT FUND MANAGEMENT INC SOLE SHAREHOLDER OF LIBERTY NEWPORT HOLDINGS, LIMITED indirect 2001-11-01 2001-12-18
CRABBE HUSON GROUP INC SOLE SHAREHOLDER/MEMBER OF LIBERTY FUNDS GROUP LLC direct 2001-11-01 2001-12-18
LIBERTY WANGER ASSET MANAGEMENT, L.P. SOLE SHAREHOLDER OF WAM ACQUISITION GP, INC., THE GENERAL PARTNER OF LIBERTY WANGER ASSET MANAGEMENT, L.P. direct 2001-11-01 2001-12-19
LIBERTY WANGER ASSET MANAGEMENT, L.P. SOLE SHAREHOLDER OF FLEET/LIBERTY HOLDINGS, INC. indirect 2001-11-01 2001-12-19
LIBERTY WANGER ASSET MANAGEMENT, L.P. SOLE SHAREHOLDER OF WAM ACQUISITION G.P., INC., THE GENERAL PARTNER OF LIBERTY WANGER ASSET MANAGEMENT L.P. indirect 2001-11-01 2001-12-19
LIBERTY ASSET MANAGEMENT COMPANY SOLE SHAREHOLDER OF LIBERTY ASSET MANAGEMENT COMPANY direct 2001-11-01 2001-12-20
LEGACY ADVISORS, LLC LLC direct 2001-12-01 2002-01-08
PROGRESS INVESTMENT MANAGEMENT COMPANY SOLE SHAREHOLDER OF PROGRESS INVESTMENT MANAGEMENT COMPANY direct 2001-11-01 2002-01-10
BALENTINE & COMPANY LLC HOLDING COMPANY direct 2002-01-01 2002-01-10
BALENTINE & COMPANY OF TENNESSEE, LLC HOLDING COMPANY direct 2001-01-01 2002-01-11
USICG ADVISORS INC SHAREHOLDER indirect 1996-08-01 2002-01-14
PIMCO PRIVATE CLIENT SERVICES LLC SOLE STOCKHOLDER indirect 2000-05-01 2002-01-30
ALLIANZ HEDGE FUND STOCKHOLDER indirect 2000-05-01 2002-01-30
OPCAP ADVISORS STOCKHOLDER indirect 2001-06-01 2002-01-30
PIMCO ADVISORS LP STOCKHOLDER indirect 2001-07-01 2002-01-30
PIMCO ADVISORY SERVICES LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
PIMCO PRIVATE CLIENT SERVICES LLC SHAREHOLDER indirect 2001-07-01 2002-01-30
PIMCO EQUITY ADVISORS LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
PACIFIC INVESTMENT MANAGEMENT CO LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
ALLIANZ HEDGE FUND STOCKHOLDER indirect 2001-07-01 2002-01-30
VALUE ADVISORS LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
OPPENHEIMER CAPITAL STOCKHOLDER indirect 2001-07-01 2002-01-30
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP STOCKHOLDER indirect 2001-07-01 2002-01-30
OPCAP ADVISORS SOLE MEMBER indirect 2001-07-01 2002-01-30
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
OPCAP ADVISORS SOLE SHAREHOLDER indirect 2000-05-01 2002-01-30
NFJ INVESTMENT GROUP STOCKHOLDER indirect 2001-07-01 2002-01-31
CADENCE CAPITAL MANAGEMENT STOCKHOLDER indirect 2001-07-01 2002-01-31
NFJ INVESTMENT GROUP STOCKHOLDER indirect 2000-05-01 2002-01-31
CADENCE CAPITAL MANAGEMENT STOCKHOLDER indirect 2000-05-01 2002-01-31
PIMCO SPECIALTY MARKETS LLC STOCKHOLDER indirect 1976-06-01 2002-02-07
PIMCO SPECIALTY MARKETS LLC STOCKHOLDER indirect 2001-07-01 2002-02-07
LEND LEASE HYPERION CAPITAL ADVISORS LLC SHAREHOLDER OF LLI - 100% indirect 1997-12-01 2002-02-14
SENECA CAPITAL MANAGEMENT LLC INDIRECT OWNER indirect 2001-06-01 2002-03-05
SENECA CAPITAL MANAGEMENT LLC INDIRECT OWNER indirect 2001-06-01 2002-03-05
O'SULLIVAN HICKS PATTON FINANCIAL ADVISORS, LLC OWNER direct 2000-07-01 2002-03-13
AEGON USA INVESTMENT MANAGEMENT, LLC SH indirect 1978-11-01 2002-03-26
CITISTREET ADVISORS LLC SOLE MEMBER indirect 2000-03-01 2002-03-27
PIMCO EQUITY ADVISORS LLC STOCKHOLDER indirect 2000-05-01 2002-03-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE SHAREHOLDER indirect 2000-05-01 2002-03-28
OPPENHEIMER CAPITAL SOLE SHAREHOLDER indirect 2000-05-01 2002-03-28
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 2000-09-01 2002-03-28
PIMCO EQUITY ADVISORS LLC MEMBER direct 2001-07-01 2002-03-28
OPCAP ADVISORS LLC SOLE MEMBER indirect 2001-07-01 2002-03-28
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 1999-07-01 2002-03-28
OPCAP ADVISORS SOLE MEMBER indirect 2000-05-01 2002-03-28
PIMCO ADVISORS LP SOLE SHAREHOLDER indirect 2000-05-01 2002-03-28
JEFFERSON PILOT INVESTMENT ADVISORY CORP PARENT CORP. direct 1989-04-01 2002-04-05
SIGNAL CAPITAL MANAGEMENT,INC. AMERICAN NATIONAL TRUST & INVESTMENT COMPANY indirect 2002-03-01 2002-05-23
INLIGN WEALTH MANAGEMENT, LLC. OWNER indirect 2002-06-01 2002-06-28
HOTTINGER CAPITAL CORP 50% STOCKHOLDER OF ADVISOR direct 1993-01-01 2002-07-11
GOODMAN FINANCIAL ADVISORS, LLC CURRENT indirect 2001-07-01 2002-08-13
ROTHSCHILD ASSET MANAGEMENT INC STOCKHOLDER OF PARENT OF APPLICANT direct 1987-12-01 2002-08-30
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED PARENT COMPANY OF REGISTRANT direct 1993-08-01 2002-09-23
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED 100% HOLDING COMPANY indirect 1993-08-01 2002-09-23
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED 100% HOLDING COMPANY indirect 1993-08-01 2002-09-23
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED 100% HOLDING COMPANY indirect 1999-08-01 2002-09-23
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED 100% HOLDING COMPANY indirect 1999-08-01 2002-09-23
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP MEMBER indirect 2002-01-01 2002-11-01
ALLIANZ HEDGE FUND LIMITED PARTNER indirect 2001-10-01 2002-11-06
LEND LEASE HYPERION CAPITAL ADVISORS LLC SHAREHOLDER OF LLIPL - 100% OWNER indirect 1997-06-01 2002-11-07
LEND LEASE HYPERION CAPITAL ADVISORS LLC SHAREHOLDER OF LLI - 100% OWNER indirect 1997-12-01 2002-11-07
ING BARINGS CORP. SOLE SHAREHOLDER indirect 1995-11-01 2002-11-15
ING BARINGS CORP. SOLE SHAREHOLDER indirect 1999-11-01 2002-11-15
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC STOCKHOLDER indirect 2000-05-01 2002-11-27
PIMCO ADVISORY SERVICES LLC STOCKHOLDER indirect 2000-05-01 2002-11-27
NANTUCKET CAPITAL MANAGEMENT LLC SOLE MEMBER direct 2003-01-01 2003-01-21
NANTUCKET CAPITAL MANAGEMENT LLC GP-NANTUCKET VALENTI LP direct 2003-01-01 2003-01-21
NANTUCKET CAPITAL MANAGEMENT LLC CL A LP NANTUCKET VALENTI LP direct 2003-01-01 2003-01-21
NANTUCKET CAPITAL MANAGEMENT LLC CL B LIMITED PARTNER indirect 2003-01-01 2003-01-21
STRUCTURED PORTFOLIO MANAGEMENT LLC 100% OWNER OF IBJ WHITEHALL BANK & TRUST COMPANY indirect 1999-07-01 2003-02-19
STRUCTURED PORTFOLIO MANAGEMENT LLC 100% OWNER OF INDUSTRIAL BANK OF JAPAN, LTD. indirect 1999-07-01 2003-02-19
HESTER CAPITAL MANAGEMENT LLC OWNER indirect 2001-03-01 2003-03-12
TORTOISE CAPITAL ADVISORS, L.L.C. 100% OWNER indirect 2000-09-01 2003-03-18
TORTOISE CAPITAL ADVISORS, L.L.C. 100% OWNER indirect 1999-07-01 2003-03-18
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2000-05-01 2003-03-28
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2000-05-01 2003-03-28
PHILIPPE INVESTMENT MANAGEMENT, INC SOLE SHAREHOLDER OF PROGRESS INVESTMENT MANAGEMENT COMPANY indirect 2001-11-01 2003-03-31
PIM GESTION FRANCE, SA SOLE SHAREHOLDER OF PROGRESS INVESTMENT MANAGEMENT COMPANY indirect 2001-11-01 2003-03-31
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER indirect 2002-04-01 2003-03-31
TORTOISE CAPITAL ADVISORS, L.L.C. 100% OWNER indirect 2002-04-01 2003-03-31
TORTOISE CAPITAL ADVISORS, L.L.C. 100% OWNER indirect 2002-04-01 2003-03-31
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 2002-04-01 2003-03-31
FOUNTAIN CAPITAL MANAGEMENT LLC MEMBER indirect 2002-04-01 2003-03-31
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 2002-04-01 2003-03-31
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 2002-04-01 2003-03-31
HOTTINGER CAPITAL CORP 50% STOCKHOLDER OF ADVISER direct 1993-01-01 2003-03-31
PRINCIPAL CAPITAL GLOBAL INVESTORS LIMITED PARENT COMPANY OF REGISTRANT direct 2002-11-01 2003-03-31
HFR EUROPE, LTD. MEMBER direct 2001-05-01 2003-04-10
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1993-12-01 2003-05-21
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP SOLE SHAREHOLDER OF PUTNAM LOVELL NBF GROUP, INC indirect 2002-06-01 2003-05-28
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP SOLE SHAREHOLDER OF NATIONAL BANK FINANCIAL, INC. indirect 1999-09-01 2003-05-28
LYNX INVESTMENT ADVISORY,LLC OWNER OF LEPERCQ INC. indirect 1989-09-01 2003-08-14
GREYBULL PARTNERS LLC MEMBER direct 2003-08-01 2003-09-10
MYFINANCIALADVICE, INC. SHAREHOLDER direct 2003-09-01 2003-10-28
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 1986-07-01 2003-11-04
NEW ENGLAND SECURITIES CORPORATION SOLE STOCK HOLDER indirect 1996-08-01 2003-11-07
BROADMARK ASSET MANAGEMENT LLC SOLE SHAREHOLDER OF PUTNM LOVELL NBF GROUP, INC. indirect 2002-06-01 2003-11-20
BROADMARK ASSET MANAGEMENT LLC SOLE SHAREHOLDER OF NATIONAL BANK FINANCIAL. INC. indirect 1999-09-01 2003-11-20
STEINBERG PRIEST & SLOANE CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER OF PUTNAM LOVELL GROUP, INC. indirect 2002-06-01 2003-11-28
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2003-12-05
HOTTINGER CAPITAL CORP STOCKHOLDER OF ADVISER direct 1993-01-01 2003-12-12
INCOME RESEARCH & MANAGEMENT INC SHAREHOLDER direct 2000-12-01 2004-01-21
INCOME RESEARCH & MANAGEMENT INC SHAREHOLDER direct 2001-06-01 2004-01-21
SPM, III L.L.C. SHAREHOLDER indirect 2003-06-01 2004-02-11
AZIMUTH ALTERNATIVE ASSET MANAGEMENT, LIMITED LIABILITY LIMITED SHAREHOLDER indirect 1999-05-01 2004-02-17
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER direct 2004-03-01 2004-03-15
KIT COLE INVESTMENT ADVISORY SERVICES TRUST direct 2002-12-01 2004-03-19
STRUCTURED PORTFOLIO MANAGEMENT LLC SHAREHOLDER indirect 2003-06-01 2004-03-29
SPM JR., L.L.C. SHAREHOLDER indirect 2003-06-01 2004-03-29
CALAMOS ASSET MANAGEMENT INC SHAREHOLDER indirect 2001-12-01 2004-04-06
HFR EUROPE, LTD. OWNER direct 2001-05-01 2004-04-29
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1993-12-01 2004-05-06
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 2003-07-01 2004-05-06
MCF-ALADDIN CAPITAL MANAGEMENT LLC 100% DIRECT OWNER direct 2004-06-01 2004-06-18
CADENCE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-06-29
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-06-29
ALLIANZ DRESDNER ASSET MANAGEMENT OF AMERICA L.P. STOCKHOLDER indirect 2003-01-01 2004-06-29
NFJ INVESTMENT GROUP L.P. SOLE STOCKHOLDER indirect 2003-01-01 2004-06-30
PIMCO SPECIALTY MARKETS LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-06-30
ALLIANZ PRIVATE CLIENT SERVICES LLC STOCKHOLDER indirect 2003-01-01 2004-06-30
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2003-01-01 2004-06-30
THE NIKKO SECURITIES CO. INTERNATIONAL, INC. 0WNER indirect 2004-06-01 2004-06-30
INDEPENDENT PORTFOLIO CONSULTANTS, INC. HOLDING COMPANY indirect 2004-07-01 2004-07-30
TRUSTMARK FINANCIAL SERVICES,INC. PARENT CORPORATION direct 1991-12-01 2004-08-04
TRUSTMARK FINANCIAL SERVICES,INC. SHAREHOLDER indirect 1991-12-01 2004-08-04
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-08-04
SPM, III L.L.C. LIMITED PARTNER indirect 2003-06-01 2004-08-25
SPM, III L.L.C. SOLE SHAREHOLDER indirect 2003-06-01 2004-08-25
STRUCTURED PORTFOLIO MANAGEMENT LLC LIMITED PARTNER indirect 2003-06-01 2004-08-25
STRUCTURED PORTFOLIO MANAGEMENT LLC SOLE SHAREHOLDER indirect 2003-06-01 2004-08-25
SPM JR., L.L.C. LIMITED PARTNER indirect 2003-06-01 2004-08-25
SPM JR., L.L.C. SOLE SHAREHOLDER indirect 2003-06-01 2004-08-25
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C SHAREHOLDER indirect 2003-06-01 2004-08-25
SPM III, L.L.C. SHAREHOLDER indirect 2003-06-01 2004-08-25
SPM JR., L.L.C. SHAREHOLDER indirect 2003-06-01 2004-08-25
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-08-30
PIMCO ADVISORS MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-08-30
SIGNAL CAPITAL MANAGEMENT,INC. PARENT COMPANY direct 2002-03-01 2004-09-07
JAMISON PRINCE ASSET MANAGEMENT, INCORPORATED INVESTOR direct 2004-09-01 2004-09-24
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-09-28
PIMCO ADVISORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-10-23
PIMCO ADVISORS RETAIL HOLDINGS LLC STOCKHOLDER indirect 2003-01-01 2004-10-25
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 1996-06-01 2004-11-17
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2000-09-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2001-07-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1995-12-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1995-12-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1998-12-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1982-11-01 2005-01-28
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1984-01-01 2005-01-28
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2002-10-01 2005-01-28
PZENA INVESTMENT MANAGEMENT LLC CONTROLLING MEMBER indirect 1998-01-01 2005-03-11
CITISTREET FINANCIAL SERVICES LLC MEMBER indirect 1981-07-01 2005-03-29
CITISTREET FINANCIAL SERVICES LLC SOLE MEMBER indirect 2000-03-01 2005-03-29
AMERICAN ODYSSEY FUNDS MANAGEMENT LLC MEMBER indirect 1981-07-01 2005-03-31
FIDELITY INVESTMENTS MONEY MANAGEMENT INC. SHAREHOLDER direct 1997-08-01 2005-03-31
OPCAP ADVISORS LLC MEMBER indirect 2005-04-01 2005-04-07
PA MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-04-08
CADENCE CAPITAL MANAGEMENT MEMBER direct 2002-06-01 2005-04-21
CADENCE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-04-21
DRESDNER LATEINAMERIKA FINANCIAL ADVISORS LLC SOLE OWNER indirect 1906-12-01 2005-05-18
DRESDNER LATEINAMERIKA FINANCIAL ADVISORS LLC SOLE OWNER indirect 2001-07-01 2005-05-18
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-06-09
WRL INVESTMENT MANAGEMENT INC OWNER indirect 1991-02-01 2005-07-06
NFJ INVESTMENT GROUP L.P. SOLE STOCKHOLDER indirect 2003-01-01 2005-07-13
HYPERION CAPITAL MANAGEMENT INC OWNER indirect 2004-12-01 2005-07-14
HYPERION CAPITAL MANAGEMENT INC OWNER indirect 2004-12-01 2005-07-14
DRESDNER LATEINAMERIKA FINANCIAL ADVISORS LLC SHAREHOLDER indirect 2005-08-01 2005-08-12
MCF-ALADDIN CAPITAL MANAGEMENT LLC OWNER indirect 2003-12-01 2005-09-15
CITISTREET ADVISORS LLC MEMBER indirect 2005-09-01 2005-09-30
CITISTREET ADVISORS LLC MEMBER indirect 2000-03-01 2005-09-30
CITISTREET ADVISORS LLC SOLE MEMBER indirect 2205-09-01 2005-09-30
KAHN BROTHERS & CO. INC. STOCKHOLDER direct 1995-10-01 2005-11-04
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-11-15
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2003-01-01 2005-11-15
BPW ASSET MANAGEMENT LLC MANAGING MEMBER direct 2002-01-01 2005-12-14
BASSINI PLAYFAIR WRIGHT ADVISORS INC. SHAREHOLDER indirect 2002-01-01 2005-12-14
BASSINI PLAYFAIR WRIGHT LLC SHAREHOLDER indirect 2002-11-01 2005-12-14
BASSINI PLAYFAIR WRIGHT LLC GENERAL PARTNER indirect 2002-11-01 2005-12-14
BPW ASSET MANAGEMENT LLC SHAREHOLDER indirect 2002-11-01 2005-12-14
BPW ASSET MANAGEMENT LLC GENERAL PARTNER indirect 2002-11-01 2005-12-14
BASSINI PLAYFAIR WRIGHT ADVISORS INC. GENERAL PARTNER indirect 2002-11-01 2005-12-14
DSC ADVISORS, L.P. MEMBER indirect 2001-12-01 2005-12-15
ALPHA VISION CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2006-01-06
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-01-01 2006-01-23
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-01-01 2006-01-23
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-01-01 2006-01-23
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2003-09-01 2006-01-23
BOSTON ADVISORS, LLC MEMBER direct 2006-04-01 2006-03-28
COOPERNEFF ADVISORS INC INDIRECT OWNER indirect 2006-10-01 2006-03-29
PADCO ADVISORS II INC SHAREHOLDER direct 2003-12-01 2006-03-31
PADCO ADVISORS INC SHAREHOLDER indirect 2003-12-01 2006-03-31
PADCO ADVISORS INC SHAREHOLDER direct 2003-12-01 2006-03-31
FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC. DIRECT OWNER direct 2006-01-01 2006-04-18
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 1995-12-01 2006-05-15
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2000-05-01 2006-05-24
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2004-01-01 2006-05-26
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2004-01-01 2006-05-26
VANTAGE FOREST PRODUCTS LP GENERAL PARTNER direct 2006-05-01 2006-05-31
BNP PARIBAS ASSET MANAGEMENT, INC. INDIRECT OWNER indirect 2000-10-01 2006-08-29
TAPESTRY ASSET MANAGEMENT L.P. GENERAL PARTNER direct 2003-03-01 2006-09-05
HYPERION CAPITAL MANAGEMENT INC OWNER indirect 2004-12-01 2006-10-02
HYPERION CAPITAL MANAGEMENT INC OWNER indirect 2005-10-01 2006-10-02
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-01-01 2006-10-20
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2000-05-01 2006-10-20
PACIFIC INCOME ADVISERS INC SHAREHOLDER direct 1987-06-01 2007-03-14
PACIFIC INCOME ADVISERS INC TRUST indirect 1987-06-01 2007-03-14
PACIFIC INCOME ADVISERS INC SHAREHOLDER direct 1995-06-01 2007-03-14
PACIFIC INCOME ADVISERS INC TRUST indirect 1995-06-01 2007-03-14
KAHN BROTHERS ASSET MANAGEMENT CORP STOCKHOLDER direct 1997-12-01 2007-03-15
KB & PARTNERS MANAGEMENT CO LLC NONE direct 2000-03-01 2007-03-15
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C LIMITED PARTNER indirect 2004-11-01 2007-03-30
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STRUCTURED PORTFOLIO MANAGEMENT, L.L.C SHAREHOLDER indirect 2004-11-01 2007-03-30
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM JR., L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM JR., L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
SPM JR., L.L.C. SHAREHOLDER indirect 2004-11-01 2007-03-30
SPM JR., L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM III, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM III, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
SPM III, L.L.C. SHAREHOLDER indirect 2004-11-01 2007-03-30
SPM III, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM IV, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM IV, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
SPM IV, L.L.C. SHAREHOLDER indirect 2004-11-01 2007-03-30
SPM IV, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM PRIME, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM PRIME, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
SPM PRIME, L.L.C. SHAREHOLDER indirect 2004-11-01 2007-03-30
SPM PRIME, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM PRODUCTS, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM PRODUCTS, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
ALLIANZ HEDGE FUND GENERAL PARTNER direct 2001-09-01 2007-03-30
ALLIANZ HEDGE FUND LIMITED PARTNER direct 2001-09-01 2007-03-30
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2005-06-01 2007-03-30
PIONEER ASSET MANAGEMENT, INC. OWNER indirect 2001-10-01 2007-03-30
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2003-01-01 2007-03-30
SPM, III L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
STRUCTURED PORTFOLIO MANAGEMENT LLC SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM JR., L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM IV, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM IV, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM PRIME, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM PRIME, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM PRODUCTS, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM PRODUCTS, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
ALCENTRA, INC. SHAREHOLDER indirect 2006-01-01 2007-05-08
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NIKKO ASSET MANAGEMENT SINGAPORE LIMITED SHAREHOLDER indirect 2007-05-01 2007-07-02
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ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2007-04-01 2007-07-03
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 1998-07-01 2007-07-03
O'SHAUGHNESSY ASSET MANAGEMENT, LLC OWNER direct 2007-07-01 2007-07-12
ALCENTRA, INC. SHAREHOLDER direct 2006-01-01 2007-08-01
WESTLB ASSET MANAGEMENT (USA) LLC PARENT indirect 2006-04-01 2007-08-01
DOUBLE EAGLE CAPITAL MANAGEMENT LP LIMITED PARTNER direct 2005-04-01 2007-09-04
O'SHAUGHNESSY ASSET MANAGEMENT, LLC MEMBER direct 2007-09-01 2007-10-10
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1984-12-01 2007-10-23
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1990-04-01 2007-10-23
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1993-12-01 2007-10-23
SPARTA ASSET MANAGEMENT, LLC OWNER direct 2007-09-01 2007-10-23
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 2003-07-01 2007-10-23
SPARTA ASSET MANAGEMENT, LLC MEMBER direct 2007-09-01 2007-11-08
SPM CREDIT, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-11-12
SPM CREDIT, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-11-12
SPM CREDIT, L.L.C. SHAREHOLDER indirect 2004-11-01 2007-11-12
SPM CREDIT, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-11-12
TRAXIS PARTNERS LLC PARTNER direct 2007-11-01 2007-11-12
SPM CREDIT, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-11-12
SPM CREDIT, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01 2007-11-12
QUOTIENT INVESTORS, LLC MEMBER direct 2007-12-01 2007-12-11
KG REDDING, LLC OWNER indirect 2005-12-01 2007-12-21
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O'SHAUGHNESSY ASSET MANAGEMENT, LLC MEMBER direct 2007-07-01 2008-01-07
HYPERION BROOKFIELD ASSET MANAGEMENT, INC. OWNER indirect 2005-12-01 2008-02-12
ALLIANZ HEDGE FUND PARTNERS L.P. GENERAL PARTNER direct 2007-04-01 2008-03-28
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2008-03-31
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2008-03-31
KG REDDING, LLC OWNER indirect 2007-12-01 2008-03-31
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2007-12-01 2008-03-31
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GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1990-07-01 2008-09-03
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-04-01 2008-09-03
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AVIANCE CAPITAL PARTNERS LLC MANAGING MEMBER indirect 2006-11-01 2009-01-12
AVIANCE CAPITAL PARTNERS LLC MANAGING MEMBER direct 2008-03-01 2009-01-12
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CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 2002-04-01 2009-01-15
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 2002-04-01 2009-01-15
MORGAN KEEGAN FUND MANAGEMENT, INC. DIRECT OWNER, HOLDING COMPANY direct 2001-03-01 2009-02-05
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2007-04-01 2009-03-30
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2008-04-01 2009-03-30
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2009-03-31
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2009-03-31
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2005-12-01 2009-03-31
HAWKEYE PARTNERS, L.P. MEMBER indirect 2008-08-01 2009-03-31
HAWKEYE PARTNERS, L.P. MEMBER indirect 2008-08-01 2009-03-31
JACKSON NATIONAL ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-03-01 2009-04-16
SEIDMAN PRIVATE ADVISORS LLC OWNER direct 2004-04-01 2009-05-06
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SEIDMAN PRIVATE ADVISORS, LLC OWNER direct 2009-07-01 2009-08-05
ARCUS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-09-01 2009-08-21
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-09
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-09
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-09
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2008-06-01 2009-09-09
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-10
NFJ INVESTMENT GROUP L.P. STOCKHOLDER indirect 2005-06-01 2009-09-14
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-14
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 1999-12-01 2009-09-16
TRANSAMERICA INVESTMENT SERVICES, INC. OWNER direct 2009-01-01 2009-09-16
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-21
MUNDER CAPITAL MANAGEMENT GENERAL PARTNER indirect 2004-08-01 2009-10-05
MUNDER CAPITAL MANAGEMENT GENERAL PARTNER indirect 2004-07-01 2009-10-05
HG AMALGAM LLP SOLE SHAREHOLDER indirect 1982-12-01 2009-11-03
HG AMALGAM LLP SOLE SHAREHOLDER indirect 1983-03-01 2009-11-03
HG AMALGAM LLP SOLE SHAREHOLDER indirect 1983-03-01 2009-11-03
HG AMALGAM LLP CORPORATE TRUSTEE indirect 1983-03-01 2009-11-03
HG AMALGAM LLP SOLE SHAREHOLDER indirect 1999-02-01 2009-11-03
ODEY ASSET MANAGEMENT LLP LIMITED COMPANY direct 2005-12-01 2009-11-11
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 1991-10-01 2009-11-19
OPPENHEIMER CAPITAL LLC MANAGING MEMBER indirect 2000-05-01 2009-11-20
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-11-20
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-11-20
OPPENHEIMER CAPITAL LLC STOCKHOLDER indirect 2003-01-01 2009-11-20
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-11-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2008-06-01 2009-11-23
VIGILANT INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-08-01 2009-11-24
TRILANTIC CAPITAL MANAGEMENT LLC ENTITY direct 2009-04-01 2009-12-04
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ACTINVER WEALTH MANAGEMENT, INC. SHAREHOLDER indirect 2009-03-01 2010-02-16
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CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2005-05-01 2010-02-23
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2003-06-01 2010-02-23
NFJ INVESTMENT GROUP LLC STOCKHOLDER indirect 2005-06-01 2010-02-25
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GARTMORE GLOBAL PARTNERS GENERAL PARTNER direct 2000-05-01 2010-03-01
HATTERAS INVESTMENT PARTNERS LLC N/A direct 2007-01-01 2010-03-11
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 1974-09-01 2010-03-22
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 2009-01-01 2010-03-22
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01 2010-03-23
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-03-23
PLACEMARK INVESTMENTS, INC. SHAREHOLDER (PREFERRED D) indirect 2006-11-01 2010-03-23
PA FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2010-03-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC STOCKHOLDER indirect 2008-06-01 2010-03-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2008-06-01 2010-03-23
PACIFIC INVESTMENT MANAGEMENT CO LLC STOCKHOLDER indirect 2005-06-01 2010-03-25
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-03-25
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2003-01-01 2010-03-25
BELSEN GETTY LLC PARENT COMPANY direct 2006-05-01 2010-03-26
NFJ INVESTMENT GROUP L.P. STOCKHOLDER indirect 2005-06-01 2010-03-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2005-06-01 2010-03-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-03-30
NFJ INVESTMENT GROUP LLC STOCKHOLDER indirect 2005-06-01 2010-03-30
NFJ INVESTMENT GROUP L.P. STOCKHOLDER indirect 2003-01-01 2010-03-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2003-01-01 2010-03-30
COMMUNITY CAPITAL MANAGEMENT, INC. OWNER indirect 2003-09-01 2010-03-30
AMS ADVISORS LLC OWNER direct 2006-11-01 2010-03-31
PANTHEON VENTURES (US) LLP LIMITED PARTNER direct 2010-03-01 2010-04-07
ARTEMIS INVESTMENT MANAGEMENT LIMITED OWNER direct 2008-04-01 2010-04-20
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PANTHEON VENTURES (US) LLP NON-MANAGING PARTNER direct 2010-03-01 2010-04-22
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NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01 2010-07-27
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC STOCKHOLDER indirect 2005-06-01 2010-07-27
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-07-27
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-07-27
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01 2010-07-27
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RCM CAPITAL MANAGEMENT LLC PARENT indirect 2004-09-01 2010-07-28
RCM CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2004-09-01 2010-07-28
RCM CAPITAL MANAGEMENT LLC PARENT indirect 2004-09-01 2010-07-28
ARCUS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-09-01 2010-08-19
ARCUS CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2009-09-01 2010-08-19
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2004-09-01 2010-09-08
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC PARENT indirect 2004-09-01 2010-09-08
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TRECAP PARTNERS, LLC MEMBER direct 2010-03-01 2010-10-15
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ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC STOCKHOLDER indirect 2010-08-01 2011-06-29
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC STOCKHOLDER indirect 2010-08-01 2011-06-29
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CITIGROUP INVESTMENT ADVISORY SERVICES LLC SHAREHOLDER indirect 2009-05-01 2012-03-30
NEXAR CAPITAL LLC EQUITY OWNER indirect 2011-07-01 2012-04-17
LEHMAN MAVERICK INTERESTS I, LLC SOLE MEMBER indirect 2003-10-01 2012-05-02
ERMITAGE ASSET MANAGEMENT JERSEY LIMITED SHAREHOLDER indirect 2012-04-01 2012-05-21
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01 2012-06-12
RCM CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01 2012-07-10
ESSEX NATIONAL SECURITIES, INC. INDIRECT OWNER indirect 2012-05-01 2012-07-10
ELKHORN WEALTH MANAGEMENT, LLC MEMBER indirect 2008-06-01 2012-09-05
QUANTUM ADVISORS PRIVATE LIMITED SHAREHOLDER indirect 2005-06-01 2012-09-24
CRAFUND ADVISORS INC. OWNER direct 2003-09-01 2012-09-25
CADIAN CAPITAL MANAGEMENT, LLC MEMBER direct 2007-09-01 2013-03-21
GMG INVESTMENT ADVISORS LLC MEMBER direct 2010-05-01 2013-04-30
WEALTHFRONT INC. SHAREHOLDER (COMMON & PREFERRED) direct 2013-03-01 2013-05-01
NEWGLOBE, L.P. LIMITED PARTNER direct 2013-05-01 2013-06-06
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01 2013-07-24
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01 2013-07-24
BALTER LIQUID ALTERNATIVES, LLC OWNER direct 2013-10-01 2013-10-23
EVERSTREAM ENERGY CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2011-11-01 2013-12-02
EVERSTREAM ENERGY CAPITAL MANAGEMENT LLC MEMBER direct 2012-01-01 2013-12-02
EVERSTREAM ENERGY CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2003-01-01 2013-12-02
ARTUS MANAGEMENT, L.P. GENERAL PARTNER OF ARTUS MANAGEMENT, L.P. direct 2013-11-01 2013-12-09
BRAZOS INVESTMENT PARTNERS I, L.P. LIMITED PARTNER indirect 2000-01-01 2014-03-18
KENMAR GLOBAL INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2014-03-01 2014-03-31
PLACEMARK INVESTMENTS, INC. GENERAL PARTNER indirect 2006-11-01 2014-03-31
PLACEMARK INVESTMENTS, INC. GENERAL PARTNER indirect 2006-11-01 2014-03-31
EUROPEAN VALUE PARTNERS ADVISORS S.A R.L SHAREHOLDER direct 2007-09-01 2014-03-31
EUROPEAN VALUE PARTNERS ADVISORS S.A R.L SHAREHOLDER indirect 2008-08-01 2014-03-31
PLACEMARK INVESTMENTS, INC. SHAREHOLDER (PREFERRED A) indirect 2009-10-01 2014-03-31
KENMAR PREFERRED INVESTMENTS, L.P. MEMBER indirect 2014-03-01 2014-04-03
CLARITY MANAGED ACCOUNT & ANALYTICS PLATFORM, L.P. MEMBER indirect 2014-03-01 2014-04-03
LAGODA INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2014-04-01 2014-05-15
RANZIE, ROSEMARIE OWNER direct 2004-04-01 2014-08-18
TEZA CAPITAL MANAGEMENT LLC NON-VOTING OWNERSHIP INTEREST indirect 2014-08-01 2014-11-25
ATL ADVISOR LLC SOLE MEMBER direct 2014-09-01 2014-12-12
RREEF GLOBAL ADVISERS LIMITED 100% direct 2006-02-01 2014-12-24
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTNER AND LIMITED PARTNER indirect 2007-05-01 2015-02-23
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTER AND LIMITED PARTNER indirect 2007-05-01 2015-02-23
OMEGA FUND MANAGEMENT (US) INC. SHAREHOLDER direct 2015-02-01 2015-02-27
DIVIDEND ASSETS CAPITAL, LLC TRUSTEE indirect 2014-10-01 2015-03-12
TOURMALET ADVISORS, L.P. OWNER indirect 2006-10-01 2015-03-25
WP GLOBAL PARTNERS INC. SHAREHOLDER OF WIAG indirect 1984-07-01 2015-03-27
WP GLOBAL PARTNERS INC. CONTROLS PIFSS indirect 1990-01-01 2015-03-27
WP GLOBAL PARTNERS INC. SHAREHOLDER OF WIC indirect 1990-01-01 2015-03-27
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2015-03-30
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01 2015-03-30
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01 2015-03-30
TEZA CAPITAL MANAGEMENT LLC NON-VOTING OWNERSHIP INTEREST indirect 2015-01-01 2015-03-30
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2009-04-01 2015-03-30
EMSO PARTNERS US LLC SOLE SHAREHOLDER indirect 2013-08-01 2015-03-31
GENESIS CAPITAL, LLC SHAREHOLDER direct 2014-01-01 2015-04-01
CEDRUS PARK MANAGEMENT LP LIMITED PARTNER OF ADVISER direct 2015-04-01 2015-04-16
GOODWIN CAPITAL ADVISERS, INC. SHAREHOLDER indirect 2009-10-01 2015-05-01
CONNING, INC. SHAREHOLDER indirect 2009-10-01 2015-05-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01 2015-05-27
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 1991-01-01 2015-05-27
MERION INVESTMENT MANAGEMENT LP GENERAL PARTNER direct 2009-10-01 2015-06-03
MERION INVESTMENT MANAGEMENT LP GENERAL PARTNER indirect 2008-10-01 2015-06-03
CROW HOLDINGS CAPITAL PARTNERS, L.L.C. LIMITED PARTNER indirect 2014-11-01 2015-06-10
KEELEY ASSET MANAGEMENT CORP 100% OWNER OF VOTING SHARES indirect 2015-06-01 2015-06-11
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2008-01-01 2015-06-29
TEZA CAPITAL MANAGEMENT LLC NON-VOTING OWNERSHIP INTEREST indirect 2015-05-01 2015-10-29
EMSO PARTNERS US LLC SOLE SHAREHOLDER indirect 2013-08-01 2015-12-04
REGIONS INVESTMENT MANAGEMENT, INC. DIRECT OWNER/HOLDING COMPANY direct 2012-03-01 2015-12-07
JACKSON NATIONAL ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2011-06-01 2015-12-23
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER, COMMON VOTING indirect 2003-07-01 2016-01-06
STRATEGIC ASSET MANAGEMENT LTD. OWNER direct 2009-08-01 2016-02-23
DSC ADVISORS, L.P. SOLE MEMBER IN WILLOUGHBY PLACE LLC indirect 2012-06-01 2016-03-23
QIEF MANAGEMENT, LLC SHAREHOLDER indirect 2005-06-01 2016-03-29
MACKENZIE FINANCIAL CORPORATION SHAREHOLDER indirect 2013-10-01 2016-03-29
HYPERION BROOKFIELD ASSET MANAGEMENT, INC. OWNER indirect 2005-04-01 2016-03-30
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2014-08-01 2016-03-30
BRIDGER MANAGEMENT LLC MEMBER OF BRIDGER MANAGEMENT LLC direct 2015-12-01 2016-03-30
ROYCE & ASSOCIATES, LP GENERAL PARTNER direct 2016-03-01 2016-03-30
FORMATION CAPITAL, LLC MEMBER direct 1999-01-01 2016-03-31
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2016-05-04
HATTERAS FUNDS, LP GENERAL PARTNER indirect 2016-01-01 2016-05-23
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2004-01-01 2016-05-25
QUANTUM ADVISORS PRIVATE LIMITED SHAREHOLDER indirect 2005-06-01 2016-06-28
TORON CAPITAL MARKETS INC OWNER direct 2015-11-01 2016-07-06
ING INVESTMENT MANAGEMENT INTERNATIONAL LLC SHAREHOLDER indirect 2011-12-01 2016-07-08
CONEXUS CAPITAL MANAGEMENT, LLC LLC direct 2016-06-01 2016-07-29
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2012-06-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 1990-04-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2008-01-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2008-01-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2008-01-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2003-07-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER, COMMON VOTING indirect 2003-07-01 2016-07-30
WEALTHCOR LLC OWNER direct 2016-01-01 2016-08-04
DSC ADVISORS, L.P. MEMBER OF DSC QUANTITATIVE GROUP, LLC direct 2012-06-01 2016-11-03
DSC ADVISORS, L.P. SOLE MEMBER OF ARBAM LLC indirect 2012-06-01 2016-11-03
DSC ADVISORS, L.P. LIMITED PARTNER IN WILLOUGHBY PLACE LP indirect 2016-03-01 2016-11-03
DSC ADVISORS, L.P. GP TO WILLOUGHBY PLACE LP indirect 2016-03-01 2016-11-03
DSC ADVISORS, L.P. MANAGING MEMBER OF RMB17 LLC indirect 2016-03-01 2016-11-03
CALAMOS ASSET MANAGEMENT INC SHAREHOLDER indirect 2004-10-01 2016-12-07
CALAMOS WEALTH MANAGEMENT LLC SHAREHOLDER indirect 2004-10-01 2017-03-02
CADIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER direct 2007-09-01 2017-03-27
PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC. OWNER indirect 2001-10-01 2017-03-30
CHADLER INVESTMENT ADVISORY SOLUTIONS, LLC SHAREHOLDER indirect 2016-08-01 2017-03-30
MARINER REAL ESTATE MANAGEMENT, LLC MEMBER direct 2008-07-01 2017-03-31
OGAM, LP SHAREHOLDER indirect 2008-10-01 2017-04-13
MANAGED ACCOUNT SERVICES INC TRUST direct 2006-01-01 2017-04-25
GRANITE SPRINGS ASSET MANAGEMENT, LLC OWNER direct 2012-12-01 2017-05-09
CCC ADVISORS, LLC SOLE MEMBER (CCC ADVISORS, LLC) direct 2017-06-01 2017-06-10
CCC ADVISORS, LLC MEMBER (COTTON CREEK CAPITAL MANAGEMENT II, LLC) direct 2017-06-01 2017-06-10
STRENTA INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-07-07
STRENTA INVESTMENT MANAGEMENT, INC. TRUSTEE indirect 2012-12-01 2017-07-07
EVOLUTION WEALTH ADVISORS, LLC MANAGING MEMBER indirect 2017-07-01 2017-08-11
KDT ADVISORS, LLC MANAGING MEMBER direct 2017-10-01 2017-09-05
ALLIANZ SE SOLE STOCKHOLDER ALLIANZ EUROPE B.V. 06/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PA RETAIL HOLDINGS LLC STOCKHOLDER indirect 2003-01-01
ALLIANZ PRIVATE CLIENT SERVICES LLC STOCKHOLDER indirect 2003-01-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH STOCKHOLDER indirect 2003-01-01
PIMCO SPECIALTY MARKETS LLC SOLE STOCKHOLDER indirect 2003-01-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH STOCKHOLDER indirect 2003-01-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH SOLE STOCKHOLDER indirect 2005-06-01
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. STOCKHOLDER indirect 2005-06-01
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2005-06-01
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2005-06-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01
RCM ASIA PACIFIC LIMITED STOCKHOLDER indirect 2005-06-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2005-06-01
PEA CAPITAL LLC STOCKHOLDER indirect 2005-06-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SOLE STOCKHOLDER indirect 2005-06-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC STOCKHOLDER indirect 2005-11-01
RCM ASIA PACIFIC LIMITED STOCKHOLDER indirect 2010-08-01
QUESTAR ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2012-06-01
ALLIANZ INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2012-06-01
PIMCO SOLAR ADVISER LLC SOLE STOCKHOLDER indirect 2012-06-01
ALLIANZ GLOBAL INVESTORS U.S. LLC SOLE STOCKHOLDER indirect 2012-06-01
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC SOLE STOCKHODER indirect 2012-06-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC SOLE STOCKHOLDER indirect 2012-06-01
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
NFJ INVESTMENT GROUP LLC SOLE STOCKHOLDER indirect 2012-06-01
ALLIANZ CAPITAL PARTNERS OF AMERICA, INC. SOLE SHAREHOLDER indirect 2012-06-01
RCM CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
ALLIANZ INVESTMENT COMPANY LLC SOLE SHAREHOLDER indirect 1976-06-01
USALLIANZ SECURITIES, INC. SHAREHOLDER indirect 1976-06-01
PIMCO SPECIALTY MARKETS LLC STOCKHOLDER indirect 1976-06-01
QUESTAR CAPITAL CORPORATION SHAREHOLDER indirect 1976-06-01
PIMCO ADVISORS RETAIL HOLDINGS LLC STOCKHOLDER indirect 2000-05-01
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2000-05-01
OPPENHEIMER CAPITAL LLC SOLE SHAREHOLDER indirect 2000-05-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2000-05-01
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. SOLE SHAREHOLDER indirect 2000-05-01
PEA CAPITAL LLC STOCKHOLDER indirect 2000-05-01
OPCAP ADVISORS LLC SOLE SHAREHOLDER indirect 2000-05-01
ALLIANZ PRIVATE CLIENT SERVICES LLC SOLE STOCKHOLDER indirect 2000-05-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2000-05-01
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2000-05-01
OPPENHEIMER CAPITAL LLC STOCKHOLDER indirect 2003-01-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC STOCKHOLDER indirect 2003-01-01
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. STOCKHOLDER indirect 2003-01-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01
OPCAP ADVISORS LLC STOCKHOLDER indirect 2003-01-01
PEA CAPITAL LLC STOCKHOLDER indirect 2003-01-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP SHAREHOLDER indirect 2001-01-01 2001-08-24
OPCAP ADVISORS LLC SOLE SHAREHOLDER indirect 2000-05-01 2002-03-28
NFJ INVESTMENT GROUP L.P. SOLE STOCKHOLDER indirect 2003-01-01 2003-03-27
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2003-03-27
CADENCE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2003-03-27
PIMCO SPECIALTY MARKETS LLC SOLE STOCKHOLDER indirect 2003-01-01 2003-03-27
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2003-01-01 2003-03-27
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2003-01-01 2003-03-28
PIMCO ADVISORS MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2003-01-01 2003-03-28
PIMCO EQUITY ADVISORS LLC STOCKHOLDER indirect 2003-01-01 2003-03-28
ALLIANZ PRIVATE CLIENT SERVICES LLC STOCKHOLDER indirect 2003-01-01 2003-03-28
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2003-01-01 2003-03-28
PIMCO ADVISORS FUND MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01 2003-03-28
PIMCO ADVISORS RETAIL HOLDINGS LLC STOCKHOLDER indirect 2003-01-01 2004-03-12
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-06-29
CADENCE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-06-29
ALLIANZ DRESDNER ASSET MANAGEMENT OF AMERICA L.P. STOCKHOLDER indirect 2003-01-01 2004-06-29
ALLIANZ PRIVATE CLIENT SERVICES LLC STOCKHOLDER indirect 2003-01-01 2004-06-30
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2003-01-01 2004-06-30
NFJ INVESTMENT GROUP L.P. SOLE STOCKHOLDER indirect 2003-01-01 2004-06-30
PIMCO SPECIALTY MARKETS LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-06-30
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-08-04
PA MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-08-30
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-08-30
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-09-28
PEA CAPITAL LLC STOCKHOLDER indirect 2003-01-01 2004-10-23
PA FUND MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01 2004-10-23
PA RETAIL HOLDINGS LLC STOCKHOLDER indirect 2003-01-01 2004-10-25
ALLIANZ DRESDNER ASSET MANAGEMENT OF AMERICA L.P. STOCKHOLDER indirect 2003-01-01 2004-12-06
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-03-30
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-04-07
PA MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-04-08
CADENCE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-04-21
CADENCE CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2000-05-01 2005-04-21
DRESDNER LATEINAMERIKA FINANCIAL ADVISORS LLC SOLE OWNER indirect 2001-07-01 2005-05-18
NFJ INVESTMENT GROUP L.P. SOLE STOCKHOLDER indirect 2003-01-01 2005-07-13
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-11-15
ALPHA VISION CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2006-01-06
QUESTAR ASSET MANAGEMENT, INC. SHAREHHOLDER indirect 2005-11-01 2006-10-10
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2000-05-01 2007-10-03
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2005-06-01 2008-12-11
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. L.P. STOCKHOLDER indirect 2001-08-01 2008-12-11
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2008-06-01 2010-03-23
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC STOCKHOLDER indirect 2000-05-01 2010-03-23
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE SHAREHOLDER indirect 2000-05-01 2010-03-25
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2003-01-01 2010-03-25
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2000-05-01 2010-03-30
NFJ INVESTMENT GROUP L.P. STOCKHOLDER indirect 2000-05-01 2010-03-30
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2000-05-01 2010-07-27
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC SHAREHOLDER indirect 2000-05-01 2010-07-27
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2010-07-27
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC SOLE STOCKHOLDER indirect 2003-01-01 2010-07-27
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2008-06-01 2010-09-22
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SHAREHOLDER indirect 2008-06-01 2010-09-22
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC PARENT indirect 2004-09-01 2010-12-08
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC PARENT indirect 2001-07-01 2010-12-08
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2011-03-01
RCM CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01 2011-06-13
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01 2011-06-13
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC SOLE STOCKHOLDER indirect 2005-06-01 2011-06-29
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2003-01-01 2011-06-29
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC STOCKHOLDER indirect 2003-01-01 2011-06-29
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC STOCKHOLDER indirect 2003-01-01 2011-06-29
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01 2011-06-30
ALLIANZ GLOBAL INVESTORS EUROPE GMBH STOCKHOLDER indirect 2003-01-01 2011-09-21
NFJ INVESTMENT GROUP LLC STOCKHOLDER indirect 2003-01-01 2011-10-05
ALLIANZ GLOBAL INVESTORS CAPITAL LLC STOCKHOLDER indirect 2003-01-01 2011-11-30
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01 2011-12-23
ALLIANZ GLOBAL INVESTORS CAPITAL LLC STOCKHOLDER indirect 2003-01-01 2011-12-23
NFJ INVESTMENT GROUP LLC STOCKHOLDER indirect 2003-01-01 2011-12-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC STOCKHOLDER indirect 2003-01-01 2011-12-23
ALLIANZ GLOBAL INVESTORS CAPITAL LLC SOLE STOCKHOLDER indirect 2005-06-01 2011-12-23
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2011-12-23
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2005-06-01 2011-12-23
NFJ INVESTMENT GROUP LLC SOLE STOCKHOLDER indirect 2005-06-01 2011-12-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2005-06-01 2011-12-23
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2003-01-01 2011-12-23
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01 2012-06-12
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC SOLE STOCKHODER indirect 2005-06-01 2012-06-12
RCM CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01 2012-07-10
RCM CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2012-07-10
NFJ INVESTMENT GROUP LLC SOLE STOCKHOLDER indirect 2000-05-01 2012-07-17
QUESTAR ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2005-11-01 2012-07-18
ALLIANZ LIFE ADVISERS, LLC SHAREHOLDER indirect 1976-06-01 2012-07-27
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2000-05-01 2012-11-21
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC SOLE STOCKHOLDER indirect 2000-05-01 2012-11-27
ALLIANZ GLOBAL INVESTORS CAPITAL LLC SOLE STOCKHOLDER indirect 2000-05-01 2012-12-11
ALLIANZ CAPITAL PARTNERS OF AMERICA, INC. SHAREHOLDER indirect 1976-06-01 2014-03-31
ALLIANZ CAPITAL PARTNERS OF AMERICA, INC. SOLE SHAREHOLDER indirect 2012-06-01 2015-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PIMCO COMMODITY ALPHA FUND LLC United States 805-6938363262 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO ABSOLUTE RETURN STRATEGY 3 ONSHORE FUND LLC United States 805-8354532047 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO BRAVO FUND SPECIAL ONSHORE FEEDER (TE) I, L.P. United States 805-2911629356 Hedge Fund 1,429,081 5,000,000 Feeder Fund
PIMCO LARGE CAP STOCKSPLUS ABSOLUTE RETURN FUND United States 805-7032151208 Hedge Fund 141,888,878 5,000,000
PIMCO COMMERCIAL REAL ESTATE DEBT FUND, L.P. United States 805-3682517461 Hedge Fund 7,092,286 5,000,000 Master Fund
PIMCO CAYMAN MORTGAGE FUND Cayman Islands 805-2147963902 Hedge Fund 455,871,947 100,000
PIMCO DISTRESSED CREDIT FUND B, L.P. Cayman Islands 805-6503390794 Hedge Fund 413,000 10,000,000
PIMCO GLOBAL CREDIT OPPORTUNITY ONSHORE FUND LLC United States 805-2158118989 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO GLOBAL CREDIT OPPORTUNITY MASTER FUND LDC Cayman Islands 805-6160768840 Hedge Fund 12,792,918,910 5,000,000 Master Fund
FAIRWAY LOAN FUNDING COMPANY Cayman Islands 805-9319287968 Securitized Asset Fund 200,000 100,000
PIMCO LOAN INTERESTS AND CREDIT OFFSHORE FUND LTD. United States 805-6570467282 Hedge Fund 1,008,326,513 5,000,000 Feeder Fund
PIMCO ABSOLUTE RETURN STRATEGY IV OFFSHORE FUND 2 LTD. Cayman Islands 805-3483466016 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO COMBINED ALPHA STRATEGIES OFFSHORE FUND LTD. Cayman Islands 805-5920972623 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO ABSOLUTE RETURN STRATEGY IV FUND LLC United States 805-1180588806 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO BRAVO FUND III OFFSHORE FEEDER, L.P. Cayman Islands 805-8589122372 Hedge Fund 978,426,082 5,000,000 Feeder Fund
PIMCO BRAVO FUND III SPECIAL OFFSHORE FEEDER, L.P. Cayman Islands 805-6280660011 Hedge Fund 10,217,961 5,000,000 Feeder Fund
PIMCO ABSOLUTE RETURN STRATEGY 3E MASTER FUND LDC Cayman Islands 805-9894975261 Hedge Fund 1,071,409,876 5,000,000 Master Fund
PIMCO U.S. IG INTERMEDIATE CORPORATE BOND FUND Cayman Islands 805-6005142944 Hedge Fund 251,545,636 100,000
PIMCO FIVE STAR L.P. Cayman Islands 805-4731385306 Hedge Fund 221,991,665 138,500,000
PIMCO BRAVO FUND III SPECIAL ONSHORE FEEDER (TE), L.P. United States 805-6076941314 Hedge Fund 19,947,160 5,000,000 Feeder Fund
PIMCO BRAVO FUND III SPECIAL ONSHORE FEEDER, L.P. United States 805-2648756017 Hedge Fund 80,486,577 5,000,000 Feeder Fund
PIMCO DISTRESSED SENIOR CREDIT OPPORTUNITIES FUND II, L.P. United States 805-8976469727 Hedge Fund 5,066,729,784 5,000,000 Master Fund
PIMCO LOAN INTERESTS AND CREDIT ONSHORE FUND LLC United States 805-6082916449 Hedge Fund 1,008,326,513 5,000,000 Feeder Fund
PIMCO MULTI-ASSET ALTERNATIVE RISK PREMIA STRATEGY ONSHORE FUND, LP United States 805-1662731241 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO EMERGING MARKETS STOCKSPLUS AR FUND LLC United States 805-7397489043 Hedge Fund 750,995,981 5,000,000
PIMCO DISCRETIONARY MULTI-ASSET PORTFOLIO, LP Cayman Islands 805-2427320292 Hedge Fund 414,392,251 300,000,000
PIMCO BRAVO FUND II SPECIAL OFFSHORE FEEDER, L.P. Cayman Islands 805-7705682623 Hedge Fund 8,846,883 500,000 Feeder Fund
PIMCO COMMODITY RISK PREMIA MASTER FUND L.P. Cayman Islands 805-2408614057 Hedge Fund 290,110,755 5,000,000 Master Fund
PIMCO BRAVO FUND II SPECIAL ONSHORE FEEDER (TE), L.P. United States 805-1489683691 Hedge Fund 31,067,088 500,000 Feeder Fund
PIMCO BRAVO FUND II SPECIAL ONSHORE FEEDER, L.P. United States 805-7517901109 Hedge Fund 261,401,392 500,000 Feeder Fund
PIMCO COMMODITY RISK PREMIA OFFSHORE FUND LTD. Cayman Islands 805-3409330682 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO COMMODITY RISK PREMIA ONSHORE FUND LP United States 805-6302384413 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO CLO OPPORTUNITIES FUND ONSHORE FEEDER, L.P. United States 805-8702908229 Hedge Fund 5,896,000 5,000,000 Feeder Fund
PIMCO CLO OPPORTUNITIES FUND OFFSHORE FEEDER, L.P. Cayman Islands 805-1491252802 Hedge Fund 15,608,000 5,000,000 Feeder Fund
PIMCO CAYMAN COMMODITY FUND VIII, LTD. Cayman Islands 805-3776708350 Hedge Fund 136,275,656 0
PIMCO ABSOLUTE RETURN STRATEGY V MASTER FUND LDC Cayman Islands 805-6620922951 Hedge Fund 4,327,715,946 5,000,000 Master Fund
PIMCO MULTI-SECTOR STRATEGY FUND LTD. Cayman Islands 805-7889081766 Hedge Fund 406,416,242 5,000,000
PIMCO MUNICIPAL REAL RETURN FUND LLC United States 805-2724962741 Hedge Fund 149,019,334 5,000,000
CLARENVILLE CDO, S.A. Luxembourg 805-9290032668 Securitized Asset Fund 0 500,000
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA VARIABLE CONTRACT ACCOUNT GI-100-USB-DBM United States 805-3147131779 Hedge Fund 1,491,095,000 0
PIMCO BRAVO FUND SPECIAL ONSHORE FEEDER I, L.P. United States 805-9691125694 Hedge Fund 11,418,801 5,000,000 Feeder Fund
PIMCO RAE GLOBAL FUND LLC United States 805-3752092163 Hedge Fund 576,553,170 5,000,000 Fund of Funds
PIMCO RAE GLOBAL EX-US FUND LLC United States 805-8292067293 Hedge Fund 235,697,034 5,000,000 Fund of Funds
PIMCO MULTI-STRATEGY CREDIT FUND, L.P. Cayman Islands 805-6896318742 Hedge Fund 3,119,293,422 192,942,500 Fund of Funds
PIMCO RAE INTERNATIONAL FUND LLC United States 805-4689469439 Hedge Fund 819,111,056 5,000,000
PIMCO RAE US FUND LLC United States 805-4823590273 Hedge Fund 266,952,334 5,000,000
PIMCO ABSOLUTE RETURN STRATEGY 3D OFFSHORE FUND LTD. Cayman Islands 805-7321069941 Hedge Fund 2,945,449 100,000
PIMCO BRAVO FUND III, L.P. United States 805-2148693746 Hedge Fund 2,468,772,391 5,000,000 Master Fund
PIMCO ELEVEN POINT FUND, LP United States 805-5881484963 Hedge Fund 760,071,110 0
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA VARIABLE CONTRACT ACCOUNT GI-100-7-PIMCO-LMI-H United States 805-6354474307 Hedge Fund 1,123,352,000 0
PIMCO ABSOLUTE RETURN STRATEGY IV MASTER FUND LDC Cayman Islands 805-9300248527 Hedge Fund 4,067,737,134 5,000,000 Master Fund
PIMCO CORPORATE OPPORTUNITIES FUND II, L.P. United States 805-4632859312 Hedge Fund 649,922,000 0 Master Fund
PCH MANAGER FUND, SPC. - SEGREGATED PORTFOLIO 209 Cayman Islands 805-9927480105 Hedge Fund 1,506,255,632 250,000
MAYPORT CLO, LTD. Cayman Islands 805-7395839323 Securitized Asset Fund 0 500,000
PIMCO ABSOLUTE RETURN STRATEGY 3 OFFSHORE FUND LTD. Cayman Islands 805-9397191958 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO BRAVO FUND ONSHORE FEEDER I, L.P. United States 805-9248315600 Hedge Fund 18,269,518 5,000,000 Feeder Fund
PIMCO ABSOLUTE RETURN STRATEGY V OFFSHORE FUND LTD. Cayman Islands 805-3791862057 Hedge Fund 0 5,000,000 Feeder Fund
TERLINGUA FUND 2, LP United States 805-1377712880 Hedge Fund 584,616,561 340,000,000
PIMCO LOAN INTERESTS AND CREDIT MASTER FUND LTD. Cayman Islands 805-4415964734 Hedge Fund 1,409,036,331 5,000,000 Master Fund
PIMCO CORPORATE OPPORTUNITIES FUND II OFFSHORE FEEDER, L.P. Cayman Islands 805-1411932712 Hedge Fund 61,417,000 0 Feeder Fund
PIMCO ABSOLUTE RETURN STRATEGY IV IDF LLC United States 805-3821462051 Hedge Fund 415,131,503 5,000,000
PIMCO MULTI-ASSET ALTERNATIVE RISK PREMIA STRATEGY MASTER FUND L.P. United States 805-4323669867 Hedge Fund 3,242,556,683 5,000,000 Master Fund
PHFS VII SP Cayman Islands 805-1476955576 Hedge Fund 72,540,613 5,000,000
PIMCO GLOBAL CREDIT OPPORTUNITY EMPLOYEE ONSHORE FUND LLC United States 805-4942375912 Hedge Fund 0 5,000,000 Feeder Fund
STOCKSPLUS LP United States 805-9201493382 Hedge Fund 356,225,950 5,000,000
PIMCO COMMODITY ALPHA MASTER FUND LTD. Cayman Islands 805-7335661760 Hedge Fund 2,032,684,111 5,000,000 Master Fund
PIMCO ABSOLUTE RETURN STRATEGY V OFFSHORE BRAZIL INTERMEDIATE FUND LTD. Cayman Islands 805-5826120252 Hedge Fund 126,509,284 5,000,000 Feeder Fund
PIMCO GLOBAL INFLATION LINKED BOND FUND LTD. Cayman Islands 805-1702080091 Hedge Fund 1,141,782,246 100,000,000
PIMCO RAE EMERGING MARKETS FUND LLC United States 805-3839794967 Hedge Fund 730,351,920 5,000,000
PIMCO US INVESTMENT GRADE CORPORATE BOND FUND Cayman Islands 805-6098698225 Hedge Fund 97,302,577 100,000
PIMCO MULTI ASSET ALTERNATIVE RISK PREMIA STRATEGY OFFSHORE FUND LP Cayman Islands 805-7048560349 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO ABSOLUTE RETURN STRATEGY V ONSHORE FUND LLC United States 805-1745999202 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO HORSESHOE FUND, LP United States 805-1612657555 Hedge Fund 750,128,527 5,000,000
PIMCO ABSOLUTE RETURN STRATEGY 3 MASTER FUND LDC Cayman Islands 805-4535498384 Hedge Fund 3,609,177,128 5,000,000 Master Fund
PORTOLA CLO, LTD. Cayman Islands 805-3959395711 Securitized Asset Fund 1,300,000 250,000
PHFS V MORTGAGE RV OFFSHORE FUND LP Cayman Islands 805-5394924782 Hedge Fund 0 1,000,000 Feeder Fund
PHFS IV EM MACRO OFFSHORE FUND LP Cayman Islands 805-3681751387 Hedge Fund 0 1,000,000 Feeder Fund
PIMCO COMMODITY ALPHA FUND LTD. Cayman Islands 805-1513037588 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO ABSOLUTE RETURN STRATEGY 3E OFFSHORE FUND LTD. Cayman Islands 805-6957564959 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO BRAVO FUND ONSHORE FEEDER II, L.P. United States 805-6240552555 Hedge Fund 526,424,585 5,000,000 Feeder Fund
STOCKSPLUS SUB FUND B LLC United States 805-5919698568 Hedge Fund 1,435,950,342 5,000,000
PIMCO ABSOLUTE RETURN STRATEGY IV EMPLOYEE ONSHORE FUND LLC United States 805-3516866802 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO CAYMAN COMMODITY FUND I, LTD. Cayman Islands 805-9335331145 Hedge Fund 2,262,322,045 0
PIMCO CAYMAN COMMODITY FUND VII, LTD. Cayman Islands 805-7582597210 Hedge Fund 156,757,916 0
PHFS III SP Cayman Islands 805-1933229465 Hedge Fund 1,628,636,012 1,000,000 Master Fund
PIMCO CAYMAN COMMODITY FUND III, LTD. Cayman Islands 805-2409887249 Hedge Fund 1,098,188,685 0
PIMCO DISTRESSED CREDIT FUND, L.P. United States 805-9646262503 Hedge Fund 1,119,000 10,000,000 Master Fund
PIMCO CAYMAN COMMODITY PORTFOLIO I, LTD. Cayman Islands 805-2227498223 Hedge Fund 38,677,791 0
PIMCO BRAVO FUND II, L.P. United States 805-7896792230 Hedge Fund 6,792,546,610 5,000,000 Master Fund
PIMCO OFFSHORE FUNDS: PIMCO U.S. CROSSOVER CORPORATE BOND FUND Cayman Islands 805-3040649087 Hedge Fund 185,554,242 100,000
PIMCO RED STICK FUND, L.P. United States 805-8310566431 Hedge Fund 200,438,389 200,000,000 Fund of Funds
PIMCO BRAVO FUND III ONSHORE FEEDER (TE), L.P. United States 805-4748102904 Hedge Fund 713,875,432 5,000,000 Feeder Fund
PIMCO BRAVO FUND OFFSHORE FEEDER II, L.P. Cayman Islands 805-3589908909 Hedge Fund 693,731,208 5,000,000 Feeder Fund
PIMCO GLOBAL CREDIT OPPORTUNITY OFFSHORE FUND LTD. Cayman Islands 805-8065397085 Hedge Fund 0 5,000,000 Feeder Fund
PACIFIC BAY, CDO, LTD. Cayman Islands 805-2989070446 Securitized Asset Fund 200,000 100,000
PIMCO ABSOLUTE RETURN STRATEGY IV OFFSHORE FUND 1 LTD. Cayman Islands 805-1792981365 Hedge Fund 0 5,000,000 Feeder Fund
LVS III HOLDING LP United States 805-1611892398 Hedge Fund 8,094,222,732 5,000,000
PIMCO CAYMAN SPC LIMITED: PIMCO CAYMAN CROSSOVER CORPORATE CREDIT SEGREGATED PORTFOLIO Cayman Islands 805-4409816886 Hedge Fund 162,415,962 100,000
PIMCO CLO OPPORTUNITIES FUND, L.P. Cayman Islands 805-4778146677 Hedge Fund 21,706,000 5,000,000 Master Fund
PIMCO DISTRESSED SENIOR CREDIT OPPORTUNITIES FUND II OFFSHORE FEEDER, L.P. Cayman Islands 805-5260874767 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO CAYMAN COMMODITY FUND IX, LTD. Cayman Islands 805-1770038321 Hedge Fund 0 0
PIMCO MUNICIPAL FOCUS STRATEGY FUND United States 805-1811405302 Hedge Fund 61,406,466 1,000,000
PHFS V SP Cayman Islands 805-9928115904 Hedge Fund 2,151,702,594 1,000,000 Master Fund
PIMCO SEVEN POINT FUND LP Cayman Islands 805-6827140343 Hedge Fund 313,112,691 100,000,000 Fund of Funds
PIMCO BRAVO FUND, L.P. United States 805-6769170504 Hedge Fund 94,370,127 5,000,000 Master Fund
PIMCO TACTICAL OPPORTUNITIES MASTER FUND LTD. Cayman Islands 805-6901384482 Hedge Fund 5,909,688,087 5,000,000 Master Fund
PHFS IV SP Cayman Islands 805-2662235435 Hedge Fund 419,269,349 1,000,000 Master Fund
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA VARIABLE CONTRACT ACCOUNT GI-100-7-PIMCO-FDM United States 805-5223002538 Hedge Fund 4,752,015,000 0
PHFS III EQUITY DISPERSION OFFSHORE FUND, L.P. Cayman Islands 805-2382514456 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO TACTICAL OPPORTUNITIES ONSHORE FUND L.P. United States 805-6754374249 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO TACTICAL OPPORTUNITIES OFFSHORE FUND LTD. Cayman Islands 805-5647432877 Hedge Fund 138,156,937 5,000,000 Feeder Fund
PIMCO CAYMAN COMMODITY PORTFOLIO II, LTD. Cayman Islands 805-4705285756 Hedge Fund 42,408,830 0
PIMCO TACTICAL OPPORTUNITIES OFFSHORE FUND L.P. Cayman Islands 805-4833273155 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO ABSOLUTE RETURN STRATEGY IV EFUND Cayman Islands 805-9207281636 Hedge Fund 3,579,679,789 5,000,000
PIMCO BRAVO FUND III ONSHORE FEEDER, L.P. United States 805-7809933752 Hedge Fund 567,679,099 5,000,000 Feeder Fund
PHFS VI SP Cayman Islands 805-2914451615 Hedge Fund 184,911,155 1,000,000 Master Fund
PHFS VI TRENDS MANAGED FUTURES OFFSHORE FUND, L.P. Cayman Islands 805-5358728975 Hedge Fund 0 1,000,000 Feeder Fund
PIMCO BRAVO FUND OFFSHORE FEEDER I, L.P. Cayman Islands 805-5892706141 Hedge Fund 20,289,875 5,000,000 Feeder Fund
PIMCO COMBINED ALPHA STRATEGIES MASTER FUND LDC Cayman Islands 805-2587974334 Hedge Fund 659,152,089 5,000,000 Master Fund
PIMCO ABSOLUTE RETURN STRATEGY 3E ONSHORE FUND LLC United States 805-7588110063 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO CORPORATE OPPORTUNITIES FUND II ONSHORE FEEDER, L.P. United States 805-5827962012 Hedge Fund 256,143,000 0 Feeder Fund
PIMCO BRAVO FUND SPECIAL OFFSHORE FEEDER I, L.P. Cayman Islands 805-2796549572 Hedge Fund 8,565,967 5,000,000 Feeder Fund
PIMCO BRAVO FUND OFFSHORE FEEDER II, LTD. Cayman Islands 805-9889426828 Hedge Fund 45,230,462 5,000,000 Feeder Fund
SILVER CREEK FUNDING, LTD. Cayman Islands 805-5754962753 Securitized Asset Fund 0 500,000
PIMCO CAYMAN COMMODITY FUND II, LTD. Cayman Islands 805-9803126066 Hedge Fund 41,266,838 0
PIMCO DISTRESSED CREDIT FUND OFFSHORE FEEDER I, L.P. Cayman Islands 805-9948283086 Hedge Fund 659,000 10,000,000 Feeder Fund
CATALINA TRH FUND LTD. Cayman Islands 805-7776892058 Hedge Fund 3,114,782 100,000

PACIFIC INVESTMENT MANAGEMENT COMPANY LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
ALLIANZ ASSET MANAGEMENT OF AMERICA L.P. MEMBER 11/01/1994 Direct 75% or more
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MEMBER direct 1994-11-01
PIMCO SOLAR ADVISER LLC MEMBER indirect 1994-11-01
PIMCO SPECIALTY MARKETS LLC MEMBER direct 2000-09-01
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC MEMBER indirect 2001-07-01
PIMCO ADVISORY SERVICES HOLDINGS LLC MEMBER direct 2001-07-01
NFJ INVESTMENT GROUP LLC MEMBER indirect 2001-07-01
PEA CAPITAL LLC SOLE MEMBER indirect 2001-07-01
OPPENHEIMER CAPITAL LLC SOLE MEMBER indirect 2001-07-01
OPCAP ADVISORS LLC SOLE MEMBER indirect 2001-07-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-07-01
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC MEMBER indirect 2001-07-01
ALLIANZ PRIVATE CLIENT SERVICES LLC MEMBER indirect 2001-07-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC MEMBER indirect 2002-01-01
OPPENHEIMER CAPITAL LLC MEMBER indirect 2005-04-01
OPCAP ADVISORS LLC SOLE MEMBER indirect 2005-04-01
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC MEMBER indirect 2008-06-01
NFJ INVESTMENT GROUP LLC MANAGING MEMBER direct 2010-03-01
ALLIANZ GLOBAL INVESTORS U.S. LLC MEMBER indirect 2011-12-01
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC MEMBER indirect 2011-12-01
RCM CAPITAL MANAGEMENT LLC MEMBER indirect 2011-12-01
OPPENHEIMER CAPITAL GENERAL PARTNER OF OPPENHEIMER CAPITAL direct 1997-11-01 2001-01-31
OPPENHEIMER CAPITAL GENERAL PARTNER OF VALUE ADVISORS & OPPENHEIMER CAPITAL direct 1997-11-01 2001-01-31
OPCAP ADVISORS GENERAL PARTNER indirect 1997-11-01 2001-01-31
PARAMETRIC PORTFOLIO ASSOCIATES GENERAL PARTNER direct 1994-11-01 2001-02-27
VALUE ADVISORS LLC SOLE MEMBER direct 1997-11-01 2001-03-30
OPCAP ADVISORS SOLE MEMBER indirect 2001-07-01 2001-07-12
VALUE ADVISORS LLC MEMBER direct 2001-07-01 2001-12-04
NFJ INVESTMENT GROUP GENERAL PARTNER direct 1994-11-01 2002-03-28
ALLIANZ PRIVATE CLIENT SERVICES LLC MEMBER indirect 2001-07-01 2002-03-28
ALLIANZ HEDGE FUND PARTNERS L.P. GENERAL PARTNER indirect 2001-10-01 2002-11-06
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC MEMBER indirect 2001-07-01 2002-11-27
PIMCO ALLIANZ ADVISORS LLC MEMBER indirect 2001-07-01 2002-11-27
OPPENHEIMER CAPITAL LLC SOLE MEMBER indirect 2001-07-01 2004-06-29
CADENCE CAPITAL MANAGEMENT LLC MEMBER indirect 2001-07-01 2004-06-29
ALLIANZ PRIVATE CLIENT SERVICES LLC MEMBER indirect 2001-07-01 2004-06-30
ALLIANZ HEDGE FUND PARTNERS L.P. MEMBER indirect 2001-07-01 2004-06-30
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-07-01 2004-08-30
PIMCO ADVISORS MANAGED ACCOUNTS LLC MEMBER indirect 2001-07-01 2004-08-30
OPCAP ADVISORS LLC SOLE MEMBER indirect 2001-07-01 2004-09-28
PIMCO EQUITY ADVISORS LLC SOLE MEMBER indirect 2001-07-01 2004-10-23
PIMCO ADVISORS FUND MANAGEMENT LLC MEMBER indirect 2001-07-01 2004-10-23
PA MANAGED ACCOUNTS LLC MEMBER indirect 2001-07-01 2005-03-30
PA FUND MANAGEMENT LLC MEMBER indirect 2001-07-01 2005-03-30
OPPENHEIMER CAPITAL LLC SOLE MEMBER OF OPPENHEIMER CAPITAL LLC direct 2001-07-01 2005-03-31
CADENCE CAPITAL MANAGEMENT LLC MEMBER indirect 2001-07-01 2005-04-21
PA FUND MANAGEMENT LLC MEMBER indirect 2001-07-01 2006-03-30
ALLIANZ HEDGE FUND PARTNERS L.P. MEMBER indirect 2001-07-01 2007-03-30
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-07-01 2008-07-15
OPPENHEIMER CAPITAL LLC SOLE MEMBER indirect 2001-07-01 2008-08-01
NFJ INVESTMENT GROUP L.P. STOCKHOLDER indirect 2001-07-01 2008-12-04
NFJ INVESTMENT GROUP L.P. LIMITED PARTNER direct 2002-06-01 2008-12-04
OPPENHEIMER CAPITAL LLC MEMBER indirect 2005-04-01 2010-01-27
NFJ INVESTMENT GROUP LLC MANAGING MEMBER direct 2008-12-01 2010-02-25
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-07-01 2010-07-27
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC MEMBER indirect 2001-07-01 2011-06-29
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC MEMBER indirect 2008-06-01 2011-06-29
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC MEMBER indirect 2001-07-01 2011-06-30
ALLIANZ GLOBAL INVESTORS CAPITAL LLC MEMBER direct 2001-07-01 2011-11-30
NFJ INVESTMENT GROUP LLC MEMBER indirect 2001-07-01 2012-07-17
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC MEMBER indirect 2001-07-01 2012-11-21
ALLIANZ GLOBAL INVESTORS CAPITAL LLC MEMBER indirect 2011-12-01 2012-12-11
MATHER, SCOTT, ALAN MANAGING DIRECTOR - CHIEF INVESTMENT OFFICER (U.S. CORE STRATEGIES) 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT CO LLC MANAGING DIRECTOR direct 2004-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2004-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, DEPUTY CHIEF INVESTMENT OFFICER direct 2014-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER (U.S. CORE STRATEGIES) direct 2014-09-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - CHIEF INVESTMENT OFFICER (U.S. CORE STRATEGIES) direct 2014-09-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE, CHIEF INVESTMENT OFFICER (U.S. CORE STRATEGIES) direct 2014-09-01
OTTERBEIN, THOMAS, JOHN MANAGING DIRECTOR - EXECUTIVE COMMITTEE 02/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2006-02-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2006-02-01
IVASCYN, DANIEL, JOHN MANAGING DIRECTOR - EXECUTIVE COMMITTEE, GROUP CHIEF INVESTMENT OFFICER 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT CO LLC MANAGING DIRECTOR direct 2007-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2007-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE, DEPUTY CHIEF INVESTMENT OFFICER direct 2014-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE, GROUP CHIEF INVESTMENT OFFICER direct 2014-09-01
PUNTORIERO, MICHAEL, JAMES MANAGING DIRECTOR, CO-CHIEF FINANCIAL OFFICER 12/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC CHIEF FINANCIAL OFFICER direct 2007-12-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, CO-CHIEF FINANCIAL OFFICER direct 2007-12-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2007-12-01
OPPENHEIMER CAPITAL LLC CHIEF FINANCIAL OFFICER direct 2007-12-01
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER direct 2007-07-01
NFJ INVESTMENT GROUP LLC CHIEF FINANCIAL OFFICER direct 2007-12-01
OPCAP ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2007-12-01
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2007-12-01
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC CHIEF FINANCIAL OFFICER direct 2007-12-01
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2012-10-01
RCM CAPITAL MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2012-09-01
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC CHIEF FINANCIAL OFFICER direct 2008-06-01
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER direct 2007-12-01
ALLIANZ GLOBAL INVESTORS U.S. LLC MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER direct 2008-06-01
FLATTUM, DAVID, CARL MANAGING DIRECTOR, GLOBAL GENERAL COUNSEL 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, GLOBAL GENERAL COUNSEL direct 2009-01-01
PA FUND MANAGEMENT LLC MEMBER OF MANAGEMENT BOARD direct 2004-07-01 2006-03-30
PIMCO ADVISORS LP MANAGING DIRECTOR direct 2001-04-01 2006-10-18
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2009-01-01 2017-03-01
KIESEL, MARK, RICHARD MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER (GLOBAL CREDIT) 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2009-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, DEPUTY CHIEF INVESTMENT OFFICER direct 2014-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER (GLOBAL CREDIT) direct 2014-09-01
WORAH, MIHIR, PRAVIN MANAGING DIRECTOR - EXECUTIVE COMMITTEE, CHIEF INVESTMENT OFFICER (REAL RETURN AND ASSET ALLOCATION) 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE, CHIEF INVESTMENT OFFICER (REAL RETURN AND ASSET ALLOCATION) direct 2014-09-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2009-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE, DEPUTY CHIEF INVESTMENT OFFICER direct 2014-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, DEPUTY CHIEF INVESTMENT OFFICER direct 2014-01-01
BALLS, ANDREW, THOMAS MANAGING DIRECTOR - CHIEF INVESTMENT OFFICER (GLOBAL) 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2009-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, DEPUTY CHIEF INVESTMENT OFFICER direct 2014-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE, CHIEF INVESTMENT OFFICER (GLOBAL) direct 2014-09-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - CHIEF INVESTMENT OFFICER (GLOBAL) direct 2014-09-01
ALLIANZ ASSET MANAGEMENT OF AMERICA LLC MEMBER 12/01/2006 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. SOLE MEMBER indirect 2000-05-01
OPCAP ADVISORS LLC SOLE MEMBER indirect 2000-05-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MEMBER direct 2006-12-01
OPPENHEIMER CAPITAL SOLE MEMBER indirect 2000-05-01 2001-01-31
PARAMETRIC PORTFOLIO ASSOCIATES MANAGING MEMBER indirect 2000-05-01 2001-02-27
PARAMETRIC PORTFOLIO ASSOCIATES GENERAL PARTNER indirect 2000-05-01 2001-02-27
NFJ INVESTMENT GROUP MEMBER indirect 2000-05-01 2001-02-27
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE MEMBER indirect 2000-05-01 2001-02-28
CADENCE CAPITAL MANAGEMENT MEMBER indirect 2000-05-01 2001-02-28
PIMCO SPECIALTY MARKETS LLC MEMBER indirect 2000-05-01 2001-03-30
VALUE ADVISORS LLC MEMBER indirect 2000-05-01 2001-03-30
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC MEMBER indirect 2000-05-01 2001-03-30
OPCAP ADVISORS SOLE MEMBER indirect 2000-05-01 2001-07-12
PIMCO ADVISORS LP SOLE MEMBER indirect 2000-05-01 2001-07-25
OPCAP ADVISORS SOLE MEMBER AND UNITHOLDER RESPECTIVELY indirect 2000-05-01 2002-03-28
OPCAP ADVISORS LLC SOLE MEMBER indirect 2000-05-01 2006-09-29
PIMCO ADVISORS LP SOLE MEMBER indirect 2000-05-01 2006-10-18
DURHAM, JENNIFER, E. MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC CHIEF COMPLIANCE OFFICER direct 2009-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER direct 2009-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2012-01-01
SEIDNER, MARC, PETER MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER (NON-TRADITIONAL STRATEGIES) 11/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
STANDISH AYER & WOOD INC DIRECTOR, VICE PRESIDENT direct 1995-08-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER (NON-TRADITIONAL STRATEGIES) direct 2014-11-01
STANDISH AYER & WOOD INC PRINCIPAL, VICE PRESIDENT direct 1995-08-01 2000-11-17
STANDISH INTERNATIONAL MANAGEMENT COMPANY, LLC TRUSTEE indirect 2000-04-01 2001-02-27
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2011-01-01 2013-01-16
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2011-01-01 2014-02-27
GRANTHAM MAYO VAN OTTERLOO & CO LLC MEMBER; INVESTMENT DIRECTOR direct 2014-03-01 2014-05-16
KORINKE, KIMBERLEY, GRACE MANAGING DIRECTOR - EXECUTIVE COMMITTEE 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2016-02-01
ROMAN, EMMANUEL, NMN MANAGING DIRECTOR - EXECUTIVE COMMITTEE AND CHIEF EXECUTIVE OFFICER 11/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE AND CHIEF EXECUTIVE OFFICER direct 2016-11-01
SOCIETE GENERALE ASSET MGMT INTL LTD DIRECTOR direct 2009-04-01
NUMERIC INVESTORS LLC DIRECTOR direct 2014-09-01
DAWSON, CRAIG, ALLEN MANAGING DIRECTOR - EXECUTIVE COMMITTEE 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2008-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2017-02-01
STRACKE, THIBAULT, CHRISTIAN MANAGING DIRECTOR - EXECUTIVE COMMITTEE 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2010-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2017-02-01
WANG, QI MANAGING DIRECTOR - EXECUTIVE COMMITTEE 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2012-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2017-02-01
KIRKOWSKI, JOHN, JEFFREY MANAGING DIRECTOR - CO-CHIEF FINANCIAL OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - CO-CHIEF FINANCIAL OFFICER direct 2017-09-01
STRELOW, PETER, G. MANAGING DIRECTOR - CO-CHIEF OPERATING OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2012-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - CO-CHIEF OPERATING OFFICER direct 2017-09-01
Shanahan, Robin, Christine MANAGING DIRECTOR, CO-CHIEF OPERATING OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, CO-CHIEF OPERATING OFFICER direct 2017-09-01
STAHL, CATHLEEN, RUTH MANAGING DIRECTOR - EXECUTIVE COMMITTEE 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2019-01-01
ALLIANZ ASSET MANAGEMENT OF AMERICA LLC PARTNER ALLIANZ ASSET MANAGEMENT OF AMERICA L.P. 12/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PIMCO ADVISORS RETAIL HOLDINGS LLC MEMBER indirect 2000-05-01
PIMCO SPECIALTY MARKETS LLC MEMBER indirect 2000-05-01
PEA CAPITAL LLC MEMBER indirect 2000-05-01
OPCAP ADVISORS LLC UNITHOLDER indirect 2001-01-01
ALLIANZ PRIVATE CLIENT SERVICES LLC MEMBER indirect 2001-07-01
PEA CAPITAL LLC UNITHOLDER indirect 2002-01-01
PA RETAIL HOLDINGS LLC UNITHOLDER indirect 2002-01-01
ALLIANZ PRIVATE CLIENT SERVICES LLC UNITHOLDER indirect 2002-01-01
PIMCO SPECIALTY MARKETS LLC UNITHOLDER indirect 2002-01-01
ALLIANZ GLOBAL INVESTORS CAPITAL LLC PARTNER indirect 2009-12-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC PARTNER indirect 2009-12-01
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC PARTNER indirect 2009-12-01
NFJ INVESTMENT GROUP LLC PARTNER indirect 2009-12-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC PARTNER indirect 2009-12-01
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC PARTNER indirect 2009-12-01
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC PARTNER indirect 2009-12-01
OPPENHEIMER CAPITAL LLC GENERAL PARTNER indirect 2009-12-01
RCM CAPITAL MANAGEMENT LLC PARTNER indirect 2009-12-01
PIMCO SOLAR ADVISER LLC PARTNER indirect 2009-12-01
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC PARTNER indirect 2009-12-01
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP LIMITED PARTNER direct 2001-01-01 2001-03-02
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP MEMBER indirect 2001-01-01 2001-03-02
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP MEMBER indirect 2001-01-01 2001-08-24
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP LIMITED PARTNER direct 2001-07-01 2001-08-24
NFJ INVESTMENT GROUP MEMBER indirect 2000-05-01 2001-10-19
ALLIANZ HEDGE FUND MEMBER indirect 2000-05-01 2001-11-20
CADENCE CAPITAL MANAGEMENT MEMBER indirect 2000-05-01 2001-11-21
PIMCO SPECIALTY MARKETS LLC MEMBER indirect 2000-05-01 2001-11-27
VALUE ADVISORS LLC MEMBER indirect 2000-05-01 2001-12-04
PIMCO ADVISORY SERVICES LLC MEMBER indirect 2000-05-01 2001-12-06
PIMCO EQUITY ADVISORS LLC MEMBER indirect 2000-05-01 2001-12-06
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE MEMBER indirect 2000-05-01 2001-12-06
PIMCO PRIVATE CLIENT SERVICES LLC MEMBER indirect 2001-07-01 2001-12-06
CADENCE CAPITAL MANAGEMENT UNITHOLDER indirect 2002-01-01 2004-06-29
OPPENHEIMER CAPITAL LLC UNITHOLDER indirect 2002-01-01 2004-06-29
NFJ INVESTMENT GROUP L.P. MEMBER indirect 2001-07-01 2004-06-30
ALLIANZ HEDGE FUND PARTNERS L.P. UNITHOLDER indirect 2002-01-01 2004-06-30
PIMCO SPECIALTY MARKETS LLC UNITHOLDER indirect 2002-01-01 2004-06-30
ALLIANZ PRIVATE CLIENT SERVICES LLC UNITHOLDER indirect 2002-01-01 2004-06-30
NFJ INVESTMENT GROUP UNITHOLDER indirect 2002-01-01 2004-06-30
PACIFIC INVESTMENT MANAGEMENT CO LLC UNITHOLDER indirect 2002-01-01 2004-08-04
PA MANAGED ACCOUNTS LLC UNITHOLDER indirect 2002-01-01 2004-08-30
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC UNITHOLDER indirect 2002-01-01 2004-08-30
OPCAP ADVISORS LLC UNITHOLDER indirect 2001-01-01 2004-09-28
PEA CAPITAL LLC UNITHOLDER indirect 2002-01-01 2004-10-23
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC UNITHOLDER indirect 2002-01-01 2004-10-23
PIMCO ADVISORY SERVICES HOLDINGS LLC UNITHOLDER indirect 2002-01-01 2004-10-25
CADENCE CAPITAL MANAGEMENT LLC MEMBER indirect 2000-05-01 2005-04-21
CADENCE CAPITAL MANAGEMENT LLC UNITHOLDER indirect 2002-01-01 2005-04-21
OPPENHEIMER CAPITAL LLC SOLE MEMBER indirect 2000-05-01 2006-03-29
ALLIANZ HEDGE FUND PARTNERS L.P. MEMBER indirect 2000-05-01 2006-03-29
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC MEMBER indirect 2000-05-01 2006-03-30
PA MANAGED ACCOUNTS LLC MEMBER indirect 2000-05-01 2006-03-30
PACIFIC INVESTMENT MANAGEMENT CO LLC MEMBER indirect 2001-07-01 2006-05-15
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC MEMBER indirect 2000-05-01 2006-06-28
NFJ INVESTMENT GROUP MEMBER indirect 2000-05-01 2006-10-11
ALLIANZ HEDGE FUND PARTNERS L.P. MEMBER indirect 2000-05-01 2007-03-30
ALLIANZ HEDGE FUND PARTNERS L.P. UNITHOLDER indirect 2002-01-01 2007-03-30
NFJ INVESTMENT GROUP L.P. MEMBER indirect 2001-07-01 2008-08-05
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC UNITHOLDER indirect 2002-01-01 2009-09-10
NFJ INVESTMENT GROUP L.P. UNITHOLDER indirect 2002-01-01 2009-09-14
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC UNITHOLDER indirect 2002-01-01 2009-09-14
PA MANAGED ACCOUNTS LLC UNITHOLDER indirect 2002-01-01 2009-09-21
OPPENHEIMER CAPITAL LLC UNITHOLDER indirect 2002-01-01 2009-11-20
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC UNITHOLDER indirect 2002-01-01 2009-11-20
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC UNITHOLDER indirect 2002-01-01 2009-11-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC UNITHOLDER indirect 2008-06-01 2009-11-23
NFJ INVESTMENT GROUP LLC MEMBER indirect 2001-07-01 2010-02-25
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC MEMBER indirect 2000-05-01 2010-03-23
OPPENHEIMER CAPITAL LLC SOLE MEMBER indirect 2000-05-01 2010-03-23
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC MEMBER indirect 2000-05-01 2010-03-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC MEMBER indirect 2008-06-01 2010-03-23
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC GENERAL PARTNER indirect 2009-12-01 2010-03-23
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MEMBER indirect 2001-07-01 2010-03-25
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC GENERAL PARTNER indirect 2009-12-01 2010-03-25
NFJ INVESTMENT GROUP L.P. MEMBER indirect 2000-05-01 2010-03-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC MEMBER indirect 2000-05-01 2010-03-30
NFJ INVESTMENT GROUP LLC GENERAL PARTNER indirect 2009-12-01 2010-03-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC GENERAL PARTNER indirect 2009-12-01 2010-03-30
ALLIANZ GLOBAL INVESTORS CAPITAL LLC MEMBER indirect 2000-05-01 2010-04-30
ALLIANZ GLOBAL INVESTORS CAPITAL LLC GENERAL PARTNER indirect 2009-12-01 2010-07-27
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2009-12-01 2010-07-27
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC GENERAL PARTNER indirect 2009-12-01 2010-09-22
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC PARTNER indirect 2009-12-01 2011-06-29
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC PARTNER indirect 2009-12-01 2011-06-29
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC PARTNER indirect 2009-12-01 2011-06-29
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC PARTNER indirect 2009-12-01 2011-06-30
NFJ INVESTMENT GROUP LLC PARTNER indirect 2009-12-01 2011-10-05
NFJ INVESTMENT GROUP LLC MEMBER indirect 2010-03-01 2011-10-05
ALLIANZ GLOBAL INVESTORS CAPITAL LLC PARTNER indirect 2009-12-01 2011-11-30
ALLIANZ OF AMERICA, INC. MEMBER ALLIANZ ASSET MANAGEMENT OF AMERICA LLC 05/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ALLIANZ INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1979-11-01
QUESTAR ASSET MANAGEMENT, INC. SHAREHOLDER indirect 1996-04-01
USALLIANZ SECURITIES, INC. SHAREHOLDER indirect 1999-08-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MEMBER indirect 2000-05-01
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC MEMBER indirect 2000-05-01
RCM CAPITAL MANAGEMENT LLC MEMBER indirect 2000-05-01
ALLIANZ GLOBAL INVESTORS U.S. LLC MEMBER indirect 2000-05-01
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC MEMBER indirect 2000-05-01
PIMCO SOLAR ADVISER LLC MEMBER indirect 2000-05-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC MEMBER indirect 2000-05-01
NFJ INVESTMENT GROUP LLC MEMBER indirect 2000-05-01
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC MEMBER indirect 2000-05-01
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC MEMBER indirect 2000-05-01
ALLIANZ CAPITAL PARTNERS OF AMERICA, INC. SOLE SHAREHOLDER direct 2002-12-01
QUESTAR CAPITAL CORPORATION SHAREHOLDER indirect 2005-11-01
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP MEMBER indirect 2001-01-01 2001-03-02
VALUE ADVISORS LLC MEMBER indirect 2000-05-01 2001-03-30
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP MEMBER indirect 2001-01-01 2001-08-24
PIMCO ALLIANZ ADVISORS LLC MEMBER indirect 2000-05-01 2002-01-30
USALLIANZ SECURITIES, INC. SHAREHOLDER indirect 1999-08-01 2004-03-26
PIMCO ADVISORS MANAGED ACCOUNTS LLC MEMBER indirect 2000-05-01 2004-08-30
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC MEMBER indirect 2000-05-01 2004-08-30
DRESDNER RCM GLOBAL INVESTORS LLC PARENT indirect 2001-07-01 2004-08-31
QUESTAR ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2005-11-01 2009-06-03
RCM CAPITAL MANAGEMENT LLC PARENT indirect 2001-07-01 2010-07-28
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC MEMBER indirect 2008-06-01 2010-09-22
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC MEMBER indirect 2000-05-01 2011-06-29
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MEMBER indirect 2000-05-01 2011-06-29
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC MEMBER indirect 2000-05-01 2011-06-29
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC MEMBER indirect 2000-05-01 2011-06-30
NFJ INVESTMENT GROUP LLC MEMBER indirect 2000-05-01 2011-10-05
ALLIANZ GLOBAL INVESTORS CAPITAL LLC MEMBER indirect 2000-05-01 2011-11-30
ALLIANZ CAPITAL PARTNERS OF AMERICA, INC. SHAREHOLDER direct 2002-12-01 2014-03-31
ALLIANZ EUROPE B.V. SOLE STOCKHOLDER ALLIANZ OF AMERICA, INC. 06/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PIERCE STREET ADVISORS, LLC GENERAL PARTNER indirect 2004-08-01
ORBITEX MANAGEMENT INC PARENT direct 2000-05-01
TD CAPITAL PRIVATE EQUITY ADVISORS LTD. DIRECT OWNER direct 2009-11-01
BBRS PRIVATE WEALTH MANAGEMENT, LLC MEMBER direct 2009-11-01
ODEY ASSET MANAGEMENT LLP LIMITED LIABILITY COMPANY direct 2010-01-01
CALAMOS PARTNERS LLC SHAREHOLDER indirect 2004-10-01
CHURCHILL FINANCIAL LLC SHAREHOLDER indirect 2010-04-01
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2000-06-01
PHINEUS PARTNERS, L.P. SHAREHOLDER indirect 2004-10-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2010-04-01
PHARMAKON ADVISORS, LP OWNER direct 2010-04-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2010-05-01
ING LEXINGTON MANAGEMENT CORP SHAREHOLDER indirect 2000-09-01
RWC ASSET MANAGEMENT LLP SHAREHOLDER indirect 2010-06-01
MARKET SYSTEMS RESEARCH INC SHAREHOLDER indirect 2000-09-01
TWELVE CAPITAL (UK) LTD SHAREHOLDER indirect 2010-07-01
ING PILGRIM QUANTITATIVE MANAGEMENT, INC. SHAREHOLDER indirect 2000-09-01
C-QUADRAT KAPITALANLAGE AG CO direct 2000-09-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01
BOSTON ADVISORS INC OWNER direct 2001-01-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH STOCKHOLDER indirect 2010-08-01
PROTECTED INVESTORS OF AMERICA SHAREHOLDER direct 2001-01-01
MORGAN KEEGAN TRUST COMPANY, F.S.B. DIRECT OWNER / HOLDING COMPANY direct 2001-03-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH STOCKHOLDER indirect 2010-08-01
NWQ INVESTMENT MANAGEMENT CO INC 100% SHAREHOLDER OF NWQ INVESTMENT MANAGEMENT COMPANY INC. direct 2001-04-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER direct 2001-05-01
AIFAM, INC. SHAREHOLDER direct 2010-09-01
SARACEN PURE ENERGY PARTNERS, LP GENERAL PARTNER direct 2010-11-01
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2004-12-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2010-12-01
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2004-12-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC HOLDING COMPANY indirect 2010-12-01
HYPERION GMAC CAPITAL ADVISORS, LLC OWNER indirect 2004-12-01
WAFRA CAPITAL PARTNERS INC. DIRECT OWNER direct 2011-01-01
HYPERION GMAC CAPITAL ADVISORS, LLC OWNER indirect 2004-12-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SOLE STOCKHOLDER direct 2011-03-01
NXT CAPITAL INVESTMENT ADVISERS, LLC SHAREHOLDER indirect 2011-07-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MEMBER indirect 2011-07-01
PENN STREET INVESTMENT ADVISORS, INC. SHAREHOLDER direct 2005-03-01
KENMONT INVESTMENTS MANAGEMENT, L.P. LIMITED PARTNER direct 2005-03-01
TRINITY LEGACY PARTNERS, LLC GENERAL PARTNER indirect 2011-09-01
OPPENHEIMER CAPITAL LLC MEMBER direct 2005-04-01
TRINITY LEGACY PARTNERS, LLC GENERAL PARTNER indirect 2011-09-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 1940-04-01
PEA CAPITAL LLC MEMBER direct 2005-04-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2011-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2011-12-01
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 1973-08-01
PRIMA CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2011-12-01
KG REDDING, LLC OWNER indirect 2005-04-01
PRIMA CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2011-12-01
SKY HARBOR CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2011-12-01
BROOKFIELD PRIVATE EQUITY ADVISORS LLC OWNER indirect 2005-04-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 1978-08-01
AMP CAPITAL BROOKFIELD (US) LLC OWNER indirect 2005-04-01
CEDAR RIDGE PARTNERS, LLC CLASS A MEMBER direct 2005-04-01
POLEN CAPITAL MANAGEMENT, LLC BANK HOLDING COMPANY indirect 1978-11-01
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2005-04-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC BANK HOLDING COMPANY indirect 1978-11-01
ENHANCED CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2011-12-01
SHOREVIEW INDUSTRIES II, LLC OWNER indirect 1980-09-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2005-05-01
KENMONT INVESTMENTS MANAGEMENT, L.P. GENERAL PARTNER indirect 2005-06-01
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. STOCKHOLDER indirect 2005-06-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. STOCKHOLDER indirect 2005-06-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01
OPPENHEIMER CAPITAL LLC STOCKHOLDER indirect 2005-06-01
TREE LINE CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2011-12-01
MVP PARTNERS 5, LLC OWNER indirect 2012-01-01
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2005-06-01
OPCAP ADVISORS LLC STOCKHOLDER indirect 2005-06-01
TITAN HOLDINGS GROUP, INC. SHAREHOLDER direct 2012-01-01
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2012-01-01
WAFRA INVESTMENT ADVISORY GROUP, INC. WHOLLY OWNS APPLICANT direct 1984-07-01
PHOENIX CAPITAL REALTY ADVISORS, LLC MEMBER (PHOENIX CAPITAL REALTY ADVISORS, LLC) direct 2012-01-01
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2005-06-01
ERMITAGE ASSET MANAGEMENT JERSEY LIMITED SHAREHOLDER indirect 2012-04-01
EASTSPRING INVESTMENTS INCORPORATED SOLE SHAREHOLDER direct 2012-04-01
CITICORP TRUST BANK, FSB SHAREHOLDER indirect 2001-10-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 2012-06-01
PEA CAPITAL LLC STOCKHOLDER indirect 2005-06-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC SOLE STOCKHOLDER indirect 2012-06-01
PEA CAPITAL LLC STOCKHOLDER indirect 2005-06-01
ALLIANZ GLOBAL INVESTORS CAPITAL LLC SOLE STOCKHOLDER indirect 2012-06-01
NFJ INVESTMENT GROUP LLC SOLE STOCKHOLDER indirect 2012-06-01
RCM CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
AEGON USA INVESTMENT MANAGEMENT INC OWNER OF AEGON U.S. HOLDING CORP. direct 1988-03-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
AEGON USA INVESTMENT MANAGEMENT INC ACTIVE indirect 1988-03-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 1989-12-01
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2005-06-01
ALLIANZ CAPITAL PARTNERS OF AMERICA, INC. SOLE SHAREHOLDER indirect 2012-06-01
WAFRA INVESTMENT ADVISORY GROUP, INC. 95.5% OWNER OF WIC indirect 1990-01-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 2012-06-01
WAFRA INVESTMENT ADVISORY GROUP, INC. WHOLLY OWNS PIFSS indirect 1990-01-01
PIMCO SOLAR ADVISER LLC SOLE STOCKHOLDER indirect 2012-06-01
VELA INVESTORS PTE LTD SHAREHOLDER direct 2012-08-01
PROTECTED INVESTORS OF AMERICA SHAREHOLDER direct 2012-11-01
WAFRA CAPITAL PARTNERS INC. 95.5% OWNER OF WAFRA INTERVEST CORPORATION indirect 1990-01-01
WAFRA CAPITAL PARTNERS INC. WHOLLY OWNS THE PUBLIC INSTITUTION FOR SOCIAL SECURITY indirect 1990-01-01
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2005-06-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2001-11-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 1990-01-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC HOLDING COMPANY indirect 2001-11-01
GRANITE SPRINGS ASSET MANAGEMENT, LLC OWNER/ MEMBER direct 2012-12-01
ARCLIGHT CAPITAL PARTNERS, LLC WHOLLY OWNS PUBLIC INSTITUTION FOR SOCIAL SECURITY OF KUWAIT indirect 1990-01-01
LCN CAPITAL PARTNERS, L.P. LIMITED PARTNER OF LCN CAPITAL PARTNERS, L.P. direct 2013-01-01
LCN CAPITAL PARTNERS, L.P. LIMITED PARTNERS OF LCN CAPITAL MANAGEMENT, L.P. indirect 2013-01-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 1990-04-01
LATIN AMERICA ALTERNATIVES MANAGEMENT (US), LLC SOLE MEMBER direct 2013-02-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 1990-04-01
CAMBERLINK LLC SHAREHOLDER indirect 2013-04-01
NEWGLOBE, L.P. GENERAL PARTNER direct 2013-05-01
CURSITOR EATON ASSET MANAGEMENT CO 100% S/H indirect 1990-07-01
ALLIANCE ASSET ALLOCATION LTD 100% SHAREHOLDER OF REGISTRANT direct 2002-03-01
WINDMILL HILL ASSET MANAGEMENT LIMITED SHAREHOLDER direct 2013-05-01
ENERVEST INVESTMENT SERVICES, LLC SHAREHOLDER indirect 1990-12-01
PINNACLE WEALTH MANAGEMENT, INC. PARENT COMPANY direct 2005-09-01
GMG INVESTMENT ADVISORS LLC HOLDING COMPANY direct 2013-06-01
NEWMAN RAGAZZI PARTNERS LLP PARTNER direct 2005-09-01
CONEGLIANO VENTURES, LLC GENERAL PARTNER direct 2013-06-01
ENDEAVOR MANAGEMENT CO OWNER indirect 1991-02-01
FINANCIAL MANAGEMENT ADVISORS INC PARENT COMPANY indirect 2002-04-01
EMSO PARTNERS LIMITED SOLE SHAREHOLDER direct 2013-08-01
ENDEAVOR MANAGEMENT CO OWNER indirect 1991-02-01
NEWMAN RAGAZZI PARTNERS LLP PARTNER direct 2005-11-01
ENDEAVOR MANAGEMENT CO OWNER indirect 1991-02-01
DIVERSIFIED GLOBAL ASSET MANAGEMENT INC OWNER indirect 2005-11-01
EMSO ASSET MANAGEMENT US LLC SOLE SHAREHOLDER indirect 2013-08-01
DSC ADVISORS, L.P. MEMBER indirect 2005-12-01
SPUNGINVESTMENTS, LLC MEMBER indirect 2005-12-01
IDEX MANAGEMENT, INC OWNER OF AEGON INTERNATIONAL NV indirect 1991-04-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 2013-10-01
CLEARY GULL ADVISORS INC. SHAREHOLDER OF A AND B SHARES indirect 1991-06-01
STRENTA INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2013-10-01
BROOKFIELD PRIVATE EQUITY ADVISORS LLC OWNER indirect 2005-12-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 1991-10-01
HYPERION BROOKFIELD ASSET MANAGEMENT, INC. OWNER indirect 2005-12-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2013-12-01
BROADSTONE REAL ESTATE, LLC GENERAL PARTNER indirect 2013-12-01
BROOKFIELD REDDING LLC OWNER indirect 2005-12-01
BOLTON LP OWNER indirect 2013-12-01
REAL ESTATE CAPITAL PARTNERS LP SHAREHOLDER indirect 1992-01-01
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2005-12-01
BOLTON LP OWNER indirect 2013-12-01
BOLTON LP OWNER indirect 2013-12-01
ODEY ASSET MANAGEMENT LLP LIMITED COMPANY, MANAGING MEMBER OF LLP direct 2005-12-01
BROADSTONE ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC GENERAL PARTNER indirect 2013-12-01
HOTTINGER CAPITAL CORP STOCKHOLDER direct 1993-01-01
CONNECTIVE PORTFOLIO MANAGEMENT, LLC SOLE STOCKHOLDER indirect 1993-01-01
NORTHSTAR CAPITAL INVESTMENT, CORP. MEMBER indirect 1993-03-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH SOLE STOCKHOLDER direct 2006-01-01
KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD. SHAREHOLDER direct 2014-03-01
DEUTSCHE ALTERNATIVE ASSET MANAGEMENT (GLOBAL) LIMITED OWNER direct 2006-02-01
DOUGHERTY & COMPANY LLC OWNER indirect 2014-04-01
PROPHECY ASSET MANAGEMENT, INC GENERAL PARTNER OF PROPHECY ASSET MANAGEMENT, LP direct 2014-04-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SOLE STOCKHOLDER indirect 2002-10-01
DOUGHERTY WEALTH ADVISERS LLC MEMBER indirect 2014-04-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2014-04-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 1994-05-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH SOLE STOCKHOLDER indirect 2002-10-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC PARENT indirect 2014-04-01
WESTLB MELLON ASSET MANAGEMENT (USA) LLC PARENT indirect 2006-04-01
TWELVE CAPITAL (UK) LTD SHAREHOLDER direct 2014-05-01
TWELVE CAPITAL (UK) LTD SHAREHOLDER indirect 2014-05-01
OAKTREE CAPITAL MANAGEMENT, L.P. MANAGING MEMBER direct 2014-08-01
CRA MANAGEMENT PTE LTD SHAREHOLDER direct 2006-06-01
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTNER indirect 2014-08-01
ARISTA WEALTH MANAGEMENT, LLC MEMBER indirect 2006-07-01
OAKTREE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2014-08-01
OAKTREE CAPITAL MANAGEMENT, L.P. MEMBER direct 2014-08-01
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER direct 2006-10-01
STREAMSONG ADVISORS, LLC OWNER direct 2014-08-01
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2014-08-01
ATL ADVISOR LLC GENERAL PARTNER direct 2014-09-01
STEAMBOAT CAPITAL PARTNERS, LLC MEMBER direct 2014-09-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAREHOLDER indirect 1995-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2006-12-01
OGAM, LP SHAREHOLDER indirect 2014-10-01
AMHERST CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2006-12-01
OGAM, LP SHAREHOLDER indirect 2014-10-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. L.P. STOCKHOLDER indirect 1996-04-01
AMHERST ADVISORY & MANAGEMENT LLC GENERAL PARTNER indirect 2006-12-01
MAWER INVESTMENT MANAGEMENT LTD. SHAREHOLDER direct 2015-01-01
AERO ASSET MANAGEMENT, LLC. PARENT COMPANY direct 2007-03-01
MILLENNIUM CAPITAL ADVISORS LLC SHAREHOLDER direct 1996-06-01
DEIMOS ASSET MANAGEMENT LLC MEMBER direct 2015-02-01
RERC, LLC PARTNERS indirect 2015-03-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. L.P. STOCKHOLDER indirect 2007-04-01
CEDRUS PARK MANAGEMENT LP LIMITED PARTNER OF ADVISER, MEMBER OF RELYING ADVISER direct 2015-04-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2007-04-01
AMERICAN BEACON ADVISORS, INC. GENERAL PARTNER indirect 2015-04-01
PIMCO SPECIALTY MARKETS LLC SOLE STOCKHOLDER indirect 2003-01-01
SHAPIRO CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2015-04-01
ALLIANZ DRESDNER ASSET MANAGEMENT OF AMERICA L.P. STOCKHOLDER indirect 2003-01-01
UNIO CAPITAL LLC LIMITED PARTNER indirect 2015-05-01
FIRST MARKET BANK, F.S.B. SHAREHOLDER direct 1997-11-01
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2003-01-01
CONCENTRIC WEALTH ADVISORS LLC MANAGING MEMBER indirect 2015-06-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2015-06-01
PA RETAIL HOLDINGS LLC STOCKHOLDER indirect 2003-01-01
GENSPRING CHARLESTON, LLC SHAREHOLDER indirect 2007-05-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC HOLDING COMPANY indirect 2015-06-01
ALLIANZ PRIVATE CLIENT SERVICES LLC STOCKHOLDER indirect 2003-01-01
ENVISO CAPITAL, LLC OWNER indirect 2015-07-01
UTC FUND SERVICES, INC. SHAREHOLDER direct 1997-12-01
STANLEY CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2015-07-01
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTNER indirect 2007-05-01
STANLEY CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2015-08-01
FRIENDS IVORY & SIME PLC PARENT COMPANY direct 1998-02-01
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTER indirect 2007-05-01
VICTORY PARK CAPITAL ADVISORS, LLC LIMITED PARTNER (OF VITALOGY CAPITAL PARTNERS MANAGEMENT LP) direct 2015-09-01
FRIENDS IVORY & SIME INC PARENT COMPANY indirect 1998-02-01
OAKTREE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2007-05-01
STANLEY CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2015-09-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAAREHOLDER direct 1998-06-01
OAKTREE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2007-05-01
STANLEY CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2015-09-01
CONCENTRIC WEALTH ADVISORS LLC OWNER, MANAGING MEMBER direct 2015-10-01
APEXIUM FINANCIAL LP GENERAL PARTNER direct 2015-10-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. L.P. STOCKHOLDER indirect 1998-07-01
APEXIUM FINANCIAL LP MEMBER indirect 2015-10-01
ING LEXINGTON MANAGEMENT CORP SHAREHOLDER indirect 1998-09-01
APEXIUM FINANCIAL LP GENERAL PARTNER direct 2015-10-01
ING LEXINGTON MANAGEMENT CORP SHAREHOLDER indirect 1998-09-01
APEXIUM FINANCIAL LP MEMBER indirect 2015-10-01
MARKET SYSTEMS RESEARCH ADVISORS INC SHAREHOLDER indirect 1998-09-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2015-10-01
MARKET SYSTEMS RESEARCH ADVISORS INC SHAREHOLDER indirect 1998-09-01
MARKET SYSTEMS RESEARCH INC SHAREHOLDER indirect 1998-09-01
CONSONANCE CAPITAL MASTER ACCOUNT LP GENERAL PARTNER direct 2007-07-01
ING MUTUAL FUNDS MANAGEMENT CO. LLC SHAREHOLDER indirect 1998-09-01
OPPENHEIMER CAPITAL LLC STOCKHOLDER indirect 2003-01-01
ING MUTUAL FUNDS MANAGEMENT CO. LLC SHAREHOLDER indirect 1998-09-01
HATTERAS FUNDS, LP GENERAL PARTNER direct 2016-01-01
ING MUTUAL FUNDS MANAGEMENT CO. LLC SHAREHOLDER indirect 1998-09-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 2003-01-01
IFG ADVISORY SERVICES INC SOLE SHAREHOLDER indirect 1998-11-01
STEWARD PARTNERS INVESTMENT ADVISORY, LLC MEMBER direct 2016-01-01
IFG ADVISORY SERVICES INC SOLE SHAREHOLDER indirect 1998-11-01
EDEN CAPITAL MANAGEMENT PARTNERS, L.P. GENERAL PARTNER direct 2003-02-01
STRATEGIC ASSET MANAGEMENT LTD. OWNER direct 2016-02-01
IFG ADVISORY SERVICES INC SOLE SHAREHOLDER indirect 1998-11-01
ATHENA RISK ADVISORS LLC OWNER direct 2003-03-01
STRATEGIC ASSET MANAGEMENT LTD. OWNER indirect 2016-02-01
OAKTREE CAPITAL MANAGEMENT, L.P. SHAREHOLDER direct 2007-10-01
COLONIAL ADVISORY SERVICES INC PARENT OF APPLICANT direct 1998-12-01
DSC ADVISORS, L.P. SOLE MEMBER OF ARBI LLC indirect 2016-03-01
BLUEPOINT INVESTMENT ADVISORY LLC MEMBER direct 2007-11-01
VILLANOVA SA CAPITAL TRUST SOLE TRUSTEE direct 1999-02-01
VILLANOVA MUTUAL FUND CAPITAL TRUST SOLE TRUSTEE direct 1999-02-01
ALBERT BRIDGE CAPITAL LLP INVESTOR MEMBER direct 2016-03-01
INLIGN WEALTH MANAGEMENT, LLC SHAREHOLDERS indirect 2007-12-01
ENTRUST PARTNERS OFFSHORE LP OWNER indirect 2016-05-01
EPLANNING ADVISORS INC PARENT COMPANY direct 1999-03-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2007-12-01
ENTRUST PARTNERS OFFSHORE LP IOWNER indirect 2016-05-01
RWC ASSET MANAGEMENT LLP MANAGING MEMBER direct 2007-12-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
TRANSAMERICA OCCIDENTAL LIFE INSURANCE CO. ACTIVE indirect 1999-07-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
CONEXUS CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2016-06-01
TXRE ADVISERS, LLC SHAREHOLDER indirect 2016-06-01
FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD SHAREHOLDER direct 2008-03-01
ALPHA QUANT ADVISORS, LLC GENERAL PARTNER indirect 2016-10-01
KPC TERRAPIN GROUP LLC MEMBER direct 2016-11-01
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2016-12-01
MAWER INVESTMENT MANAGEMENT LTD. SHAREHOLDER direct 2016-12-01
LIGHTBAY MANAGEMENT LLC GENERAL PARTNER OF LIGHTBAY INVESTMENT PARTNERS GP LP (RELYING ADVISER) direct 2016-12-01
AVENUE CREDIT MANAGEMENT, L.P. GENERAL PARTNER OF AVENUE CREDIT MANAGEMENT, L.P. direct 2017-01-01
CROSS KEYS SECURITIES LIMITED PARTNERSHIP GENERAL PARTNER direct 1999-11-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2017-01-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2017-01-01
LAUREATE WEALTH MANAGEMENT LLC GENERAL PARTNER indirect 2008-06-01
CADIAN CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2017-01-01
ONEASCENT FINANCIAL SOLUTIONS LLC MANAGING MEMBER direct 2017-02-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2003-06-01
MONCRIEF WILLINGHAM ENERGY ADVISERS, L.P. LIMITED PARTNER direct 2008-07-01
THE PALISADES GROUP, LLC OWNER direct 2017-03-01
MAWER INVESTMENT MANAGEMENT LTD. SHAREHOLDER direct 2003-06-01
MONCRIEF WILLINGHAM ENERGY ADVISERS, L.P. MEMBER indirect 2008-07-01
TALSON CAPITAL MANAGEMENT L.P. LIMITED PARTNER OF TAYLOR INVESTMENT ADVISORS LP direct 2017-03-01
CRUX RESOURCE MANAGEMENT, LLC MANAGING MEMBER, CRUX RESOURCE MANAGEMENT, LLC direct 2017-03-01
TAYLOR INVESTMENT ADVISORS LP LIMITED PARTNER direct 2017-03-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 2003-07-01
OGAM, LP PARTNER direct 2017-04-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER, COMMON VOTING indirect 2003-07-01
HIGHSIDE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2003-07-01
CW WEALTH STRATEGIES MEMBER direct 2017-06-01
HOURGLASS CAPITAL, LLC MEMBER indirect 2008-09-01
SHOREVIEW INDUSTRIES II, LLC OWNER indirect 2000-04-01
COTTON CREEK CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-04-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 2003-07-01
MERION INVESTMENT MANAGEMENT LP GENERAL PARTNER indirect 2008-10-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 2003-07-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2008-12-01
SANDS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL VENTURES, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL VENTURES, LLC MEMBER indirect 2008-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2008-12-01
PRIMA CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2008-12-01
HIGHSIDE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER (HIGHSIDE PERFORMANCE L.P.) ("RELYING ADVISER") direct 2008-12-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 2008-12-01
MCF-ALADDIN CAPITAL MANAGEMENT LLC MEMBER indirect 2003-12-01
SANDS CAPITAL VENTURES, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-12-01
CLAYVARD FUND MANAGEMENT USA, INC. SHAREHOLDER direct 2004-01-01
HIGHSIDE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER (HOLGP, L.P.) ("RELYING ADVISER") direct 2009-02-01
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2004-01-01
CHAMBERS ENERGY MANAGEMENT, LP GENERAL PARTNER indirect 2009-03-01
GRANITE POINT CAPITAL MANAGEMENT, L.P. GENERAL PARTNER direct 2004-01-01
PRAEDIUM INVESTMENT ADVISERS LLC SHAREHOLDER indirect 2004-02-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2009-04-01
BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC SHAREHOLDER indirect 2004-02-01
SSR CAPITAL PARTNERS, LP RECEIVER indirect 2009-05-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2004-05-01
OAKTREE CAPITAL MANAGEMENT, L.P. MANAGING MEMBER indirect 2009-06-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2004-05-01
PROTECTED INVESTORS OF AMERICA SHAREHOLDER direct 2009-06-01
BELVERON REAL ESTATE PARTNERS, LLC OWNER direct 2004-05-01
HG AMALGAM LLP MEMBER direct 2009-10-01
PIERCE STREET ADVISORS, LLC GENERAL PARTNER indirect 2004-07-01
RITCHIE CAPITAL MANAGEMENT, LTD. MEMBER direct 2004-08-01
RITCHIE CAPITAL MANAGEMENT, LTD. SHAREHOLDER indirect 2004-08-01
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE MEMBER indirect 2000-05-01 2000-11-03
WAFRA INVESTMENT ADVISORY GROUP, INC. 95.5% OWNER OF WIC direct 1990-01-01 2001-01-31
WAFRA INVESTMENT ADVISORY GROUP, INC. WHOLLY OWNS PIFSS direct 1990-01-01 2001-01-31
CROSS KEYS ASSET MANAGEMENT INC SHAREHOLDER OF NFP direct 1999-11-01 2001-01-31
CROSS KEYS ASSET MANAGEMENT INC LIMITED PARTNER OF APOLLO FUND direct 1999-11-01 2001-01-31
OPCAP ADVISORS MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL SOLE MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL SOLE MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL SOLE SHAREHOLDER indirect 2000-05-01 2001-01-31
IDEX MANAGEMENT, INC OWNER OF AEGON indirect 1991-04-01 2001-02-01
PIMCO ADVISORS LP MEMBER indirect 2000-05-01 2001-02-01
PIMCO ADVISORS LP SOLE MEMBER indirect 2000-05-01 2001-02-01
PIMCO ADVISORS LP SOLE MEMBER indirect 2000-05-01 2001-02-01
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** GENERAL AND LIMITED PARTNER direct 1996-05-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER OF ROBECO indirect 1996-05-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER OF US indirect 1997-02-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER OF RAM indirect 1997-02-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER IN RAM indirect 1997-02-01 2001-02-06
CROSS KEYS SECURITIES LIMITED PARTNERSHIP SHAREHOLDER indirect 1999-11-01 2001-02-26
CROSS KEYS SECURITIES LIMITED PARTNERSHIP PARTNER indirect 1999-11-01 2001-02-26
PARAMETRIC PORTFOLIO ASSOCIATES MEMBER indirect 2000-05-01 2001-02-27
PARAMETRIC PORTFOLIO ASSOCIATES STOCKHOLDER indirect 2000-05-01 2001-02-27
PARAMETRIC PORTFOLIO ASSOCIATES MEMBER indirect 2000-05-01 2001-02-27
PARAMETRIC PORTFOLIO ASSOCIATES SHAREHOLDER indirect 2000-05-01 2001-02-27
NFJ INVESTMENT GROUP MEMBER indirect 2000-05-01 2001-02-27
NFJ INVESTMENT GROUP GENERAL PARTNER indirect 2000-05-01 2001-02-27
NFJ INVESTMENT GROUP SOLE STOCKHOLDER indirect 2000-05-01 2001-02-27
PACIFIC INVESTMENT MANAGEMENT CO LLC MEMBER indirect 2000-05-01 2001-02-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE MEMBER indirect 2000-05-01 2001-02-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE SHAREHOLDER indirect 2000-05-01 2001-02-28
CADENCE CAPITAL MANAGEMENT MEMBER indirect 2000-05-01 2001-02-28
CADENCE CAPITAL MANAGEMENT SOLE MEMBER indirect 2000-05-01 2001-02-28
CADENCE CAPITAL MANAGEMENT MEMBER indirect 2000-05-01 2001-02-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2000-05-01 2001-02-28
CROSS KEYS ASSET MANAGEMENT INC SHAREHOLDER indirect 1999-11-01 2001-03-05
CROSS KEYS ASSET MANAGEMENT INC PARTNER indirect 1999-11-01 2001-03-05
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP NON-MANAGING MEMBER OF PROGRESS HIGHCREST VENTURES, LLC indirect 2000-05-01 2001-03-13
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC MEMBER indirect 2000-05-01 2001-03-30
PIMCO SPECIALTY MARKETS LLC MEMBER direct 2000-07-01 2001-03-30
KAHN BROTHERS & CO. INC. STOCKHOLDERS direct 1995-10-01 2001-03-30
VALUE ADVISORS LLC MEMBER indirect 2000-05-01 2001-03-30
HFR EUROPE, LTD. CONTROLLING MEMBER direct 2001-04-01 2001-05-11
ALLIANCE ASSET ALLOCATION LTD 100% SHAREHOLDER OF REGISTRANT direct 1990-07-01 2001-05-22
OPCAP ADVISORS GENERAL PARTNER AND SOLE MEMBER indirect 2001-07-01 2001-07-12
OPCAP ADVISORS SOLE MEMBER indirect 2000-05-01 2001-07-12
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 1988-01-01 2001-07-16
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 1988-01-01 2001-07-16
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER direct 1991-10-01 2001-07-16
SPECTRUM ASSET MANAGEMENT, INC. OWNER direct 2001-08-01 2001-09-12
AMERICAN GENERAL SECURITIES, INCORPORATED VICE PRESIDENT/CCO/SROP/CROP direct 2000-03-01 2001-09-21
MARKET SYSTEMS RESEARCH ADVISORS INC SHAREHOLDER indirect 2000-09-01 2001-10-02
CYPRESSTREE INVESTMENT MANAGEMENT COMPANY, INC. OWNER direct 2001-08-01 2001-10-15
NFJ INVESTMENT GROUP GENERAL PARTNER indirect 2000-05-01 2001-10-19
CADENCE CAPITAL MANAGEMENT GENERAL PARTNER indirect 2000-05-01 2001-11-21
STEIN ROE & FARNHAM INC DIRECT AND SOLE SHAREHOLDER OF STEIN ROE & FARNHAM INCORPORATED direct 2001-01-01 2001-12-10
COLONIAL MANAGEMENT ASSSOCIATES INC PARENT OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-10
STEIN ROE & FARNHAM INC SOLE MEMBER OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-10
COLONIAL ADVISORY SERVICES INC SOLE MEMBER OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-10
COLONIAL MANAGEMENT ASSSOCIATES INC PARENT OF APPLICANT direct 1998-12-01 2001-12-10
FULTON BREAKEFIELD BROENNIMAN,LLC INDIRECT OWNER indirect 2001-03-01 2001-12-14
LIBERTY ADVISORY SERVICES CORP SOLE SHAREHOLDER OF LIBERTY ADVISORY SERVICES CORP. direct 2001-11-01 2001-12-18
LIBERTY ADVISORY SERVICES CORP SOLE MEMBER OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-18
NEWPORT PACIFIC MANAGEMENT INC SOLE SHAREHOLDER OF LIBERTY NEWPORT HOLDINGS, LIMITED indirect 2001-11-01 2001-12-18
NEWPORT FUND MANAGEMENT INC MINORITY SHAREH0LDER OF NEWPORT FUND MANAGEMENT, INC. direct 2001-11-01 2001-12-18
NEWPORT FUND MANAGEMENT INC SOLE SHAREHOLDER OF LIBERTY NEWPORT HOLDINGS, LIMITED indirect 2001-11-01 2001-12-18
CRABBE HUSON GROUP INC SOLE SHAREHOLDER/MEMBER OF LIBERTY FUNDS GROUP LLC direct 2001-11-01 2001-12-18
LIBERTY WANGER ASSET MANAGEMENT, L.P. SOLE SHAREHOLDER OF WAM ACQUISITION GP, INC., THE GENERAL PARTNER OF LIBERTY WANGER ASSET MANAGEMENT, L.P. direct 2001-11-01 2001-12-19
LIBERTY WANGER ASSET MANAGEMENT, L.P. SOLE SHAREHOLDER OF FLEET/LIBERTY HOLDINGS, INC. indirect 2001-11-01 2001-12-19
LIBERTY WANGER ASSET MANAGEMENT, L.P. SOLE SHAREHOLDER OF WAM ACQUISITION G.P., INC., THE GENERAL PARTNER OF LIBERTY WANGER ASSET MANAGEMENT L.P. indirect 2001-11-01 2001-12-19
LIBERTY ASSET MANAGEMENT COMPANY SOLE SHAREHOLDER OF LIBERTY ASSET MANAGEMENT COMPANY direct 2001-11-01 2001-12-20
LEGACY ADVISORS, LLC LLC direct 2001-12-01 2002-01-08
PROGRESS INVESTMENT MANAGEMENT COMPANY SOLE SHAREHOLDER OF PROGRESS INVESTMENT MANAGEMENT COMPANY direct 2001-11-01 2002-01-10
BALENTINE & COMPANY LLC HOLDING COMPANY direct 2002-01-01 2002-01-10
BALENTINE & COMPANY OF TENNESSEE, LLC HOLDING COMPANY direct 2001-01-01 2002-01-11
USICG ADVISORS INC SHAREHOLDER indirect 1996-08-01 2002-01-14
PIMCO PRIVATE CLIENT SERVICES LLC SOLE STOCKHOLDER indirect 2000-05-01 2002-01-30
ALLIANZ HEDGE FUND STOCKHOLDER indirect 2000-05-01 2002-01-30
OPCAP ADVISORS STOCKHOLDER indirect 2001-06-01 2002-01-30
PIMCO ADVISORS LP STOCKHOLDER indirect 2001-07-01 2002-01-30
PIMCO ADVISORY SERVICES LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
PIMCO PRIVATE CLIENT SERVICES LLC SHAREHOLDER indirect 2001-07-01 2002-01-30
PIMCO EQUITY ADVISORS LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
PACIFIC INVESTMENT MANAGEMENT CO LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
ALLIANZ HEDGE FUND STOCKHOLDER indirect 2001-07-01 2002-01-30
VALUE ADVISORS LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
OPPENHEIMER CAPITAL STOCKHOLDER indirect 2001-07-01 2002-01-30
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP STOCKHOLDER indirect 2001-07-01 2002-01-30
OPCAP ADVISORS SOLE MEMBER indirect 2001-07-01 2002-01-30
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
OPCAP ADVISORS SOLE SHAREHOLDER indirect 2000-05-01 2002-01-30
NFJ INVESTMENT GROUP STOCKHOLDER indirect 2001-07-01 2002-01-31
CADENCE CAPITAL MANAGEMENT STOCKHOLDER indirect 2001-07-01 2002-01-31
NFJ INVESTMENT GROUP STOCKHOLDER indirect 2000-05-01 2002-01-31
CADENCE CAPITAL MANAGEMENT STOCKHOLDER indirect 2000-05-01 2002-01-31
PIMCO SPECIALTY MARKETS LLC STOCKHOLDER indirect 1976-06-01 2002-02-07
PIMCO SPECIALTY MARKETS LLC STOCKHOLDER indirect 2001-07-01 2002-02-07
LEND LEASE HYPERION CAPITAL ADVISORS LLC SHAREHOLDER OF LLI - 100% indirect 1997-12-01 2002-02-14
SENECA CAPITAL MANAGEMENT LLC INDIRECT OWNER indirect 2001-06-01 2002-03-05
SENECA CAPITAL MANAGEMENT LLC INDIRECT OWNER indirect 2001-06-01 2002-03-05
O'SULLIVAN HICKS PATTON FINANCIAL ADVISORS, LLC OWNER direct 2000-07-01 2002-03-13
AEGON USA INVESTMENT MANAGEMENT, LLC SH indirect 1978-11-01 2002-03-26
CITISTREET ADVISORS LLC SOLE MEMBER indirect 2000-03-01 2002-03-27
PIMCO EQUITY ADVISORS LLC STOCKHOLDER indirect 2000-05-01 2002-03-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE SHAREHOLDER indirect 2000-05-01 2002-03-28
OPPENHEIMER CAPITAL SOLE SHAREHOLDER indirect 2000-05-01 2002-03-28
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 2000-09-01 2002-03-28
PIMCO EQUITY ADVISORS LLC MEMBER direct 2001-07-01 2002-03-28
OPCAP ADVISORS LLC SOLE MEMBER indirect 2001-07-01 2002-03-28
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 1999-07-01 2002-03-28
OPCAP ADVISORS SOLE MEMBER indirect 2000-05-01 2002-03-28
PIMCO ADVISORS LP SOLE SHAREHOLDER indirect 2000-05-01 2002-03-28
JEFFERSON PILOT INVESTMENT ADVISORY CORP PARENT CORP. direct 1989-04-01 2002-04-05
SIGNAL CAPITAL MANAGEMENT,INC. AMERICAN NATIONAL TRUST & INVESTMENT COMPANY indirect 2002-03-01 2002-05-23
INLIGN WEALTH MANAGEMENT, LLC. OWNER indirect 2002-06-01 2002-06-28
HOTTINGER CAPITAL CORP 50% STOCKHOLDER OF ADVISOR direct 1993-01-01 2002-07-11
GOODMAN FINANCIAL ADVISORS, LLC CURRENT indirect 2001-07-01 2002-08-13
ROTHSCHILD ASSET MANAGEMENT INC STOCKHOLDER OF PARENT OF APPLICANT direct 1987-12-01 2002-08-30
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED PARENT COMPANY OF REGISTRANT direct 1993-08-01 2002-09-23
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED 100% HOLDING COMPANY indirect 1993-08-01 2002-09-23
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED 100% HOLDING COMPANY indirect 1993-08-01 2002-09-23
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED 100% HOLDING COMPANY indirect 1999-08-01 2002-09-23
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED 100% HOLDING COMPANY indirect 1999-08-01 2002-09-23
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP MEMBER indirect 2002-01-01 2002-11-01
ALLIANZ HEDGE FUND LIMITED PARTNER indirect 2001-10-01 2002-11-06
LEND LEASE HYPERION CAPITAL ADVISORS LLC SHAREHOLDER OF LLIPL - 100% OWNER indirect 1997-06-01 2002-11-07
LEND LEASE HYPERION CAPITAL ADVISORS LLC SHAREHOLDER OF LLI - 100% OWNER indirect 1997-12-01 2002-11-07
ING BARINGS CORP. SOLE SHAREHOLDER indirect 1995-11-01 2002-11-15
ING BARINGS CORP. SOLE SHAREHOLDER indirect 1999-11-01 2002-11-15
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC STOCKHOLDER indirect 2000-05-01 2002-11-27
PIMCO ADVISORY SERVICES LLC STOCKHOLDER indirect 2000-05-01 2002-11-27
NANTUCKET CAPITAL MANAGEMENT LLC SOLE MEMBER direct 2003-01-01 2003-01-21
NANTUCKET CAPITAL MANAGEMENT LLC GP-NANTUCKET VALENTI LP direct 2003-01-01 2003-01-21
NANTUCKET CAPITAL MANAGEMENT LLC CL A LP NANTUCKET VALENTI LP direct 2003-01-01 2003-01-21
NANTUCKET CAPITAL MANAGEMENT LLC CL B LIMITED PARTNER indirect 2003-01-01 2003-01-21
STRUCTURED PORTFOLIO MANAGEMENT LLC 100% OWNER OF IBJ WHITEHALL BANK & TRUST COMPANY indirect 1999-07-01 2003-02-19
STRUCTURED PORTFOLIO MANAGEMENT LLC 100% OWNER OF INDUSTRIAL BANK OF JAPAN, LTD. indirect 1999-07-01 2003-02-19
HESTER CAPITAL MANAGEMENT LLC OWNER indirect 2001-03-01 2003-03-12
TORTOISE CAPITAL ADVISORS, L.L.C. 100% OWNER indirect 2000-09-01 2003-03-18
TORTOISE CAPITAL ADVISORS, L.L.C. 100% OWNER indirect 1999-07-01 2003-03-18
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2000-05-01 2003-03-28
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2000-05-01 2003-03-28
PHILIPPE INVESTMENT MANAGEMENT, INC SOLE SHAREHOLDER OF PROGRESS INVESTMENT MANAGEMENT COMPANY indirect 2001-11-01 2003-03-31
PIM GESTION FRANCE, SA SOLE SHAREHOLDER OF PROGRESS INVESTMENT MANAGEMENT COMPANY indirect 2001-11-01 2003-03-31
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER indirect 2002-04-01 2003-03-31
TORTOISE CAPITAL ADVISORS, L.L.C. 100% OWNER indirect 2002-04-01 2003-03-31
TORTOISE CAPITAL ADVISORS, L.L.C. 100% OWNER indirect 2002-04-01 2003-03-31
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 2002-04-01 2003-03-31
FOUNTAIN CAPITAL MANAGEMENT LLC MEMBER indirect 2002-04-01 2003-03-31
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 2002-04-01 2003-03-31
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 2002-04-01 2003-03-31
HOTTINGER CAPITAL CORP 50% STOCKHOLDER OF ADVISER direct 1993-01-01 2003-03-31
PRINCIPAL CAPITAL GLOBAL INVESTORS LIMITED PARENT COMPANY OF REGISTRANT direct 2002-11-01 2003-03-31
HFR EUROPE, LTD. MEMBER direct 2001-05-01 2003-04-10
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1993-12-01 2003-05-21
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP SOLE SHAREHOLDER OF PUTNAM LOVELL NBF GROUP, INC indirect 2002-06-01 2003-05-28
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP SOLE SHAREHOLDER OF NATIONAL BANK FINANCIAL, INC. indirect 1999-09-01 2003-05-28
LYNX INVESTMENT ADVISORY,LLC OWNER OF LEPERCQ INC. indirect 1989-09-01 2003-08-14
GREYBULL PARTNERS LLC MEMBER direct 2003-08-01 2003-09-10
MYFINANCIALADVICE, INC. SHAREHOLDER direct 2003-09-01 2003-10-28
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 1986-07-01 2003-11-04
NEW ENGLAND SECURITIES CORPORATION SOLE STOCK HOLDER indirect 1996-08-01 2003-11-07
BROADMARK ASSET MANAGEMENT LLC SOLE SHAREHOLDER OF PUTNM LOVELL NBF GROUP, INC. indirect 2002-06-01 2003-11-20
BROADMARK ASSET MANAGEMENT LLC SOLE SHAREHOLDER OF NATIONAL BANK FINANCIAL. INC. indirect 1999-09-01 2003-11-20
STEINBERG PRIEST & SLOANE CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER OF PUTNAM LOVELL GROUP, INC. indirect 2002-06-01 2003-11-28
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2003-12-05
HOTTINGER CAPITAL CORP STOCKHOLDER OF ADVISER direct 1993-01-01 2003-12-12
INCOME RESEARCH & MANAGEMENT INC SHAREHOLDER direct 2000-12-01 2004-01-21
INCOME RESEARCH & MANAGEMENT INC SHAREHOLDER direct 2001-06-01 2004-01-21
SPM, III L.L.C. SHAREHOLDER indirect 2003-06-01 2004-02-11
AZIMUTH ALTERNATIVE ASSET MANAGEMENT, LIMITED LIABILITY LIMITED SHAREHOLDER indirect 1999-05-01 2004-02-17
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER direct 2004-03-01 2004-03-15
KIT COLE INVESTMENT ADVISORY SERVICES TRUST direct 2002-12-01 2004-03-19
STRUCTURED PORTFOLIO MANAGEMENT LLC SHAREHOLDER indirect 2003-06-01 2004-03-29
SPM JR., L.L.C. SHAREHOLDER indirect 2003-06-01 2004-03-29
CALAMOS ASSET MANAGEMENT INC SHAREHOLDER indirect 2001-12-01 2004-04-06
HFR EUROPE, LTD. OWNER direct 2001-05-01 2004-04-29
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1993-12-01 2004-05-06
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 2003-07-01 2004-05-06
MCF-ALADDIN CAPITAL MANAGEMENT LLC 100% DIRECT OWNER direct 2004-06-01 2004-06-18
CADENCE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-06-29
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-06-29
ALLIANZ DRESDNER ASSET MANAGEMENT OF AMERICA L.P. STOCKHOLDER indirect 2003-01-01 2004-06-29
NFJ INVESTMENT GROUP L.P. SOLE STOCKHOLDER indirect 2003-01-01 2004-06-30
PIMCO SPECIALTY MARKETS LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-06-30
ALLIANZ PRIVATE CLIENT SERVICES LLC STOCKHOLDER indirect 2003-01-01 2004-06-30
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2003-01-01 2004-06-30
THE NIKKO SECURITIES CO. INTERNATIONAL, INC. 0WNER indirect 2004-06-01 2004-06-30
INDEPENDENT PORTFOLIO CONSULTANTS, INC. HOLDING COMPANY indirect 2004-07-01 2004-07-30
TRUSTMARK FINANCIAL SERVICES,INC. PARENT CORPORATION direct 1991-12-01 2004-08-04
TRUSTMARK FINANCIAL SERVICES,INC. SHAREHOLDER indirect 1991-12-01 2004-08-04
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-08-04
SPM, III L.L.C. LIMITED PARTNER indirect 2003-06-01 2004-08-25
SPM, III L.L.C. SOLE SHAREHOLDER indirect 2003-06-01 2004-08-25
STRUCTURED PORTFOLIO MANAGEMENT LLC LIMITED PARTNER indirect 2003-06-01 2004-08-25
STRUCTURED PORTFOLIO MANAGEMENT LLC SOLE SHAREHOLDER indirect 2003-06-01 2004-08-25
SPM JR., L.L.C. LIMITED PARTNER indirect 2003-06-01 2004-08-25
SPM JR., L.L.C. SOLE SHAREHOLDER indirect 2003-06-01 2004-08-25
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C SHAREHOLDER indirect 2003-06-01 2004-08-25
SPM III, L.L.C. SHAREHOLDER indirect 2003-06-01 2004-08-25
SPM JR., L.L.C. SHAREHOLDER indirect 2003-06-01 2004-08-25
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-08-30
PIMCO ADVISORS MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-08-30
SIGNAL CAPITAL MANAGEMENT,INC. PARENT COMPANY direct 2002-03-01 2004-09-07
JAMISON PRINCE ASSET MANAGEMENT, INCORPORATED INVESTOR direct 2004-09-01 2004-09-24
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-09-28
PIMCO ADVISORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-10-23
PIMCO ADVISORS RETAIL HOLDINGS LLC STOCKHOLDER indirect 2003-01-01 2004-10-25
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 1996-06-01 2004-11-17
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2000-09-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2001-07-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1995-12-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1995-12-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1998-12-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1982-11-01 2005-01-28
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1984-01-01 2005-01-28
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2002-10-01 2005-01-28
PZENA INVESTMENT MANAGEMENT LLC CONTROLLING MEMBER indirect 1998-01-01 2005-03-11
CITISTREET FINANCIAL SERVICES LLC MEMBER indirect 1981-07-01 2005-03-29
CITISTREET FINANCIAL SERVICES LLC SOLE MEMBER indirect 2000-03-01 2005-03-29
AMERICAN ODYSSEY FUNDS MANAGEMENT LLC MEMBER indirect 1981-07-01 2005-03-31
FIDELITY INVESTMENTS MONEY MANAGEMENT INC. SHAREHOLDER direct 1997-08-01 2005-03-31
OPCAP ADVISORS LLC MEMBER indirect 2005-04-01 2005-04-07
PA MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-04-08
CADENCE CAPITAL MANAGEMENT MEMBER direct 2002-06-01 2005-04-21
CADENCE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-04-21
DRESDNER LATEINAMERIKA FINANCIAL ADVISORS LLC SOLE OWNER indirect 1906-12-01 2005-05-18
DRESDNER LATEINAMERIKA FINANCIAL ADVISORS LLC SOLE OWNER indirect 2001-07-01 2005-05-18
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-06-09
WRL INVESTMENT MANAGEMENT INC OWNER indirect 1991-02-01 2005-07-06
NFJ INVESTMENT GROUP L.P. SOLE STOCKHOLDER indirect 2003-01-01 2005-07-13
HYPERION CAPITAL MANAGEMENT INC OWNER indirect 2004-12-01 2005-07-14
HYPERION CAPITAL MANAGEMENT INC OWNER indirect 2004-12-01 2005-07-14
DRESDNER LATEINAMERIKA FINANCIAL ADVISORS LLC SHAREHOLDER indirect 2005-08-01 2005-08-12
MCF-ALADDIN CAPITAL MANAGEMENT LLC OWNER indirect 2003-12-01 2005-09-15
CITISTREET ADVISORS LLC MEMBER indirect 2005-09-01 2005-09-30
CITISTREET ADVISORS LLC MEMBER indirect 2000-03-01 2005-09-30
CITISTREET ADVISORS LLC SOLE MEMBER indirect 2205-09-01 2005-09-30
KAHN BROTHERS & CO. INC. STOCKHOLDER direct 1995-10-01 2005-11-04
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-11-15
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2003-01-01 2005-11-15
BPW ASSET MANAGEMENT LLC MANAGING MEMBER direct 2002-01-01 2005-12-14
BASSINI PLAYFAIR WRIGHT ADVISORS INC. SHAREHOLDER indirect 2002-01-01 2005-12-14
BASSINI PLAYFAIR WRIGHT LLC SHAREHOLDER indirect 2002-11-01 2005-12-14
BASSINI PLAYFAIR WRIGHT LLC GENERAL PARTNER indirect 2002-11-01 2005-12-14
BPW ASSET MANAGEMENT LLC SHAREHOLDER indirect 2002-11-01 2005-12-14
BPW ASSET MANAGEMENT LLC GENERAL PARTNER indirect 2002-11-01 2005-12-14
BASSINI PLAYFAIR WRIGHT ADVISORS INC. GENERAL PARTNER indirect 2002-11-01 2005-12-14
DSC ADVISORS, L.P. MEMBER indirect 2001-12-01 2005-12-15
ALPHA VISION CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2006-01-06
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-01-01 2006-01-23
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-01-01 2006-01-23
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-01-01 2006-01-23
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2003-09-01 2006-01-23
BOSTON ADVISORS, LLC MEMBER direct 2006-04-01 2006-03-28
COOPERNEFF ADVISORS INC INDIRECT OWNER indirect 2006-10-01 2006-03-29
PADCO ADVISORS II INC SHAREHOLDER direct 2003-12-01 2006-03-31
PADCO ADVISORS INC SHAREHOLDER indirect 2003-12-01 2006-03-31
PADCO ADVISORS INC SHAREHOLDER direct 2003-12-01 2006-03-31
FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC. DIRECT OWNER direct 2006-01-01 2006-04-18
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 1995-12-01 2006-05-15
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2000-05-01 2006-05-24
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2004-01-01 2006-05-26
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2004-01-01 2006-05-26
VANTAGE FOREST PRODUCTS LP GENERAL PARTNER direct 2006-05-01 2006-05-31
BNP PARIBAS ASSET MANAGEMENT, INC. INDIRECT OWNER indirect 2000-10-01 2006-08-29
TAPESTRY ASSET MANAGEMENT L.P. GENERAL PARTNER direct 2003-03-01 2006-09-05
HYPERION CAPITAL MANAGEMENT INC OWNER indirect 2004-12-01 2006-10-02
HYPERION CAPITAL MANAGEMENT INC OWNER indirect 2005-10-01 2006-10-02
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-01-01 2006-10-20
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2000-05-01 2006-10-20
PACIFIC INCOME ADVISERS INC SHAREHOLDER direct 1987-06-01 2007-03-14
PACIFIC INCOME ADVISERS INC TRUST indirect 1987-06-01 2007-03-14
PACIFIC INCOME ADVISERS INC SHAREHOLDER direct 1995-06-01 2007-03-14
PACIFIC INCOME ADVISERS INC TRUST indirect 1995-06-01 2007-03-14
KAHN BROTHERS ASSET MANAGEMENT CORP STOCKHOLDER direct 1997-12-01 2007-03-15
KB & PARTNERS MANAGEMENT CO LLC NONE direct 2000-03-01 2007-03-15
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C LIMITED PARTNER indirect 2004-11-01 2007-03-30
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C GENERAL PARTNER indirect 2004-11-01 2007-03-30
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C SHAREHOLDER indirect 2004-11-01 2007-03-30
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM JR., L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM JR., L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
SPM JR., L.L.C. SHAREHOLDER indirect 2004-11-01 2007-03-30
SPM JR., L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM III, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM III, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
SPM III, L.L.C. SHAREHOLDER indirect 2004-11-01 2007-03-30
SPM III, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM IV, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM IV, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
SPM IV, L.L.C. SHAREHOLDER indirect 2004-11-01 2007-03-30
SPM IV, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM PRIME, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM PRIME, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
SPM PRIME, L.L.C. SHAREHOLDER indirect 2004-11-01 2007-03-30
SPM PRIME, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM PRODUCTS, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM PRODUCTS, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
ALLIANZ HEDGE FUND GENERAL PARTNER direct 2001-09-01 2007-03-30
ALLIANZ HEDGE FUND LIMITED PARTNER direct 2001-09-01 2007-03-30
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2005-06-01 2007-03-30
PIONEER ASSET MANAGEMENT, INC. OWNER indirect 2001-10-01 2007-03-30
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2003-01-01 2007-03-30
SPM, III L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
STRUCTURED PORTFOLIO MANAGEMENT LLC SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM JR., L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM IV, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM IV, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM PRIME, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM PRIME, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM PRODUCTS, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM PRODUCTS, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
ALCENTRA, INC. SHAREHOLDER indirect 2006-01-01 2007-05-08
NIKKO AM INTERNATIONAL, INC. ULTIMATE CORPORATE PARENT indirect 2007-05-01 2007-05-09
NIKKO AM INTERNATIONAL, INC. SHAREHOLDER indirect 2007-05-01 2007-05-09
FAIRSTREAM CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2007-05-01 2007-05-09
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2007-05-01 2007-05-09
OBERON FINANCIAL TECHNOLOGY, INC. SHAREHOLDER direct 2001-09-01 2007-06-27
NIKKO ASSET MANAGEMENT SINGAPORE LIMITED SHAREHOLDER indirect 2007-05-01 2007-07-02
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 1996-04-01 2007-07-03
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2007-04-01 2007-07-03
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 1998-07-01 2007-07-03
O'SHAUGHNESSY ASSET MANAGEMENT, LLC OWNER direct 2007-07-01 2007-07-12
ALCENTRA, INC. SHAREHOLDER direct 2006-01-01 2007-08-01
WESTLB ASSET MANAGEMENT (USA) LLC PARENT indirect 2006-04-01 2007-08-01
DOUBLE EAGLE CAPITAL MANAGEMENT LP LIMITED PARTNER direct 2005-04-01 2007-09-04
O'SHAUGHNESSY ASSET MANAGEMENT, LLC MEMBER direct 2007-09-01 2007-10-10
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1984-12-01 2007-10-23
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1990-04-01 2007-10-23
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1993-12-01 2007-10-23
SPARTA ASSET MANAGEMENT, LLC OWNER direct 2007-09-01 2007-10-23
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 2003-07-01 2007-10-23
SPARTA ASSET MANAGEMENT, LLC MEMBER direct 2007-09-01 2007-11-08
SPM CREDIT, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-11-12
SPM CREDIT, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-11-12
SPM CREDIT, L.L.C. SHAREHOLDER indirect 2004-11-01 2007-11-12
SPM CREDIT, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-11-12
TRAXIS PARTNERS LLC PARTNER direct 2007-11-01 2007-11-12
SPM CREDIT, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-11-12
SPM CREDIT, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01 2007-11-12
QUOTIENT INVESTORS, LLC MEMBER direct 2007-12-01 2007-12-11
KG REDDING, LLC OWNER indirect 2005-12-01 2007-12-21
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2005-12-01 2007-12-21
O'SHAUGHNESSY ASSET MANAGEMENT, LLC MEMBER direct 2007-07-01 2008-01-07
HYPERION BROOKFIELD ASSET MANAGEMENT, INC. OWNER indirect 2005-12-01 2008-02-12
ALLIANZ HEDGE FUND PARTNERS L.P. GENERAL PARTNER direct 2007-04-01 2008-03-28
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2008-03-31
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2008-03-31
KG REDDING, LLC OWNER indirect 2007-12-01 2008-03-31
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2007-12-01 2008-03-31
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1970-09-01 2008-09-03
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1990-07-01 2008-09-03
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-04-01 2008-09-03
HOULIHAN LOKEY HOWARD & ZUKIN FINANCIAL ADVISORS INC TRUST/SERIES E COMMON indirect 2007-04-01 2008-10-15
AVIANCE CAPITAL PARTNERS LLC MANAGING MEMBER indirect 2006-11-01 2009-01-12
AVIANCE CAPITAL PARTNERS LLC MANAGING MEMBER direct 2008-03-01 2009-01-12
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 1974-09-01 2009-01-15
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 2002-04-01 2009-01-15
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 2002-04-01 2009-01-15
MORGAN KEEGAN FUND MANAGEMENT, INC. DIRECT OWNER, HOLDING COMPANY direct 2001-03-01 2009-02-05
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2007-04-01 2009-03-30
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2008-04-01 2009-03-30
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2009-03-31
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2009-03-31
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2005-12-01 2009-03-31
HAWKEYE PARTNERS, L.P. MEMBER indirect 2008-08-01 2009-03-31
HAWKEYE PARTNERS, L.P. MEMBER indirect 2008-08-01 2009-03-31
JACKSON NATIONAL ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-03-01 2009-04-16
SEIDMAN PRIVATE ADVISORS LLC OWNER direct 2004-04-01 2009-05-06
MORGAN STANLEY SMITH BARNEY LLC SHAREHOLDER indirect 2009-05-01 2009-06-26
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 2006-03-01 2009-06-29
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 2006-10-01 2009-06-29
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 1998-06-01 2009-06-29
SEIDMAN PRIVATE ADVISORS, LLC OWNER direct 2009-07-01 2009-08-05
ARCUS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-09-01 2009-08-21
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-09
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-09
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-09
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2008-06-01 2009-09-09
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-10
NFJ INVESTMENT GROUP L.P. STOCKHOLDER indirect 2005-06-01 2009-09-14
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-14
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 1999-12-01 2009-09-16
TRANSAMERICA INVESTMENT SERVICES, INC. OWNER direct 2009-01-01 2009-09-16
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-21
MUNDER CAPITAL MANAGEMENT GENERAL PARTNER indirect 2004-08-01 2009-10-05
MUNDER CAPITAL MANAGEMENT GENERAL PARTNER indirect 2004-07-01 2009-10-05
HG AMALGAM LLP SOLE SHAREHOLDER indirect 1982-12-01 2009-11-03
HG AMALGAM LLP SOLE SHAREHOLDER indirect 1983-03-01 2009-11-03
HG AMALGAM LLP SOLE SHAREHOLDER indirect 1983-03-01 2009-11-03
HG AMALGAM LLP CORPORATE TRUSTEE indirect 1983-03-01 2009-11-03
HG AMALGAM LLP SOLE SHAREHOLDER indirect 1999-02-01 2009-11-03
ODEY ASSET MANAGEMENT LLP LIMITED COMPANY direct 2005-12-01 2009-11-11
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 1991-10-01 2009-11-19
OPPENHEIMER CAPITAL LLC MANAGING MEMBER indirect 2000-05-01 2009-11-20
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-11-20
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-11-20
OPPENHEIMER CAPITAL LLC STOCKHOLDER indirect 2003-01-01 2009-11-20
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-11-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2008-06-01 2009-11-23
VIGILANT INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-08-01 2009-11-24
TRILANTIC CAPITAL MANAGEMENT LLC ENTITY direct 2009-04-01 2009-12-04
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 1984-12-01 2010-01-04
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 1993-12-01 2010-01-04
ACTINVER WEALTH MANAGEMENT, INC. SHAREHOLDER indirect 2009-03-01 2010-02-16
ACTINVER WEALTH MANAGEMENT, INC. OWNER indirect 2009-03-01 2010-02-16
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2005-05-01 2010-02-23
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2003-06-01 2010-02-23
NFJ INVESTMENT GROUP LLC STOCKHOLDER indirect 2005-06-01 2010-02-25
GARTMORE GLOBAL PARTNERS GENERAL PARTNER direct 1995-01-01 2010-03-01
GARTMORE GLOBAL PARTNERS GENERAL PARTNER direct 2000-05-01 2010-03-01
HATTERAS INVESTMENT PARTNERS LLC N/A direct 2007-01-01 2010-03-11
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 1974-09-01 2010-03-22
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 2009-01-01 2010-03-22
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01 2010-03-23
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-03-23
PLACEMARK INVESTMENTS, INC. SHAREHOLDER (PREFERRED D) indirect 2006-11-01 2010-03-23
PA FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2010-03-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC STOCKHOLDER indirect 2008-06-01 2010-03-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2008-06-01 2010-03-23
PACIFIC INVESTMENT MANAGEMENT CO LLC STOCKHOLDER indirect 2005-06-01 2010-03-25
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-03-25
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2003-01-01 2010-03-25
BELSEN GETTY LLC PARENT COMPANY direct 2006-05-01 2010-03-26
NFJ INVESTMENT GROUP L.P. STOCKHOLDER indirect 2005-06-01 2010-03-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2005-06-01 2010-03-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-03-30
NFJ INVESTMENT GROUP LLC STOCKHOLDER indirect 2005-06-01 2010-03-30
NFJ INVESTMENT GROUP L.P. STOCKHOLDER indirect 2003-01-01 2010-03-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2003-01-01 2010-03-30
COMMUNITY CAPITAL MANAGEMENT, INC. OWNER indirect 2003-09-01 2010-03-30
AMS ADVISORS LLC OWNER direct 2006-11-01 2010-03-31
PANTHEON VENTURES (US) LLP LIMITED PARTNER direct 2010-03-01 2010-04-07
ARTEMIS INVESTMENT MANAGEMENT LIMITED OWNER direct 2008-04-01 2010-04-20
ARTEMIS INVESTMENT MANAGEMENT LIMITED OWNER indirect 2003-07-01 2010-04-20
PANTHEON VENTURES (US) LLP NON-MANAGING PARTNER direct 2010-03-01 2010-04-22
COMMUNITY CAPITAL MANAGEMENT, INC. OWNER indirect 2003-09-01 2010-04-22
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01 2010-07-27
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC STOCKHOLDER indirect 2005-06-01 2010-07-27
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-07-27
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-07-27
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01 2010-07-27
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC STOCKHOLDER indirect 2003-01-01 2010-07-27
RCM CAPITAL MANAGEMENT LLC PARENT indirect 2004-09-01 2010-07-28
RCM CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2004-09-01 2010-07-28
RCM CAPITAL MANAGEMENT LLC PARENT indirect 2004-09-01 2010-07-28
ARCUS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-09-01 2010-08-19
ARCUS CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2009-09-01 2010-08-19
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2004-09-01 2010-09-08
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC PARENT indirect 2004-09-01 2010-09-08
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC STOCKHOLDER indirect 2008-06-01 2010-09-22
TRECAP PARTNERS, LLC MEMBER direct 2010-03-01 2010-10-15
TRECAP PARTNERS, LLC CLASS A AND CLASS B MEMBER indirect 2010-03-01 2010-10-15
WESTON CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2010-03-01 2011-02-24
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SHAREHOLDER direct 2002-08-01 2011-03-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2011-03-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SHAREHOLDER indirect 2002-10-01 2011-03-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2011-03-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2011-03-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2011-03-01
WP GLOBAL PARTNERS INC. SHAREHOLDER indirect 1984-07-01 2011-03-29
WP GLOBAL PARTNERS INC. SHAREHOLDER indirect 1990-01-01 2011-03-29
FRANCK GALLAND US ADVISORS S.A. SHAREHOLDER direct 2009-10-01 2011-03-30
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2011-03-31
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 1996-12-01 2011-03-31
THL CREDIT ADVISORS LLC SOLE MEMBER indirect 2009-06-01 2011-04-01
THL CREDIT ADVISORS LLC SOLE SHAREHOLDER indirect 2009-06-01 2011-04-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC 77% OWNER indirect 2006-03-01 2011-05-03
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2005-04-01 2011-05-31
CHURCHILL FINANCIAL LLC PARENT COMPANY indirect 2010-04-01 2011-06-08
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01 2011-06-13
RCM CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01 2011-06-13
BLUECREST CAPITAL MANAGEMENT LLP MEMBER direct 2011-03-01 2011-06-13
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC STOCKHOLDER indirect 2010-08-01 2011-06-29
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC STOCKHOLDER indirect 2010-08-01 2011-06-29
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2010-08-01 2011-06-29
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01 2011-06-30
ALLIANZ GLOBAL INVESTORS EUROPE GMBH STOCKHOLDER indirect 2010-08-01 2011-09-21
ALLIANZ GLOBAL INVESTORS EUROPE GMBH SOLE STOCKHOLDER indirect 2002-10-01 2011-09-21
ASSET MANAGEMENT ADVISORS LLC SHAREHOLDERS direct 2007-05-01 2011-09-30
NFJ INVESTMENT GROUP LLC STOCKHOLDER indirect 2010-08-01 2011-10-05
BAM PIC US SHAREHOLDER indirect 2003-01-01 2011-10-14
ALLIANZ GLOBAL INVESTORS CAPITAL LLC STOCKHOLDER indirect 2010-08-01 2011-11-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2010-08-01 2011-12-23
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01 2011-12-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC STOCKHOLDER indirect 2010-08-01 2011-12-23
ALLIANZ GLOBAL INVESTORS CAPITAL LLC STOCKHOLDER indirect 2010-08-01 2011-12-23
NFJ INVESTMENT GROUP LLC STOCKHOLDER indirect 2010-08-01 2011-12-23
MORGAN ASSET MANAGEMENT, INC. DIRECT OWNER / HOLDING COMPANY direct 2001-03-01 2012-01-31
CAPITAL POINT ADVISORS, L.P. GENERAL PARTNER direct 2005-02-01 2012-02-13
STAIRWAY PARTNERS, LLC MEMBER direct 2004-10-01 2012-02-22
2100 XENON GROUP LLC 100% SHAREHOLDER indirect 2003-01-01 2012-03-26
TITANIUM ASSET MANAGEMENT CORP SHAREHOLDER direct 2007-07-01 2012-03-30
TITANIUM ASSET MANAGEMENT CORP SHAREHOLDER indirect 2007-07-01 2012-03-30
TITANIUM ASSET MANAGEMENT CORP SHAREHOLDER indirect 2007-07-01 2012-03-30
TITANIUM ASSET MANAGEMENT CORP SHAREHOLDER indirect 2007-07-01 2012-03-30
TITANIUM ASSET MANAGEMENT CORP SHAREHOLDER indirect 2007-07-01 2012-03-30
CITIGROUP INVESTMENT ADVISORY SERVICES LLC SHAREHOLDER indirect 2009-05-01 2012-03-30
NEXAR CAPITAL LLC EQUITY OWNER indirect 2011-07-01 2012-04-17
LEHMAN MAVERICK INTERESTS I, LLC SOLE MEMBER indirect 2003-10-01 2012-05-02
ERMITAGE ASSET MANAGEMENT JERSEY LIMITED SHAREHOLDER indirect 2012-04-01 2012-05-21
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01 2012-06-12
RCM CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01 2012-07-10
ESSEX NATIONAL SECURITIES, INC. INDIRECT OWNER indirect 2012-05-01 2012-07-10
ELKHORN WEALTH MANAGEMENT, LLC MEMBER indirect 2008-06-01 2012-09-05
QUANTUM ADVISORS PRIVATE LIMITED SHAREHOLDER indirect 2005-06-01 2012-09-24
CRAFUND ADVISORS INC. OWNER direct 2003-09-01 2012-09-25
CADIAN CAPITAL MANAGEMENT, LLC MEMBER direct 2007-09-01 2013-03-21
GMG INVESTMENT ADVISORS LLC MEMBER direct 2010-05-01 2013-04-30
WEALTHFRONT INC. SHAREHOLDER (COMMON & PREFERRED) direct 2013-03-01 2013-05-01
NEWGLOBE, L.P. LIMITED PARTNER direct 2013-05-01 2013-06-06
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01 2013-07-24
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01 2013-07-24
BALTER LIQUID ALTERNATIVES, LLC OWNER direct 2013-10-01 2013-10-23
EVERSTREAM ENERGY CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2011-11-01 2013-12-02
EVERSTREAM ENERGY CAPITAL MANAGEMENT LLC MEMBER direct 2012-01-01 2013-12-02
EVERSTREAM ENERGY CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2003-01-01 2013-12-02
ARTUS MANAGEMENT, L.P. GENERAL PARTNER OF ARTUS MANAGEMENT, L.P. direct 2013-11-01 2013-12-09
BRAZOS INVESTMENT PARTNERS I, L.P. LIMITED PARTNER indirect 2000-01-01 2014-03-18
KENMAR GLOBAL INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2014-03-01 2014-03-31
PLACEMARK INVESTMENTS, INC. GENERAL PARTNER indirect 2006-11-01 2014-03-31
PLACEMARK INVESTMENTS, INC. GENERAL PARTNER indirect 2006-11-01 2014-03-31
EUROPEAN VALUE PARTNERS ADVISORS S.A R.L SHAREHOLDER direct 2007-09-01 2014-03-31
EUROPEAN VALUE PARTNERS ADVISORS S.A R.L SHAREHOLDER indirect 2008-08-01 2014-03-31
PLACEMARK INVESTMENTS, INC. SHAREHOLDER (PREFERRED A) indirect 2009-10-01 2014-03-31
KENMAR PREFERRED INVESTMENTS, L.P. MEMBER indirect 2014-03-01 2014-04-03
CLARITY MANAGED ACCOUNT & ANALYTICS PLATFORM, L.P. MEMBER indirect 2014-03-01 2014-04-03
LAGODA INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2014-04-01 2014-05-15
RANZIE, ROSEMARIE OWNER direct 2004-04-01 2014-08-18
TEZA CAPITAL MANAGEMENT LLC NON-VOTING OWNERSHIP INTEREST indirect 2014-08-01 2014-11-25
ATL ADVISOR LLC SOLE MEMBER direct 2014-09-01 2014-12-12
RREEF GLOBAL ADVISERS LIMITED 100% direct 2006-02-01 2014-12-24
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTNER AND LIMITED PARTNER indirect 2007-05-01 2015-02-23
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTER AND LIMITED PARTNER indirect 2007-05-01 2015-02-23
OMEGA FUND MANAGEMENT (US) INC. SHAREHOLDER direct 2015-02-01 2015-02-27
DIVIDEND ASSETS CAPITAL, LLC TRUSTEE indirect 2014-10-01 2015-03-12
TOURMALET ADVISORS, L.P. OWNER indirect 2006-10-01 2015-03-25
WP GLOBAL PARTNERS INC. SHAREHOLDER OF WIAG indirect 1984-07-01 2015-03-27
WP GLOBAL PARTNERS INC. CONTROLS PIFSS indirect 1990-01-01 2015-03-27
WP GLOBAL PARTNERS INC. SHAREHOLDER OF WIC indirect 1990-01-01 2015-03-27
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2015-03-30
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01 2015-03-30
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01 2015-03-30
TEZA CAPITAL MANAGEMENT LLC NON-VOTING OWNERSHIP INTEREST indirect 2015-01-01 2015-03-30
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2009-04-01 2015-03-30
EMSO PARTNERS US LLC SOLE SHAREHOLDER indirect 2013-08-01 2015-03-31
GENESIS CAPITAL, LLC SHAREHOLDER direct 2014-01-01 2015-04-01
CEDRUS PARK MANAGEMENT LP LIMITED PARTNER OF ADVISER direct 2015-04-01 2015-04-16
GOODWIN CAPITAL ADVISERS, INC. SHAREHOLDER indirect 2009-10-01 2015-05-01
CONNING, INC. SHAREHOLDER indirect 2009-10-01 2015-05-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01 2015-05-27
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 1991-01-01 2015-05-27
MERION INVESTMENT MANAGEMENT LP GENERAL PARTNER direct 2009-10-01 2015-06-03
MERION INVESTMENT MANAGEMENT LP GENERAL PARTNER indirect 2008-10-01 2015-06-03
CROW HOLDINGS CAPITAL PARTNERS, L.L.C. LIMITED PARTNER indirect 2014-11-01 2015-06-10
KEELEY ASSET MANAGEMENT CORP 100% OWNER OF VOTING SHARES indirect 2015-06-01 2015-06-11
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2008-01-01 2015-06-29
TEZA CAPITAL MANAGEMENT LLC NON-VOTING OWNERSHIP INTEREST indirect 2015-05-01 2015-10-29
EMSO PARTNERS US LLC SOLE SHAREHOLDER indirect 2013-08-01 2015-12-04
REGIONS INVESTMENT MANAGEMENT, INC. DIRECT OWNER/HOLDING COMPANY direct 2012-03-01 2015-12-07
JACKSON NATIONAL ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2011-06-01 2015-12-23
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER, COMMON VOTING indirect 2003-07-01 2016-01-06
STRATEGIC ASSET MANAGEMENT LTD. OWNER direct 2009-08-01 2016-02-23
DSC ADVISORS, L.P. SOLE MEMBER IN WILLOUGHBY PLACE LLC indirect 2012-06-01 2016-03-23
QIEF MANAGEMENT, LLC SHAREHOLDER indirect 2005-06-01 2016-03-29
MACKENZIE FINANCIAL CORPORATION SHAREHOLDER indirect 2013-10-01 2016-03-29
HYPERION BROOKFIELD ASSET MANAGEMENT, INC. OWNER indirect 2005-04-01 2016-03-30
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2014-08-01 2016-03-30
BRIDGER MANAGEMENT LLC MEMBER OF BRIDGER MANAGEMENT LLC direct 2015-12-01 2016-03-30
ROYCE & ASSOCIATES, LP GENERAL PARTNER direct 2016-03-01 2016-03-30
FORMATION CAPITAL, LLC MEMBER direct 1999-01-01 2016-03-31
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2016-05-04
HATTERAS FUNDS, LP GENERAL PARTNER indirect 2016-01-01 2016-05-23
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2004-01-01 2016-05-25
QUANTUM ADVISORS PRIVATE LIMITED SHAREHOLDER indirect 2005-06-01 2016-06-28
TORON CAPITAL MARKETS INC OWNER direct 2015-11-01 2016-07-06
ING INVESTMENT MANAGEMENT INTERNATIONAL LLC SHAREHOLDER indirect 2011-12-01 2016-07-08
CONEXUS CAPITAL MANAGEMENT, LLC LLC direct 2016-06-01 2016-07-29
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2012-06-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 1990-04-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2008-01-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2008-01-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2008-01-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER indirect 2003-07-01 2016-07-30
ROTHSCHILD LARCH LANE MANAGEMENT COMPANY LLC SHAREHOLDER, COMMON VOTING indirect 2003-07-01 2016-07-30
WEALTHCOR LLC OWNER direct 2016-01-01 2016-08-04
DSC ADVISORS, L.P. MEMBER OF DSC QUANTITATIVE GROUP, LLC direct 2012-06-01 2016-11-03
DSC ADVISORS, L.P. SOLE MEMBER OF ARBAM LLC indirect 2012-06-01 2016-11-03
DSC ADVISORS, L.P. LIMITED PARTNER IN WILLOUGHBY PLACE LP indirect 2016-03-01 2016-11-03
DSC ADVISORS, L.P. GP TO WILLOUGHBY PLACE LP indirect 2016-03-01 2016-11-03
DSC ADVISORS, L.P. MANAGING MEMBER OF RMB17 LLC indirect 2016-03-01 2016-11-03
CALAMOS ASSET MANAGEMENT INC SHAREHOLDER indirect 2004-10-01 2016-12-07
CALAMOS WEALTH MANAGEMENT LLC SHAREHOLDER indirect 2004-10-01 2017-03-02
CADIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER direct 2007-09-01 2017-03-27
PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC. OWNER indirect 2001-10-01 2017-03-30
CHADLER INVESTMENT ADVISORY SOLUTIONS, LLC SHAREHOLDER indirect 2016-08-01 2017-03-30
MARINER REAL ESTATE MANAGEMENT, LLC MEMBER direct 2008-07-01 2017-03-31
OGAM, LP SHAREHOLDER indirect 2008-10-01 2017-04-13
MANAGED ACCOUNT SERVICES INC TRUST direct 2006-01-01 2017-04-25
GRANITE SPRINGS ASSET MANAGEMENT, LLC OWNER direct 2012-12-01 2017-05-09
CCC ADVISORS, LLC SOLE MEMBER (CCC ADVISORS, LLC) direct 2017-06-01 2017-06-10
CCC ADVISORS, LLC MEMBER (COTTON CREEK CAPITAL MANAGEMENT II, LLC) direct 2017-06-01 2017-06-10
STRENTA INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2012-12-01 2017-07-07
STRENTA INVESTMENT MANAGEMENT, INC. TRUSTEE indirect 2012-12-01 2017-07-07
EVOLUTION WEALTH ADVISORS, LLC MANAGING MEMBER indirect 2017-07-01 2017-08-11
KDT ADVISORS, LLC MANAGING MEMBER direct 2017-10-01 2017-09-05
ALLIANZ SE SOLE STOCKHOLDER ALLIANZ EUROPE B.V. 06/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PA RETAIL HOLDINGS LLC STOCKHOLDER indirect 2003-01-01
ALLIANZ PRIVATE CLIENT SERVICES LLC STOCKHOLDER indirect 2003-01-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH STOCKHOLDER indirect 2003-01-01
PIMCO SPECIALTY MARKETS LLC SOLE STOCKHOLDER indirect 2003-01-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH STOCKHOLDER indirect 2003-01-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH SOLE STOCKHOLDER indirect 2005-06-01
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. STOCKHOLDER indirect 2005-06-01
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2005-06-01
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2005-06-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01
RCM ASIA PACIFIC LIMITED STOCKHOLDER indirect 2005-06-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2005-06-01
PEA CAPITAL LLC STOCKHOLDER indirect 2005-06-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SOLE STOCKHOLDER indirect 2005-06-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC STOCKHOLDER indirect 2005-11-01
RCM ASIA PACIFIC LIMITED STOCKHOLDER indirect 2010-08-01
QUESTAR ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2012-06-01
ALLIANZ INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2012-06-01
PIMCO SOLAR ADVISER LLC SOLE STOCKHOLDER indirect 2012-06-01
ALLIANZ GLOBAL INVESTORS U.S. LLC SOLE STOCKHOLDER indirect 2012-06-01
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC SOLE STOCKHODER indirect 2012-06-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC SOLE STOCKHOLDER indirect 2012-06-01
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
NFJ INVESTMENT GROUP LLC SOLE STOCKHOLDER indirect 2012-06-01
ALLIANZ CAPITAL PARTNERS OF AMERICA, INC. SOLE SHAREHOLDER indirect 2012-06-01
RCM CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
ALLIANZ INVESTMENT COMPANY LLC SOLE SHAREHOLDER indirect 1976-06-01
USALLIANZ SECURITIES, INC. SHAREHOLDER indirect 1976-06-01
PIMCO SPECIALTY MARKETS LLC STOCKHOLDER indirect 1976-06-01
QUESTAR CAPITAL CORPORATION SHAREHOLDER indirect 1976-06-01
PIMCO ADVISORS RETAIL HOLDINGS LLC STOCKHOLDER indirect 2000-05-01
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2000-05-01
OPPENHEIMER CAPITAL LLC SOLE SHAREHOLDER indirect 2000-05-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2000-05-01
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. SOLE SHAREHOLDER indirect 2000-05-01
PEA CAPITAL LLC STOCKHOLDER indirect 2000-05-01
OPCAP ADVISORS LLC SOLE SHAREHOLDER indirect 2000-05-01
ALLIANZ PRIVATE CLIENT SERVICES LLC SOLE STOCKHOLDER indirect 2000-05-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2000-05-01
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2000-05-01
OPPENHEIMER CAPITAL LLC STOCKHOLDER indirect 2003-01-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC STOCKHOLDER indirect 2003-01-01
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. STOCKHOLDER indirect 2003-01-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01
OPCAP ADVISORS LLC STOCKHOLDER indirect 2003-01-01
PEA CAPITAL LLC STOCKHOLDER indirect 2003-01-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP SHAREHOLDER indirect 2001-01-01 2001-08-24
OPCAP ADVISORS LLC SOLE SHAREHOLDER indirect 2000-05-01 2002-03-28
NFJ INVESTMENT GROUP L.P. SOLE STOCKHOLDER indirect 2003-01-01 2003-03-27
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2003-03-27
CADENCE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2003-03-27
PIMCO SPECIALTY MARKETS LLC SOLE STOCKHOLDER indirect 2003-01-01 2003-03-27
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2003-01-01 2003-03-27
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2003-01-01 2003-03-28
PIMCO ADVISORS MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2003-01-01 2003-03-28
PIMCO EQUITY ADVISORS LLC STOCKHOLDER indirect 2003-01-01 2003-03-28
ALLIANZ PRIVATE CLIENT SERVICES LLC STOCKHOLDER indirect 2003-01-01 2003-03-28
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2003-01-01 2003-03-28
PIMCO ADVISORS FUND MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01 2003-03-28
PIMCO ADVISORS RETAIL HOLDINGS LLC STOCKHOLDER indirect 2003-01-01 2004-03-12
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-06-29
CADENCE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-06-29
ALLIANZ DRESDNER ASSET MANAGEMENT OF AMERICA L.P. STOCKHOLDER indirect 2003-01-01 2004-06-29
ALLIANZ PRIVATE CLIENT SERVICES LLC STOCKHOLDER indirect 2003-01-01 2004-06-30
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2003-01-01 2004-06-30
NFJ INVESTMENT GROUP L.P. SOLE STOCKHOLDER indirect 2003-01-01 2004-06-30
PIMCO SPECIALTY MARKETS LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-06-30
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-08-04
PA MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-08-30
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-08-30
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-09-28
PEA CAPITAL LLC STOCKHOLDER indirect 2003-01-01 2004-10-23
PA FUND MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01 2004-10-23
PA RETAIL HOLDINGS LLC STOCKHOLDER indirect 2003-01-01 2004-10-25
ALLIANZ DRESDNER ASSET MANAGEMENT OF AMERICA L.P. STOCKHOLDER indirect 2003-01-01 2004-12-06
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-03-30
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-04-07
PA MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-04-08
CADENCE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-04-21
CADENCE CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2000-05-01 2005-04-21
DRESDNER LATEINAMERIKA FINANCIAL ADVISORS LLC SOLE OWNER indirect 2001-07-01 2005-05-18
NFJ INVESTMENT GROUP L.P. SOLE STOCKHOLDER indirect 2003-01-01 2005-07-13
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-11-15
ALPHA VISION CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2006-01-06
QUESTAR ASSET MANAGEMENT, INC. SHAREHHOLDER indirect 2005-11-01 2006-10-10
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2000-05-01 2007-10-03
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2005-06-01 2008-12-11
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. L.P. STOCKHOLDER indirect 2001-08-01 2008-12-11
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2008-06-01 2010-03-23
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC STOCKHOLDER indirect 2000-05-01 2010-03-23
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE SHAREHOLDER indirect 2000-05-01 2010-03-25
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2003-01-01 2010-03-25
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2000-05-01 2010-03-30
NFJ INVESTMENT GROUP L.P. STOCKHOLDER indirect 2000-05-01 2010-03-30
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2000-05-01 2010-07-27
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC SHAREHOLDER indirect 2000-05-01 2010-07-27
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2010-07-27
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC SOLE STOCKHOLDER indirect 2003-01-01 2010-07-27
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2008-06-01 2010-09-22
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SHAREHOLDER indirect 2008-06-01 2010-09-22
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC PARENT indirect 2004-09-01 2010-12-08
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC PARENT indirect 2001-07-01 2010-12-08
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2011-03-01
RCM CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01 2011-06-13
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01 2011-06-13
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC SOLE STOCKHOLDER indirect 2005-06-01 2011-06-29
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2003-01-01 2011-06-29
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC STOCKHOLDER indirect 2003-01-01 2011-06-29
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC STOCKHOLDER indirect 2003-01-01 2011-06-29
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01 2011-06-30
ALLIANZ GLOBAL INVESTORS EUROPE GMBH STOCKHOLDER indirect 2003-01-01 2011-09-21
NFJ INVESTMENT GROUP LLC STOCKHOLDER indirect 2003-01-01 2011-10-05
ALLIANZ GLOBAL INVESTORS CAPITAL LLC STOCKHOLDER indirect 2003-01-01 2011-11-30
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01 2011-12-23
ALLIANZ GLOBAL INVESTORS CAPITAL LLC STOCKHOLDER indirect 2003-01-01 2011-12-23
NFJ INVESTMENT GROUP LLC STOCKHOLDER indirect 2003-01-01 2011-12-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC STOCKHOLDER indirect 2003-01-01 2011-12-23
ALLIANZ GLOBAL INVESTORS CAPITAL LLC SOLE STOCKHOLDER indirect 2005-06-01 2011-12-23
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2011-12-23
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2005-06-01 2011-12-23
NFJ INVESTMENT GROUP LLC SOLE STOCKHOLDER indirect 2005-06-01 2011-12-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2005-06-01 2011-12-23
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2003-01-01 2011-12-23
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01 2012-06-12
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC SOLE STOCKHODER indirect 2005-06-01 2012-06-12
RCM CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01 2012-07-10
RCM CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2012-07-10
NFJ INVESTMENT GROUP LLC SOLE STOCKHOLDER indirect 2000-05-01 2012-07-17
QUESTAR ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2005-11-01 2012-07-18
ALLIANZ LIFE ADVISERS, LLC SHAREHOLDER indirect 1976-06-01 2012-07-27
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2000-05-01 2012-11-21
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC SOLE STOCKHOLDER indirect 2000-05-01 2012-11-27
ALLIANZ GLOBAL INVESTORS CAPITAL LLC SOLE STOCKHOLDER indirect 2000-05-01 2012-12-11
ALLIANZ CAPITAL PARTNERS OF AMERICA, INC. SHAREHOLDER indirect 1976-06-01 2014-03-31
ALLIANZ CAPITAL PARTNERS OF AMERICA, INC. SOLE SHAREHOLDER indirect 2012-06-01 2015-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PIMCO CAYMAN COMMODITY FUND IX, LTD. Cayman Islands 805-1770038321 Hedge Fund 0 0
PIMCO MUNICIPAL FOCUS STRATEGY FUND United States 805-1811405302 Hedge Fund 61,406,466 1,000,000
PHFS V SP Cayman Islands 805-9928115904 Hedge Fund 2,151,702,594 1,000,000 Master Fund
PIMCO DISTRESSED SENIOR CREDIT OPPORTUNITIES FUND II OFFSHORE FEEDER, L.P. Cayman Islands 805-5260874767 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO SEVEN POINT FUND LP Cayman Islands 805-6827140343 Hedge Fund 313,112,691 100,000,000 Fund of Funds
PIMCO BRAVO FUND, L.P. United States 805-6769170504 Hedge Fund 94,370,127 5,000,000 Master Fund
PIMCO TACTICAL OPPORTUNITIES MASTER FUND LTD. Cayman Islands 805-6901384482 Hedge Fund 5,909,688,087 5,000,000 Master Fund
PHFS IV SP Cayman Islands 805-2662235435 Hedge Fund 419,269,349 1,000,000 Master Fund
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA VARIABLE CONTRACT ACCOUNT GI-100-7-PIMCO-FDM United States 805-5223002538 Hedge Fund 4,752,015,000 0
PHFS III EQUITY DISPERSION OFFSHORE FUND, L.P. Cayman Islands 805-2382514456 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO TACTICAL OPPORTUNITIES ONSHORE FUND L.P. United States 805-6754374249 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO TACTICAL OPPORTUNITIES OFFSHORE FUND LTD. Cayman Islands 805-5647432877 Hedge Fund 138,156,937 5,000,000 Feeder Fund
PIMCO CAYMAN COMMODITY PORTFOLIO II, LTD. Cayman Islands 805-4705285756 Hedge Fund 42,408,830 0
PIMCO TACTICAL OPPORTUNITIES OFFSHORE FUND L.P. Cayman Islands 805-4833273155 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO ABSOLUTE RETURN STRATEGY IV EFUND Cayman Islands 805-9207281636 Hedge Fund 3,579,679,789 5,000,000
PIMCO BRAVO FUND III ONSHORE FEEDER, L.P. United States 805-7809933752 Hedge Fund 567,679,099 5,000,000 Feeder Fund
PHFS VI SP Cayman Islands 805-2914451615 Hedge Fund 184,911,155 1,000,000 Master Fund
PHFS VI TRENDS MANAGED FUTURES OFFSHORE FUND, L.P. Cayman Islands 805-5358728975 Hedge Fund 0 1,000,000 Feeder Fund
PIMCO BRAVO FUND OFFSHORE FEEDER I, L.P. Cayman Islands 805-5892706141 Hedge Fund 20,289,875 5,000,000 Feeder Fund
PIMCO COMBINED ALPHA STRATEGIES MASTER FUND LDC Cayman Islands 805-2587974334 Hedge Fund 659,152,089 5,000,000 Master Fund
PIMCO ABSOLUTE RETURN STRATEGY 3E ONSHORE FUND LLC United States 805-7588110063 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO CORPORATE OPPORTUNITIES FUND II ONSHORE FEEDER, L.P. United States 805-5827962012 Hedge Fund 256,143,000 0 Feeder Fund
PIMCO BRAVO FUND SPECIAL OFFSHORE FEEDER I, L.P. Cayman Islands 805-2796549572 Hedge Fund 8,565,967 5,000,000 Feeder Fund
PIMCO BRAVO FUND OFFSHORE FEEDER II, LTD. Cayman Islands 805-9889426828 Hedge Fund 45,230,462 5,000,000 Feeder Fund
SILVER CREEK FUNDING, LTD. Cayman Islands 805-5754962753 Securitized Asset Fund 0 500,000
PIMCO CAYMAN COMMODITY FUND II, LTD. Cayman Islands 805-9803126066 Hedge Fund 41,266,838 0
PIMCO DISTRESSED CREDIT FUND OFFSHORE FEEDER I, L.P. Cayman Islands 805-9948283086 Hedge Fund 659,000 10,000,000 Feeder Fund
PIMCO ABSOLUTE RETURN STRATEGY 3 ONSHORE FUND LLC United States 805-8354532047 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO BRAVO FUND SPECIAL ONSHORE FEEDER (TE) I, L.P. United States 805-2911629356 Hedge Fund 1,429,081 5,000,000 Feeder Fund
PIMCO COMMERCIAL REAL ESTATE DEBT FUND, L.P. United States 805-3682517461 Hedge Fund 7,092,286 5,000,000 Master Fund
PIMCO CAYMAN MORTGAGE FUND Cayman Islands 805-2147963902 Hedge Fund 455,871,947 100,000
PIMCO DISTRESSED CREDIT FUND B, L.P. Cayman Islands 805-6503390794 Hedge Fund 413,000 10,000,000
PIMCO GLOBAL CREDIT OPPORTUNITY ONSHORE FUND LLC United States 805-2158118989 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO ABSOLUTE RETURN STRATEGY IV OFFSHORE FUND 2 LTD. Cayman Islands 805-3483466016 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO COMBINED ALPHA STRATEGIES OFFSHORE FUND LTD. Cayman Islands 805-5920972623 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO ABSOLUTE RETURN STRATEGY IV FUND LLC United States 805-1180588806 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO BRAVO FUND III OFFSHORE FEEDER, L.P. Cayman Islands 805-8589122372 Hedge Fund 978,426,082 5,000,000 Feeder Fund
PIMCO BRAVO FUND III SPECIAL OFFSHORE FEEDER, L.P. Cayman Islands 805-6280660011 Hedge Fund 10,217,961 5,000,000 Feeder Fund
PIMCO ABSOLUTE RETURN STRATEGY 3E MASTER FUND LDC Cayman Islands 805-9894975261 Hedge Fund 1,071,409,876 5,000,000 Master Fund
PIMCO U.S. IG INTERMEDIATE CORPORATE BOND FUND Cayman Islands 805-6005142944 Hedge Fund 251,545,636 100,000
PIMCO COMMODITY ALPHA FUND LLC United States 805-6938363262 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO LOAN INTERESTS AND CREDIT ONSHORE FUND LLC United States 805-6082916449 Hedge Fund 1,008,326,513 5,000,000 Feeder Fund
PIMCO BRAVO FUND III SPECIAL ONSHORE FEEDER (TE), L.P. United States 805-6076941314 Hedge Fund 19,947,160 5,000,000 Feeder Fund
PIMCO BRAVO FUND III SPECIAL ONSHORE FEEDER, L.P. United States 805-2648756017 Hedge Fund 80,486,577 5,000,000 Feeder Fund
PIMCO DISTRESSED SENIOR CREDIT OPPORTUNITIES FUND II, L.P. United States 805-8976469727 Hedge Fund 5,066,729,784 5,000,000 Master Fund
PIMCO MULTI-ASSET ALTERNATIVE RISK PREMIA STRATEGY ONSHORE FUND, LP United States 805-1662731241 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO EMERGING MARKETS STOCKSPLUS AR FUND LLC United States 805-7397489043 Hedge Fund 750,995,981 5,000,000
PIMCO DISCRETIONARY MULTI-ASSET PORTFOLIO, LP Cayman Islands 805-2427320292 Hedge Fund 414,392,251 300,000,000
PIMCO BRAVO FUND II SPECIAL OFFSHORE FEEDER, L.P. Cayman Islands 805-7705682623 Hedge Fund 8,846,883 500,000 Feeder Fund
PIMCO COMMODITY RISK PREMIA MASTER FUND L.P. Cayman Islands 805-2408614057 Hedge Fund 290,110,755 5,000,000 Master Fund
PIMCO BRAVO FUND II SPECIAL ONSHORE FEEDER (TE), L.P. United States 805-1489683691 Hedge Fund 31,067,088 500,000 Feeder Fund
PIMCO BRAVO FUND II SPECIAL ONSHORE FEEDER, L.P. United States 805-7517901109 Hedge Fund 261,401,392 500,000 Feeder Fund
PIMCO COMMODITY RISK PREMIA OFFSHORE FUND LTD. Cayman Islands 805-3409330682 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO COMMODITY RISK PREMIA ONSHORE FUND LP United States 805-6302384413 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO CLO OPPORTUNITIES FUND ONSHORE FEEDER, L.P. United States 805-8702908229 Hedge Fund 5,896,000 5,000,000 Feeder Fund
PIMCO CLO OPPORTUNITIES FUND OFFSHORE FEEDER, L.P. Cayman Islands 805-1491252802 Hedge Fund 15,608,000 5,000,000 Feeder Fund
PIMCO CAYMAN COMMODITY FUND VIII, LTD. Cayman Islands 805-3776708350 Hedge Fund 136,275,656 0
PIMCO ABSOLUTE RETURN STRATEGY V MASTER FUND LDC Cayman Islands 805-6620922951 Hedge Fund 4,327,715,946 5,000,000 Master Fund
PIMCO MULTI-SECTOR STRATEGY FUND LTD. Cayman Islands 805-7889081766 Hedge Fund 406,416,242 5,000,000
PIMCO MUNICIPAL REAL RETURN FUND LLC United States 805-2724962741 Hedge Fund 149,019,334 5,000,000
CLARENVILLE CDO, S.A. Luxembourg 805-9290032668 Securitized Asset Fund 0 500,000
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA VARIABLE CONTRACT ACCOUNT GI-100-USB-DBM United States 805-3147131779 Hedge Fund 1,491,095,000 0
PIMCO BRAVO FUND SPECIAL ONSHORE FEEDER I, L.P. United States 805-9691125694 Hedge Fund 11,418,801 5,000,000 Feeder Fund
PIMCO RAE GLOBAL FUND LLC United States 805-3752092163 Hedge Fund 576,553,170 5,000,000 Fund of Funds
PIMCO RAE GLOBAL EX-US FUND LLC United States 805-8292067293 Hedge Fund 235,697,034 5,000,000 Fund of Funds
PIMCO MULTI-STRATEGY CREDIT FUND, L.P. Cayman Islands 805-6896318742 Hedge Fund 3,119,293,422 192,942,500 Fund of Funds
PIMCO RAE INTERNATIONAL FUND LLC United States 805-4689469439 Hedge Fund 819,111,056 5,000,000
PIMCO RAE US FUND LLC United States 805-4823590273 Hedge Fund 266,952,334 5,000,000
PIMCO ABSOLUTE RETURN STRATEGY 3D OFFSHORE FUND LTD. Cayman Islands 805-7321069941 Hedge Fund 2,945,449 100,000
PIMCO BRAVO FUND III, L.P. United States 805-2148693746 Hedge Fund 2,468,772,391 5,000,000 Master Fund
PIMCO ELEVEN POINT FUND, LP United States 805-5881484963 Hedge Fund 760,071,110 0
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA VARIABLE CONTRACT ACCOUNT GI-100-7-PIMCO-LMI-H United States 805-6354474307 Hedge Fund 1,123,352,000 0
PIMCO ABSOLUTE RETURN STRATEGY IV MASTER FUND LDC Cayman Islands 805-9300248527 Hedge Fund 4,067,737,134 5,000,000 Master Fund
PIMCO CORPORATE OPPORTUNITIES FUND II, L.P. United States 805-4632859312 Hedge Fund 649,922,000 0 Master Fund
PCH MANAGER FUND, SPC. - SEGREGATED PORTFOLIO 209 Cayman Islands 805-9927480105 Hedge Fund 1,506,255,632 250,000
MAYPORT CLO, LTD. Cayman Islands 805-7395839323 Securitized Asset Fund 0 500,000
PIMCO ABSOLUTE RETURN STRATEGY 3 OFFSHORE FUND LTD. Cayman Islands 805-9397191958 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO BRAVO FUND ONSHORE FEEDER I, L.P. United States 805-9248315600 Hedge Fund 18,269,518 5,000,000 Feeder Fund
PIMCO ABSOLUTE RETURN STRATEGY V OFFSHORE FUND LTD. Cayman Islands 805-3791862057 Hedge Fund 0 5,000,000 Feeder Fund
TERLINGUA FUND 2, LP United States 805-1377712880 Hedge Fund 584,616,561 340,000,000
PIMCO LOAN INTERESTS AND CREDIT MASTER FUND LTD. Cayman Islands 805-4415964734 Hedge Fund 1,409,036,331 5,000,000 Master Fund
PIMCO CORPORATE OPPORTUNITIES FUND II OFFSHORE FEEDER, L.P. Cayman Islands 805-1411932712 Hedge Fund 61,417,000 0 Feeder Fund
PIMCO ABSOLUTE RETURN STRATEGY IV IDF LLC United States 805-3821462051 Hedge Fund 415,131,503 5,000,000
PIMCO MULTI-ASSET ALTERNATIVE RISK PREMIA STRATEGY MASTER FUND L.P. United States 805-4323669867 Hedge Fund 3,242,556,683 5,000,000 Master Fund
PHFS VII SP Cayman Islands 805-1476955576 Hedge Fund 72,540,613 5,000,000
PIMCO GLOBAL CREDIT OPPORTUNITY EMPLOYEE ONSHORE FUND LLC United States 805-4942375912 Hedge Fund 0 5,000,000 Feeder Fund
STOCKSPLUS LP United States 805-9201493382 Hedge Fund 356,225,950 5,000,000
PIMCO COMMODITY ALPHA MASTER FUND LTD. Cayman Islands 805-7335661760 Hedge Fund 2,032,684,111 5,000,000 Master Fund
PIMCO ABSOLUTE RETURN STRATEGY V OFFSHORE BRAZIL INTERMEDIATE FUND LTD. Cayman Islands 805-5826120252 Hedge Fund 126,509,284 5,000,000 Feeder Fund
PIMCO LARGE CAP STOCKSPLUS ABSOLUTE RETURN FUND United States 805-7032151208 Hedge Fund 141,888,878 5,000,000
PIMCO GLOBAL CREDIT OPPORTUNITY MASTER FUND LDC Cayman Islands 805-6160768840 Hedge Fund 12,792,918,910 5,000,000 Master Fund
FAIRWAY LOAN FUNDING COMPANY Cayman Islands 805-9319287968 Securitized Asset Fund 200,000 100,000
PIMCO LOAN INTERESTS AND CREDIT OFFSHORE FUND LTD. United States 805-6570467282 Hedge Fund 1,008,326,513 5,000,000 Feeder Fund
PIMCO GLOBAL INFLATION LINKED BOND FUND LTD. Cayman Islands 805-1702080091 Hedge Fund 1,141,782,246 100,000,000
PIMCO RAE EMERGING MARKETS FUND LLC United States 805-3839794967 Hedge Fund 730,351,920 5,000,000
PIMCO US INVESTMENT GRADE CORPORATE BOND FUND Cayman Islands 805-6098698225 Hedge Fund 97,302,577 100,000
PIMCO MULTI ASSET ALTERNATIVE RISK PREMIA STRATEGY OFFSHORE FUND LP Cayman Islands 805-7048560349 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO ABSOLUTE RETURN STRATEGY V ONSHORE FUND LLC United States 805-1745999202 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO HORSESHOE FUND, LP United States 805-1612657555 Hedge Fund 750,128,527 5,000,000
PIMCO ABSOLUTE RETURN STRATEGY 3 MASTER FUND LDC Cayman Islands 805-4535498384 Hedge Fund 3,609,177,128 5,000,000 Master Fund
PORTOLA CLO, LTD. Cayman Islands 805-3959395711 Securitized Asset Fund 1,300,000 250,000
PIMCO OFFSHORE FUNDS: PIMCO U.S. CROSSOVER CORPORATE BOND FUND Cayman Islands 805-3040649087 Hedge Fund 185,554,242 100,000
PIMCO RED STICK FUND, L.P. United States 805-8310566431 Hedge Fund 200,438,389 200,000,000 Fund of Funds
PHFS V MORTGAGE RV OFFSHORE FUND LP Cayman Islands 805-5394924782 Hedge Fund 0 1,000,000 Feeder Fund
PHFS IV EM MACRO OFFSHORE FUND LP Cayman Islands 805-3681751387 Hedge Fund 0 1,000,000 Feeder Fund
PIMCO COMMODITY ALPHA FUND LTD. Cayman Islands 805-1513037588 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO ABSOLUTE RETURN STRATEGY 3E OFFSHORE FUND LTD. Cayman Islands 805-6957564959 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO BRAVO FUND ONSHORE FEEDER II, L.P. United States 805-6240552555 Hedge Fund 526,424,585 5,000,000 Feeder Fund
STOCKSPLUS SUB FUND B LLC United States 805-5919698568 Hedge Fund 1,435,950,342 5,000,000
PIMCO ABSOLUTE RETURN STRATEGY IV EMPLOYEE ONSHORE FUND LLC United States 805-3516866802 Hedge Fund 0 5,000,000 Feeder Fund
PIMCO CAYMAN COMMODITY FUND I, LTD. Cayman Islands 805-9335331145 Hedge Fund 2,262,322,045 0
PIMCO CAYMAN COMMODITY FUND VII, LTD. Cayman Islands 805-7582597210 Hedge Fund 156,757,916 0
PHFS III SP Cayman Islands 805-1933229465 Hedge Fund 1,628,636,012 1,000,000 Master Fund
PIMCO CAYMAN COMMODITY FUND III, LTD. Cayman Islands 805-2409887249 Hedge Fund 1,098,188,685 0
PIMCO DISTRESSED CREDIT FUND, L.P. United States 805-9646262503 Hedge Fund 1,119,000 10,000,000 Master Fund
PIMCO CAYMAN COMMODITY PORTFOLIO I, LTD. Cayman Islands 805-2227498223 Hedge Fund 38,677,791 0
PIMCO BRAVO FUND II, L.P. United States 805-7896792230 Hedge Fund 6,792,546,610 5,000,000 Master Fund
PIMCO BRAVO FUND OFFSHORE FEEDER II, L.P. Cayman Islands 805-3589908909 Hedge Fund 693,731,208 5,000,000 Feeder Fund
PIMCO GLOBAL CREDIT OPPORTUNITY OFFSHORE FUND LTD. Cayman Islands 805-8065397085 Hedge Fund 0 5,000,000 Feeder Fund
PACIFIC BAY, CDO, LTD. Cayman Islands 805-2989070446 Securitized Asset Fund 200,000 100,000
PIMCO BRAVO FUND III ONSHORE FEEDER (TE), L.P. United States 805-4748102904 Hedge Fund 713,875,432 5,000,000 Feeder Fund
PIMCO ABSOLUTE RETURN STRATEGY IV OFFSHORE FUND 1 LTD. Cayman Islands 805-1792981365 Hedge Fund 0 5,000,000 Feeder Fund
LVS III HOLDING LP United States 805-1611892398 Hedge Fund 8,094,222,732 5,000,000
PIMCO CAYMAN SPC LIMITED: PIMCO CAYMAN CROSSOVER CORPORATE CREDIT SEGREGATED PORTFOLIO Cayman Islands 805-4409816886 Hedge Fund 162,415,962 100,000
PIMCO CLO OPPORTUNITIES FUND, L.P. Cayman Islands 805-4778146677 Hedge Fund 21,706,000 5,000,000 Master Fund

PACIFIC INVESTMENT MANAGEMENT COMPANY LLC

ownership team - last updated 2018-11-28
Name Title Start Date Direct/Indirect % Ownership
ALLIANZ ASSET MANAGEMENT OF AMERICA L.P. MEMBER 11/01/1994 Direct 75% or more
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MEMBER direct 1994-11-01
PIMCO SOLAR ADVISER LLC MEMBER indirect 1994-11-01
PIMCO SPECIALTY MARKETS LLC MEMBER direct 2000-09-01
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC MEMBER indirect 2001-07-01
PIMCO ADVISORY SERVICES HOLDINGS LLC MEMBER direct 2001-07-01
NFJ INVESTMENT GROUP LLC MEMBER indirect 2001-07-01
PEA CAPITAL LLC SOLE MEMBER indirect 2001-07-01
OPPENHEIMER CAPITAL LLC SOLE MEMBER indirect 2001-07-01
OPCAP ADVISORS LLC SOLE MEMBER indirect 2001-07-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-07-01
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC MEMBER indirect 2001-07-01
ALLIANZ PRIVATE CLIENT SERVICES LLC MEMBER indirect 2001-07-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC MEMBER indirect 2002-01-01
OPPENHEIMER CAPITAL LLC MEMBER indirect 2005-04-01
OPCAP ADVISORS LLC SOLE MEMBER indirect 2005-04-01
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC MEMBER indirect 2008-06-01
NFJ INVESTMENT GROUP LLC MANAGING MEMBER direct 2010-03-01
ALLIANZ GLOBAL INVESTORS U.S. LLC MEMBER indirect 2011-12-01
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC MEMBER indirect 2011-12-01
RCM CAPITAL MANAGEMENT LLC MEMBER indirect 2011-12-01
OPPENHEIMER CAPITAL GENERAL PARTNER OF OPPENHEIMER CAPITAL direct 1997-11-01 2001-01-31
OPPENHEIMER CAPITAL GENERAL PARTNER OF VALUE ADVISORS & OPPENHEIMER CAPITAL direct 1997-11-01 2001-01-31
OPCAP ADVISORS GENERAL PARTNER indirect 1997-11-01 2001-01-31
PARAMETRIC PORTFOLIO ASSOCIATES GENERAL PARTNER direct 1994-11-01 2001-02-27
VALUE ADVISORS LLC SOLE MEMBER direct 1997-11-01 2001-03-30
OPCAP ADVISORS SOLE MEMBER indirect 2001-07-01 2001-07-12
VALUE ADVISORS LLC MEMBER direct 2001-07-01 2001-12-04
NFJ INVESTMENT GROUP GENERAL PARTNER direct 1994-11-01 2002-03-28
ALLIANZ PRIVATE CLIENT SERVICES LLC MEMBER indirect 2001-07-01 2002-03-28
ALLIANZ HEDGE FUND PARTNERS L.P. GENERAL PARTNER indirect 2001-10-01 2002-11-06
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC MEMBER indirect 2001-07-01 2002-11-27
PIMCO ALLIANZ ADVISORS LLC MEMBER indirect 2001-07-01 2002-11-27
OPPENHEIMER CAPITAL LLC SOLE MEMBER indirect 2001-07-01 2004-06-29
CADENCE CAPITAL MANAGEMENT LLC MEMBER indirect 2001-07-01 2004-06-29
ALLIANZ PRIVATE CLIENT SERVICES LLC MEMBER indirect 2001-07-01 2004-06-30
ALLIANZ HEDGE FUND PARTNERS L.P. MEMBER indirect 2001-07-01 2004-06-30
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-07-01 2004-08-30
PIMCO ADVISORS MANAGED ACCOUNTS LLC MEMBER indirect 2001-07-01 2004-08-30
OPCAP ADVISORS LLC SOLE MEMBER indirect 2001-07-01 2004-09-28
PIMCO EQUITY ADVISORS LLC SOLE MEMBER indirect 2001-07-01 2004-10-23
PIMCO ADVISORS FUND MANAGEMENT LLC MEMBER indirect 2001-07-01 2004-10-23
PA MANAGED ACCOUNTS LLC MEMBER indirect 2001-07-01 2005-03-30
PA FUND MANAGEMENT LLC MEMBER indirect 2001-07-01 2005-03-30
OPPENHEIMER CAPITAL LLC SOLE MEMBER OF OPPENHEIMER CAPITAL LLC direct 2001-07-01 2005-03-31
CADENCE CAPITAL MANAGEMENT LLC MEMBER indirect 2001-07-01 2005-04-21
PA FUND MANAGEMENT LLC MEMBER indirect 2001-07-01 2006-03-30
ALLIANZ HEDGE FUND PARTNERS L.P. MEMBER indirect 2001-07-01 2007-03-30
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-07-01 2008-07-15
OPPENHEIMER CAPITAL LLC SOLE MEMBER indirect 2001-07-01 2008-08-01
NFJ INVESTMENT GROUP L.P. STOCKHOLDER indirect 2001-07-01 2008-12-04
NFJ INVESTMENT GROUP L.P. LIMITED PARTNER direct 2002-06-01 2008-12-04
OPPENHEIMER CAPITAL LLC MEMBER indirect 2005-04-01 2010-01-27
NFJ INVESTMENT GROUP LLC MANAGING MEMBER direct 2008-12-01 2010-02-25
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-07-01 2010-07-27
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC MEMBER indirect 2001-07-01 2011-06-29
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC MEMBER indirect 2008-06-01 2011-06-29
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC MEMBER indirect 2001-07-01 2011-06-30
ALLIANZ GLOBAL INVESTORS CAPITAL LLC MEMBER direct 2001-07-01 2011-11-30
NFJ INVESTMENT GROUP LLC MEMBER indirect 2001-07-01 2012-07-17
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC MEMBER indirect 2001-07-01 2012-11-21
ALLIANZ GLOBAL INVESTORS CAPITAL LLC MEMBER indirect 2011-12-01 2012-12-11
MATHER, SCOTT, ALAN MANAGING DIRECTOR - CHIEF INVESTMENT OFFICER (U.S. CORE STRATEGIES) 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT CO LLC MANAGING DIRECTOR direct 2004-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2004-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, DEPUTY CHIEF INVESTMENT OFFICER direct 2014-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER (U.S. CORE STRATEGIES) direct 2014-09-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - CHIEF INVESTMENT OFFICER (U.S. CORE STRATEGIES) direct 2014-09-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE, CHIEF INVESTMENT OFFICER (U.S. CORE STRATEGIES) direct 2014-09-01
OTTERBEIN, THOMAS, JOHN MANAGING DIRECTOR - EXECUTIVE COMMITTEE 02/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2006-02-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2006-02-01
IVASCYN, DANIEL, JOHN MANAGING DIRECTOR - EXECUTIVE COMMITTEE, GROUP CHIEF INVESTMENT OFFICER 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT CO LLC MANAGING DIRECTOR direct 2007-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2007-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE, DEPUTY CHIEF INVESTMENT OFFICER direct 2014-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE, GROUP CHIEF INVESTMENT OFFICER direct 2014-09-01
PUNTORIERO, MICHAEL, JAMES MANAGING DIRECTOR, CO-CHIEF FINANCIAL OFFICER 12/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC CHIEF FINANCIAL OFFICER direct 2007-12-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, CO-CHIEF FINANCIAL OFFICER direct 2007-12-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2007-12-01
OPPENHEIMER CAPITAL LLC CHIEF FINANCIAL OFFICER direct 2007-12-01
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER direct 2007-07-01
NFJ INVESTMENT GROUP LLC CHIEF FINANCIAL OFFICER direct 2007-12-01
OPCAP ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2007-12-01
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2007-12-01
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC CHIEF FINANCIAL OFFICER direct 2007-12-01
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2012-10-01
RCM CAPITAL MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2012-09-01
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC CHIEF FINANCIAL OFFICER direct 2008-06-01
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER direct 2007-12-01
ALLIANZ GLOBAL INVESTORS U.S. LLC MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER direct 2008-06-01
FLATTUM, DAVID, CARL MANAGING DIRECTOR, GLOBAL GENERAL COUNSEL 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, GLOBAL GENERAL COUNSEL direct 2009-01-01
PA FUND MANAGEMENT LLC MEMBER OF MANAGEMENT BOARD direct 2004-07-01 2006-03-30
PIMCO ADVISORS LP MANAGING DIRECTOR direct 2001-04-01 2006-10-18
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2009-01-01 2017-03-01
KIESEL, MARK, RICHARD MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER (GLOBAL CREDIT) 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2009-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, DEPUTY CHIEF INVESTMENT OFFICER direct 2014-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER (GLOBAL CREDIT) direct 2014-09-01
WORAH, MIHIR, PRAVIN MANAGING DIRECTOR - EXECUTIVE COMMITTEE, CHIEF INVESTMENT OFFICER (REAL RETURN AND ASSET ALLOCATION) 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE, CHIEF INVESTMENT OFFICER (REAL RETURN AND ASSET ALLOCATION) direct 2014-09-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2009-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE, DEPUTY CHIEF INVESTMENT OFFICER direct 2014-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, DEPUTY CHIEF INVESTMENT OFFICER direct 2014-01-01
BALLS, ANDREW, THOMAS MANAGING DIRECTOR - CHIEF INVESTMENT OFFICER (GLOBAL) 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2009-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, DEPUTY CHIEF INVESTMENT OFFICER direct 2014-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE, CHIEF INVESTMENT OFFICER (GLOBAL) direct 2014-09-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - CHIEF INVESTMENT OFFICER (GLOBAL) direct 2014-09-01
ALLIANZ ASSET MANAGEMENT OF AMERICA LLC MEMBER 12/01/2006 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. SOLE MEMBER indirect 2000-05-01
OPCAP ADVISORS LLC SOLE MEMBER indirect 2000-05-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MEMBER direct 2006-12-01
OPPENHEIMER CAPITAL SOLE MEMBER indirect 2000-05-01 2001-01-31
PARAMETRIC PORTFOLIO ASSOCIATES MANAGING MEMBER indirect 2000-05-01 2001-02-27
PARAMETRIC PORTFOLIO ASSOCIATES GENERAL PARTNER indirect 2000-05-01 2001-02-27
NFJ INVESTMENT GROUP MEMBER indirect 2000-05-01 2001-02-27
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE MEMBER indirect 2000-05-01 2001-02-28
CADENCE CAPITAL MANAGEMENT MEMBER indirect 2000-05-01 2001-02-28
PIMCO SPECIALTY MARKETS LLC MEMBER indirect 2000-05-01 2001-03-30
VALUE ADVISORS LLC MEMBER indirect 2000-05-01 2001-03-30
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC MEMBER indirect 2000-05-01 2001-03-30
OPCAP ADVISORS SOLE MEMBER indirect 2000-05-01 2001-07-12
PIMCO ADVISORS LP SOLE MEMBER indirect 2000-05-01 2001-07-25
OPCAP ADVISORS SOLE MEMBER AND UNITHOLDER RESPECTIVELY indirect 2000-05-01 2002-03-28
OPCAP ADVISORS LLC SOLE MEMBER indirect 2000-05-01 2006-09-29
PIMCO ADVISORS LP SOLE MEMBER indirect 2000-05-01 2006-10-18
DURHAM, JENNIFER, E. MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC CHIEF COMPLIANCE OFFICER direct 2009-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER direct 2009-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2012-01-01
SEIDNER, MARC, PETER MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER (NON-TRADITIONAL STRATEGIES) 11/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
STANDISH AYER & WOOD INC DIRECTOR, VICE PRESIDENT direct 1995-08-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER (NON-TRADITIONAL STRATEGIES) direct 2014-11-01
STANDISH AYER & WOOD INC PRINCIPAL, VICE PRESIDENT direct 1995-08-01 2000-11-17
STANDISH INTERNATIONAL MANAGEMENT COMPANY, LLC TRUSTEE indirect 2000-04-01 2001-02-27
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2011-01-01 2013-01-16
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2011-01-01 2014-02-27
GRANTHAM MAYO VAN OTTERLOO & CO LLC MEMBER; INVESTMENT DIRECTOR direct 2014-03-01 2014-05-16
KORINKE, KIMBERLEY, GRACE MANAGING DIRECTOR - EXECUTIVE COMMITTEE 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2016-02-01
ROMAN, EMMANUEL, NMN MANAGING DIRECTOR - EXECUTIVE COMMITTEE AND CHIEF EXECUTIVE OFFICER 11/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE AND CHIEF EXECUTIVE OFFICER direct 2016-11-01
SOCIETE GENERALE ASSET MGMT INTL LTD DIRECTOR direct 2009-04-01
NUMERIC INVESTORS LLC DIRECTOR direct 2014-09-01
DAWSON, CRAIG, ALLEN MANAGING DIRECTOR - EXECUTIVE COMMITTEE 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2008-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2017-02-01
STRACKE, THIBAULT, CHRISTIAN MANAGING DIRECTOR - EXECUTIVE COMMITTEE 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2010-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2017-02-01
WANG, QI MANAGING DIRECTOR - EXECUTIVE COMMITTEE 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2012-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2017-02-01
KIRKOWSKI, JOHN, JEFFREY MANAGING DIRECTOR - CO-CHIEF FINANCIAL OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - CO-CHIEF FINANCIAL OFFICER direct 2017-09-01
STRELOW, PETER, G. MANAGING DIRECTOR - CO-CHIEF OPERATING OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR direct 2012-01-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - CO-CHIEF OPERATING OFFICER direct 2017-09-01
Shanahan, Robin, Christine MANAGING DIRECTOR, CO-CHIEF OPERATING OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR, CO-CHIEF OPERATING OFFICER direct 2017-09-01
Fels, Joachim, Walter MANAGING DIRECTOR - EXECUTIVE COMMITTEE 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MANAGING DIRECTOR - EXECUTIVE COMMITTEE direct 2018-02-01
ALLIANZ ASSET MANAGEMENT OF AMERICA LLC PARTNER ALLIANZ ASSET MANAGEMENT OF AMERICA L.P. 12/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PIMCO ADVISORS RETAIL HOLDINGS LLC MEMBER indirect 2000-05-01
PIMCO SPECIALTY MARKETS LLC MEMBER indirect 2000-05-01
PEA CAPITAL LLC MEMBER indirect 2000-05-01
OPCAP ADVISORS LLC UNITHOLDER indirect 2001-01-01
ALLIANZ PRIVATE CLIENT SERVICES LLC MEMBER indirect 2001-07-01
PEA CAPITAL LLC UNITHOLDER indirect 2002-01-01
PA RETAIL HOLDINGS LLC UNITHOLDER indirect 2002-01-01
ALLIANZ PRIVATE CLIENT SERVICES LLC UNITHOLDER indirect 2002-01-01
PIMCO SPECIALTY MARKETS LLC UNITHOLDER indirect 2002-01-01
ALLIANZ GLOBAL INVESTORS CAPITAL LLC PARTNER indirect 2009-12-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC PARTNER indirect 2009-12-01
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC PARTNER indirect 2009-12-01
NFJ INVESTMENT GROUP LLC PARTNER indirect 2009-12-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC PARTNER indirect 2009-12-01
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC PARTNER indirect 2009-12-01
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC PARTNER indirect 2009-12-01
OPPENHEIMER CAPITAL LLC GENERAL PARTNER indirect 2009-12-01
RCM CAPITAL MANAGEMENT LLC PARTNER indirect 2009-12-01
PIMCO SOLAR ADVISER LLC PARTNER indirect 2009-12-01
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC PARTNER indirect 2009-12-01
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP LIMITED PARTNER direct 2001-01-01 2001-03-02
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP MEMBER indirect 2001-01-01 2001-03-02
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP MEMBER indirect 2001-01-01 2001-08-24
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP LIMITED PARTNER direct 2001-07-01 2001-08-24
NFJ INVESTMENT GROUP MEMBER indirect 2000-05-01 2001-10-19
ALLIANZ HEDGE FUND MEMBER indirect 2000-05-01 2001-11-20
CADENCE CAPITAL MANAGEMENT MEMBER indirect 2000-05-01 2001-11-21
PIMCO SPECIALTY MARKETS LLC MEMBER indirect 2000-05-01 2001-11-27
VALUE ADVISORS LLC MEMBER indirect 2000-05-01 2001-12-04
PIMCO ADVISORY SERVICES LLC MEMBER indirect 2000-05-01 2001-12-06
PIMCO EQUITY ADVISORS LLC MEMBER indirect 2000-05-01 2001-12-06
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE MEMBER indirect 2000-05-01 2001-12-06
PIMCO PRIVATE CLIENT SERVICES LLC MEMBER indirect 2001-07-01 2001-12-06
CADENCE CAPITAL MANAGEMENT UNITHOLDER indirect 2002-01-01 2004-06-29
OPPENHEIMER CAPITAL LLC UNITHOLDER indirect 2002-01-01 2004-06-29
NFJ INVESTMENT GROUP L.P. MEMBER indirect 2001-07-01 2004-06-30
ALLIANZ HEDGE FUND PARTNERS L.P. UNITHOLDER indirect 2002-01-01 2004-06-30
PIMCO SPECIALTY MARKETS LLC UNITHOLDER indirect 2002-01-01 2004-06-30
ALLIANZ PRIVATE CLIENT SERVICES LLC UNITHOLDER indirect 2002-01-01 2004-06-30
NFJ INVESTMENT GROUP UNITHOLDER indirect 2002-01-01 2004-06-30
PACIFIC INVESTMENT MANAGEMENT CO LLC UNITHOLDER indirect 2002-01-01 2004-08-04
PA MANAGED ACCOUNTS LLC UNITHOLDER indirect 2002-01-01 2004-08-30
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC UNITHOLDER indirect 2002-01-01 2004-08-30
OPCAP ADVISORS LLC UNITHOLDER indirect 2001-01-01 2004-09-28
PEA CAPITAL LLC UNITHOLDER indirect 2002-01-01 2004-10-23
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC UNITHOLDER indirect 2002-01-01 2004-10-23
PIMCO ADVISORY SERVICES HOLDINGS LLC UNITHOLDER indirect 2002-01-01 2004-10-25
CADENCE CAPITAL MANAGEMENT LLC MEMBER indirect 2000-05-01 2005-04-21
CADENCE CAPITAL MANAGEMENT LLC UNITHOLDER indirect 2002-01-01 2005-04-21
OPPENHEIMER CAPITAL LLC SOLE MEMBER indirect 2000-05-01 2006-03-29
ALLIANZ HEDGE FUND PARTNERS L.P. MEMBER indirect 2000-05-01 2006-03-29
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC MEMBER indirect 2000-05-01 2006-03-30
PA MANAGED ACCOUNTS LLC MEMBER indirect 2000-05-01 2006-03-30
PACIFIC INVESTMENT MANAGEMENT CO LLC MEMBER indirect 2001-07-01 2006-05-15
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC MEMBER indirect 2000-05-01 2006-06-28
NFJ INVESTMENT GROUP MEMBER indirect 2000-05-01 2006-10-11
ALLIANZ HEDGE FUND PARTNERS L.P. MEMBER indirect 2000-05-01 2007-03-30
ALLIANZ HEDGE FUND PARTNERS L.P. UNITHOLDER indirect 2002-01-01 2007-03-30
NFJ INVESTMENT GROUP L.P. MEMBER indirect 2001-07-01 2008-08-05
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC UNITHOLDER indirect 2002-01-01 2009-09-10
NFJ INVESTMENT GROUP L.P. UNITHOLDER indirect 2002-01-01 2009-09-14
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC UNITHOLDER indirect 2002-01-01 2009-09-14
PA MANAGED ACCOUNTS LLC UNITHOLDER indirect 2002-01-01 2009-09-21
OPPENHEIMER CAPITAL LLC UNITHOLDER indirect 2002-01-01 2009-11-20
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC UNITHOLDER indirect 2002-01-01 2009-11-20
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC UNITHOLDER indirect 2002-01-01 2009-11-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC UNITHOLDER indirect 2008-06-01 2009-11-23
NFJ INVESTMENT GROUP LLC MEMBER indirect 2001-07-01 2010-02-25
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC MEMBER indirect 2000-05-01 2010-03-23
OPPENHEIMER CAPITAL LLC SOLE MEMBER indirect 2000-05-01 2010-03-23
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC MEMBER indirect 2000-05-01 2010-03-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC MEMBER indirect 2008-06-01 2010-03-23
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC GENERAL PARTNER indirect 2009-12-01 2010-03-23
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MEMBER indirect 2001-07-01 2010-03-25
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC GENERAL PARTNER indirect 2009-12-01 2010-03-25
NFJ INVESTMENT GROUP L.P. MEMBER indirect 2000-05-01 2010-03-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC MEMBER indirect 2000-05-01 2010-03-30
NFJ INVESTMENT GROUP LLC GENERAL PARTNER indirect 2009-12-01 2010-03-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC GENERAL PARTNER indirect 2009-12-01 2010-03-30
ALLIANZ GLOBAL INVESTORS CAPITAL LLC MEMBER indirect 2000-05-01 2010-04-30
ALLIANZ GLOBAL INVESTORS CAPITAL LLC GENERAL PARTNER indirect 2009-12-01 2010-07-27
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2009-12-01 2010-07-27
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC GENERAL PARTNER indirect 2009-12-01 2010-09-22
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC PARTNER indirect 2009-12-01 2011-06-29
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC PARTNER indirect 2009-12-01 2011-06-29
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC PARTNER indirect 2009-12-01 2011-06-29
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC PARTNER indirect 2009-12-01 2011-06-30
NFJ INVESTMENT GROUP LLC PARTNER indirect 2009-12-01 2011-10-05
NFJ INVESTMENT GROUP LLC MEMBER indirect 2010-03-01 2011-10-05
ALLIANZ GLOBAL INVESTORS CAPITAL LLC PARTNER indirect 2009-12-01 2011-11-30
ALLIANZ OF AMERICA, INC. MEMBER ALLIANZ ASSET MANAGEMENT OF AMERICA LLC 05/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ALLIANZ INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1979-11-01
QUESTAR ASSET MANAGEMENT, INC. SHAREHOLDER indirect 1996-04-01
USALLIANZ SECURITIES, INC. SHAREHOLDER indirect 1999-08-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MEMBER indirect 2000-05-01
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC MEMBER indirect 2000-05-01
RCM CAPITAL MANAGEMENT LLC MEMBER indirect 2000-05-01
ALLIANZ GLOBAL INVESTORS U.S. LLC MEMBER indirect 2000-05-01
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC MEMBER indirect 2000-05-01
PIMCO SOLAR ADVISER LLC MEMBER indirect 2000-05-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC MEMBER indirect 2000-05-01
NFJ INVESTMENT GROUP LLC MEMBER indirect 2000-05-01
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC MEMBER indirect 2000-05-01
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC MEMBER indirect 2000-05-01
ALLIANZ CAPITAL PARTNERS OF AMERICA, INC. SOLE SHAREHOLDER direct 2002-12-01
QUESTAR CAPITAL CORPORATION SHAREHOLDER indirect 2005-11-01
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP MEMBER indirect 2001-01-01 2001-03-02
VALUE ADVISORS LLC MEMBER indirect 2000-05-01 2001-03-30
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP MEMBER indirect 2001-01-01 2001-08-24
PIMCO ALLIANZ ADVISORS LLC MEMBER indirect 2000-05-01 2002-01-30
USALLIANZ SECURITIES, INC. SHAREHOLDER indirect 1999-08-01 2004-03-26
PIMCO ADVISORS MANAGED ACCOUNTS LLC MEMBER indirect 2000-05-01 2004-08-30
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC MEMBER indirect 2000-05-01 2004-08-30
DRESDNER RCM GLOBAL INVESTORS LLC PARENT indirect 2001-07-01 2004-08-31
QUESTAR ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2005-11-01 2009-06-03
RCM CAPITAL MANAGEMENT LLC PARENT indirect 2001-07-01 2010-07-28
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC MEMBER indirect 2008-06-01 2010-09-22
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC MEMBER indirect 2000-05-01 2011-06-29
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC MEMBER indirect 2000-05-01 2011-06-29
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC MEMBER indirect 2000-05-01 2011-06-29
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC MEMBER indirect 2000-05-01 2011-06-30
NFJ INVESTMENT GROUP LLC MEMBER indirect 2000-05-01 2011-10-05
ALLIANZ GLOBAL INVESTORS CAPITAL LLC MEMBER indirect 2000-05-01 2011-11-30
ALLIANZ CAPITAL PARTNERS OF AMERICA, INC. SHAREHOLDER direct 2002-12-01 2014-03-31
ALLIANZ EUROPE B.V. SOLE STOCKHOLDER ALLIANZ OF AMERICA, INC. 06/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PIERCE STREET ADVISORS, LLC GENERAL PARTNER indirect 2004-08-01
ORBITEX MANAGEMENT INC PARENT direct 2000-05-01
TD CAPITAL PRIVATE EQUITY ADVISORS LTD. DIRECT OWNER direct 2009-11-01
BBRS PRIVATE WEALTH MANAGEMENT, LLC MEMBER direct 2009-11-01
ODEY ASSET MANAGEMENT LLP LIMITED LIABILITY COMPANY direct 2010-01-01
CALAMOS PARTNERS LLC SHAREHOLDER indirect 2004-10-01
CHURCHILL FINANCIAL LLC SHAREHOLDER indirect 2010-04-01
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2000-06-01
PHINEUS PARTNERS, L.P. SHAREHOLDER indirect 2004-10-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2010-04-01
PHARMAKON ADVISORS, LP OWNER direct 2010-04-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2010-05-01
ING LEXINGTON MANAGEMENT CORP SHAREHOLDER indirect 2000-09-01
RWC ASSET MANAGEMENT LLP SHAREHOLDER indirect 2010-06-01
MARKET SYSTEMS RESEARCH INC SHAREHOLDER indirect 2000-09-01
TWELVE CAPITAL (UK) LTD SHAREHOLDER indirect 2010-07-01
ING PILGRIM QUANTITATIVE MANAGEMENT, INC. SHAREHOLDER indirect 2000-09-01
C-QUADRAT KAPITALANLAGE AG CO direct 2000-09-01
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2010-08-01
BOSTON ADVISORS INC OWNER direct 2001-01-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH STOCKHOLDER indirect 2010-08-01
PROTECTED INVESTORS OF AMERICA SHAREHOLDER direct 2001-01-01
MORGAN KEEGAN TRUST COMPANY, F.S.B. DIRECT OWNER / HOLDING COMPANY direct 2001-03-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH STOCKHOLDER indirect 2010-08-01
NWQ INVESTMENT MANAGEMENT CO INC 100% SHAREHOLDER OF NWQ INVESTMENT MANAGEMENT COMPANY INC. direct 2001-04-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER direct 2001-05-01
AIFAM, INC. SHAREHOLDER direct 2010-09-01
SARACEN PURE ENERGY PARTNERS, LP GENERAL PARTNER direct 2010-11-01
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2004-12-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2010-12-01
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2004-12-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC HOLDING COMPANY indirect 2010-12-01
HYPERION GMAC CAPITAL ADVISORS, LLC OWNER indirect 2004-12-01
WAFRA CAPITAL PARTNERS INC. DIRECT OWNER direct 2011-01-01
HYPERION GMAC CAPITAL ADVISORS, LLC OWNER indirect 2004-12-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SOLE STOCKHOLDER direct 2011-03-01
NXT CAPITAL INVESTMENT ADVISERS, LLC SHAREHOLDER indirect 2011-07-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MEMBER indirect 2011-07-01
PENN STREET INVESTMENT ADVISORS, INC. SHAREHOLDER direct 2005-03-01
KENMONT INVESTMENTS MANAGEMENT, L.P. LIMITED PARTNER direct 2005-03-01
TRINITY LEGACY PARTNERS, LLC GENERAL PARTNER indirect 2011-09-01
OPPENHEIMER CAPITAL LLC MEMBER direct 2005-04-01
TRINITY LEGACY PARTNERS, LLC GENERAL PARTNER indirect 2011-09-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 1940-04-01
PEA CAPITAL LLC MEMBER direct 2005-04-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2011-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2011-12-01
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 1973-08-01
PRIMA CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2011-12-01
KG REDDING, LLC OWNER indirect 2005-04-01
PRIMA CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2011-12-01
SKY HARBOR CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2011-12-01
BROOKFIELD PRIVATE EQUITY ADVISORS LLC OWNER indirect 2005-04-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 1978-08-01
AMP CAPITAL BROOKFIELD (US) LLC OWNER indirect 2005-04-01
CEDAR RIDGE PARTNERS, LLC CLASS A MEMBER direct 2005-04-01
POLEN CAPITAL MANAGEMENT, LLC BANK HOLDING COMPANY indirect 1978-11-01
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2005-04-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC BANK HOLDING COMPANY indirect 1978-11-01
ENHANCED CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2011-12-01
SHOREVIEW INDUSTRIES II, LLC OWNER indirect 1980-09-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2005-05-01
KENMONT INVESTMENTS MANAGEMENT, L.P. GENERAL PARTNER indirect 2005-06-01
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. STOCKHOLDER indirect 2005-06-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01
ALLIANZ GLOBAL INVESTORS OF AMERICA L.P. STOCKHOLDER indirect 2005-06-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2011-12-01
OPPENHEIMER CAPITAL LLC STOCKHOLDER indirect 2005-06-01
TREE LINE CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2011-12-01
MVP PARTNERS 5, LLC OWNER indirect 2012-01-01
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2005-06-01
OPCAP ADVISORS LLC STOCKHOLDER indirect 2005-06-01
TITAN HOLDINGS GROUP, INC. SHAREHOLDER direct 2012-01-01
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2012-01-01
WAFRA INVESTMENT ADVISORY GROUP, INC. WHOLLY OWNS APPLICANT direct 1984-07-01
PHOENIX CAPITAL REALTY ADVISORS, LLC MEMBER (PHOENIX CAPITAL REALTY ADVISORS, LLC) direct 2012-01-01
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2005-06-01
ERMITAGE ASSET MANAGEMENT JERSEY LIMITED SHAREHOLDER indirect 2012-04-01
EASTSPRING INVESTMENTS INCORPORATED SOLE SHAREHOLDER direct 2012-04-01
CITICORP TRUST BANK, FSB SHAREHOLDER indirect 2001-10-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 2012-06-01
PEA CAPITAL LLC STOCKHOLDER indirect 2005-06-01
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC SOLE STOCKHOLDER indirect 2012-06-01
PEA CAPITAL LLC STOCKHOLDER indirect 2005-06-01
ALLIANZ GLOBAL INVESTORS CAPITAL LLC SOLE STOCKHOLDER indirect 2012-06-01
NFJ INVESTMENT GROUP LLC SOLE STOCKHOLDER indirect 2012-06-01
RCM CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
AEGON USA INVESTMENT MANAGEMENT INC OWNER OF AEGON U.S. HOLDING CORP. direct 1988-03-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
AEGON USA INVESTMENT MANAGEMENT INC ACTIVE indirect 1988-03-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2012-06-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 1989-12-01
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2005-06-01
ALLIANZ CAPITAL PARTNERS OF AMERICA, INC. SOLE SHAREHOLDER indirect 2012-06-01
WAFRA INVESTMENT ADVISORY GROUP, INC. 95.5% OWNER OF WIC indirect 1990-01-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 2012-06-01
WAFRA INVESTMENT ADVISORY GROUP, INC. WHOLLY OWNS PIFSS indirect 1990-01-01
PIMCO SOLAR ADVISER LLC SOLE STOCKHOLDER indirect 2012-06-01
VELA INVESTORS PTE LTD SHAREHOLDER direct 2012-08-01
PROTECTED INVESTORS OF AMERICA SHAREHOLDER direct 2012-11-01
WAFRA CAPITAL PARTNERS INC. 95.5% OWNER OF WAFRA INTERVEST CORPORATION indirect 1990-01-01
WAFRA CAPITAL PARTNERS INC. WHOLLY OWNS THE PUBLIC INSTITUTION FOR SOCIAL SECURITY indirect 1990-01-01
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2005-06-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2001-11-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 1990-01-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC HOLDING COMPANY indirect 2001-11-01
GRANITE SPRINGS ASSET MANAGEMENT, LLC OWNER/ MEMBER direct 2012-12-01
ARCLIGHT CAPITAL PARTNERS, LLC WHOLLY OWNS PUBLIC INSTITUTION FOR SOCIAL SECURITY OF KUWAIT indirect 1990-01-01
LCN CAPITAL PARTNERS, L.P. LIMITED PARTNER OF LCN CAPITAL PARTNERS, L.P. direct 2013-01-01
LCN CAPITAL PARTNERS, L.P. LIMITED PARTNERS OF LCN CAPITAL MANAGEMENT, L.P. indirect 2013-01-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 1990-04-01
LATIN AMERICA ALTERNATIVES MANAGEMENT (US), LLC SOLE MEMBER direct 2013-02-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 1990-04-01
CAMBERLINK LLC SHAREHOLDER indirect 2013-04-01
NEWGLOBE, L.P. GENERAL PARTNER direct 2013-05-01
CURSITOR EATON ASSET MANAGEMENT CO 100% S/H indirect 1990-07-01
ALLIANCE ASSET ALLOCATION LTD 100% SHAREHOLDER OF REGISTRANT direct 2002-03-01
WINDMILL HILL ASSET MANAGEMENT LIMITED SHAREHOLDER direct 2013-05-01
ENERVEST INVESTMENT SERVICES, LLC SHAREHOLDER indirect 1990-12-01
PINNACLE WEALTH MANAGEMENT, INC. PARENT COMPANY direct 2005-09-01
GMG INVESTMENT ADVISORS LLC HOLDING COMPANY direct 2013-06-01
NEWMAN RAGAZZI PARTNERS LLP PARTNER direct 2005-09-01
CONEGLIANO VENTURES, LLC GENERAL PARTNER direct 2013-06-01
ENDEAVOR MANAGEMENT CO OWNER indirect 1991-02-01
FINANCIAL MANAGEMENT ADVISORS INC PARENT COMPANY indirect 2002-04-01
EMSO PARTNERS LIMITED SOLE SHAREHOLDER direct 2013-08-01
ENDEAVOR MANAGEMENT CO OWNER indirect 1991-02-01
NEWMAN RAGAZZI PARTNERS LLP PARTNER direct 2005-11-01
ENDEAVOR MANAGEMENT CO OWNER indirect 1991-02-01
DIVERSIFIED GLOBAL ASSET MANAGEMENT INC OWNER indirect 2005-11-01
EMSO ASSET MANAGEMENT US LLC SOLE SHAREHOLDER indirect 2013-08-01
DSC ADVISORS, L.P. MEMBER indirect 2005-12-01
SPUNGINVESTMENTS, LLC MEMBER indirect 2005-12-01
IDEX MANAGEMENT, INC OWNER OF AEGON INTERNATIONAL NV indirect 1991-04-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 2013-10-01
CLEARY GULL ADVISORS INC. SHAREHOLDER OF A AND B SHARES indirect 1991-06-01
STRENTA INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2013-10-01
BROOKFIELD PRIVATE EQUITY ADVISORS LLC OWNER indirect 2005-12-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 1991-10-01
HYPERION BROOKFIELD ASSET MANAGEMENT, INC. OWNER indirect 2005-12-01
ICONIQ CAPITAL, LLC GENERAL PARTNER indirect 2013-12-01
BROADSTONE REAL ESTATE, LLC GENERAL PARTNER indirect 2013-12-01
BROOKFIELD REDDING LLC OWNER indirect 2005-12-01
BOLTON LP OWNER indirect 2013-12-01
REAL ESTATE CAPITAL PARTNERS LP SHAREHOLDER indirect 1992-01-01
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2005-12-01
BOLTON LP OWNER indirect 2013-12-01
BOLTON LP OWNER indirect 2013-12-01
ODEY ASSET MANAGEMENT LLP LIMITED COMPANY, MANAGING MEMBER OF LLP direct 2005-12-01
BROADSTONE ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2013-12-01
ICONIQ DC MANAGEMENT, LLC GENERAL PARTNER indirect 2013-12-01
HOTTINGER CAPITAL CORP STOCKHOLDER direct 1993-01-01
CONNECTIVE PORTFOLIO MANAGEMENT, LLC SOLE STOCKHOLDER indirect 1993-01-01
NORTHSTAR CAPITAL INVESTMENT, CORP. MEMBER indirect 1993-03-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH SOLE STOCKHOLDER direct 2006-01-01
KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD. SHAREHOLDER direct 2014-03-01
DEUTSCHE ALTERNATIVE ASSET MANAGEMENT (GLOBAL) LIMITED OWNER direct 2006-02-01
DOUGHERTY & COMPANY LLC OWNER indirect 2014-04-01
PROPHECY ASSET MANAGEMENT, INC GENERAL PARTNER OF PROPHECY ASSET MANAGEMENT, LP direct 2014-04-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SOLE STOCKHOLDER indirect 2002-10-01
DOUGHERTY WEALTH ADVISERS LLC MEMBER indirect 2014-04-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2014-04-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 1994-05-01
ALLIANZ GLOBAL INVESTORS EUROPE GMBH SOLE STOCKHOLDER indirect 2002-10-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC PARENT indirect 2014-04-01
WESTLB MELLON ASSET MANAGEMENT (USA) LLC PARENT indirect 2006-04-01
TWELVE CAPITAL (UK) LTD SHAREHOLDER direct 2014-05-01
TWELVE CAPITAL (UK) LTD SHAREHOLDER indirect 2014-05-01
OAKTREE CAPITAL MANAGEMENT, L.P. MANAGING MEMBER direct 2014-08-01
CRA MANAGEMENT PTE LTD SHAREHOLDER direct 2006-06-01
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTNER indirect 2014-08-01
ARISTA WEALTH MANAGEMENT, LLC MEMBER indirect 2006-07-01
OAKTREE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2014-08-01
OAKTREE CAPITAL MANAGEMENT, L.P. MEMBER direct 2014-08-01
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER direct 2006-10-01
STREAMSONG ADVISORS, LLC OWNER direct 2014-08-01
BROOKFIELD INVESTMENT MANAGEMENT INC. OWNER indirect 2014-08-01
ATL ADVISOR LLC GENERAL PARTNER direct 2014-09-01
STEAMBOAT CAPITAL PARTNERS, LLC MEMBER direct 2014-09-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAREHOLDER indirect 1995-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2006-12-01
OGAM, LP SHAREHOLDER indirect 2014-10-01
AMHERST CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2006-12-01
OGAM, LP SHAREHOLDER indirect 2014-10-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. L.P. STOCKHOLDER indirect 1996-04-01
AMHERST ADVISORY & MANAGEMENT LLC GENERAL PARTNER indirect 2006-12-01
MAWER INVESTMENT MANAGEMENT LTD. SHAREHOLDER direct 2015-01-01
AERO ASSET MANAGEMENT, LLC. PARENT COMPANY direct 2007-03-01
MILLENNIUM CAPITAL ADVISORS LLC SHAREHOLDER direct 1996-06-01
DEIMOS ASSET MANAGEMENT LLC MEMBER direct 2015-02-01
RERC, LLC PARTNERS indirect 2015-03-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. L.P. STOCKHOLDER indirect 2007-04-01
CEDRUS PARK MANAGEMENT LP LIMITED PARTNER OF ADVISER, MEMBER OF RELYING ADVISER direct 2015-04-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2007-04-01
AMERICAN BEACON ADVISORS, INC. GENERAL PARTNER indirect 2015-04-01
PIMCO SPECIALTY MARKETS LLC SOLE STOCKHOLDER indirect 2003-01-01
SHAPIRO CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2015-04-01
ALLIANZ DRESDNER ASSET MANAGEMENT OF AMERICA L.P. STOCKHOLDER indirect 2003-01-01
UNIO CAPITAL LLC LIMITED PARTNER indirect 2015-05-01
FIRST MARKET BANK, F.S.B. SHAREHOLDER direct 1997-11-01
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2003-01-01
CONCENTRIC WEALTH ADVISORS LLC MANAGING MEMBER indirect 2015-06-01
POLEN CAPITAL MANAGEMENT, LLC HOLDING COMPANY indirect 2015-06-01
PA RETAIL HOLDINGS LLC STOCKHOLDER indirect 2003-01-01
GENSPRING CHARLESTON, LLC SHAREHOLDER indirect 2007-05-01
DOLAN MCENIRY CAPITAL MANAGEMENT LLC HOLDING COMPANY indirect 2015-06-01
ALLIANZ PRIVATE CLIENT SERVICES LLC STOCKHOLDER indirect 2003-01-01
ENVISO CAPITAL, LLC OWNER indirect 2015-07-01
UTC FUND SERVICES, INC. SHAREHOLDER direct 1997-12-01
STANLEY CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2015-07-01
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTNER indirect 2007-05-01
STANLEY CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2015-08-01
FRIENDS IVORY & SIME PLC PARENT COMPANY direct 1998-02-01
OAKTREE CAPITAL MANAGEMENT, L.P. GENERAL PARTER indirect 2007-05-01
VICTORY PARK CAPITAL ADVISORS, LLC LIMITED PARTNER (OF VITALOGY CAPITAL PARTNERS MANAGEMENT LP) direct 2015-09-01
FRIENDS IVORY & SIME INC PARENT COMPANY indirect 1998-02-01
OAKTREE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2007-05-01
STANLEY CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2015-09-01
KOTAK MAHINDRA (INTERNATIONAL) LIMITED SHAAREHOLDER direct 1998-06-01
OAKTREE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2007-05-01
STANLEY CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2015-09-01
CONCENTRIC WEALTH ADVISORS LLC OWNER, MANAGING MEMBER direct 2015-10-01
APEXIUM FINANCIAL LP GENERAL PARTNER direct 2015-10-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. L.P. STOCKHOLDER indirect 1998-07-01
APEXIUM FINANCIAL LP MEMBER indirect 2015-10-01
ING LEXINGTON MANAGEMENT CORP SHAREHOLDER indirect 1998-09-01
APEXIUM FINANCIAL LP GENERAL PARTNER direct 2015-10-01
ING LEXINGTON MANAGEMENT CORP SHAREHOLDER indirect 1998-09-01
APEXIUM FINANCIAL LP MEMBER indirect 2015-10-01
MARKET SYSTEMS RESEARCH ADVISORS INC SHAREHOLDER indirect 1998-09-01
ALPHA VISION CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2015-10-01
MARKET SYSTEMS RESEARCH ADVISORS INC SHAREHOLDER indirect 1998-09-01
MARKET SYSTEMS RESEARCH INC SHAREHOLDER indirect 1998-09-01
CONSONANCE CAPITAL MASTER ACCOUNT LP GENERAL PARTNER direct 2007-07-01
ING MUTUAL FUNDS MANAGEMENT CO. LLC SHAREHOLDER indirect 1998-09-01
OPPENHEIMER CAPITAL LLC STOCKHOLDER indirect 2003-01-01
ING MUTUAL FUNDS MANAGEMENT CO. LLC SHAREHOLDER indirect 1998-09-01
HATTERAS FUNDS, LP GENERAL PARTNER direct 2016-01-01
ING MUTUAL FUNDS MANAGEMENT CO. LLC SHAREHOLDER indirect 1998-09-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 2003-01-01
IFG ADVISORY SERVICES INC SOLE SHAREHOLDER indirect 1998-11-01
STEWARD PARTNERS INVESTMENT ADVISORY, LLC MEMBER direct 2016-01-01
IFG ADVISORY SERVICES INC SOLE SHAREHOLDER indirect 1998-11-01
EDEN CAPITAL MANAGEMENT PARTNERS, L.P. GENERAL PARTNER direct 2003-02-01
STRATEGIC ASSET MANAGEMENT LTD. OWNER direct 2016-02-01
IFG ADVISORY SERVICES INC SOLE SHAREHOLDER indirect 1998-11-01
ATHENA RISK ADVISORS LLC OWNER direct 2003-03-01
STRATEGIC ASSET MANAGEMENT LTD. OWNER indirect 2016-02-01
OAKTREE CAPITAL MANAGEMENT, L.P. SHAREHOLDER direct 2007-10-01
COLONIAL ADVISORY SERVICES INC PARENT OF APPLICANT direct 1998-12-01
DSC ADVISORS, L.P. SOLE MEMBER OF ARBI LLC indirect 2016-03-01
BLUEPOINT INVESTMENT ADVISORY LLC MEMBER direct 2007-11-01
VILLANOVA SA CAPITAL TRUST SOLE TRUSTEE direct 1999-02-01
VILLANOVA MUTUAL FUND CAPITAL TRUST SOLE TRUSTEE direct 1999-02-01
ALBERT BRIDGE CAPITAL LLP INVESTOR MEMBER direct 2016-03-01
INLIGN WEALTH MANAGEMENT, LLC SHAREHOLDERS indirect 2007-12-01
ENTRUST PARTNERS OFFSHORE LP OWNER indirect 2016-05-01
EPLANNING ADVISORS INC PARENT COMPANY direct 1999-03-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2007-12-01
ENTRUST PARTNERS OFFSHORE LP IOWNER indirect 2016-05-01
RWC ASSET MANAGEMENT LLP MANAGING MEMBER direct 2007-12-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
TRANSAMERICA OCCIDENTAL LIFE INSURANCE CO. ACTIVE indirect 1999-07-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
CONEXUS CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2016-06-01
TXRE ADVISERS, LLC SHAREHOLDER indirect 2016-06-01
FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD SHAREHOLDER direct 2008-03-01
ALPHA QUANT ADVISORS, LLC GENERAL PARTNER indirect 2016-10-01
KPC TERRAPIN GROUP LLC MEMBER direct 2016-11-01
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2016-12-01
MAWER INVESTMENT MANAGEMENT LTD. SHAREHOLDER direct 2016-12-01
LIGHTBAY MANAGEMENT LLC GENERAL PARTNER OF LIGHTBAY INVESTMENT PARTNERS GP LP (RELYING ADVISER) direct 2016-12-01
AVENUE CREDIT MANAGEMENT, L.P. GENERAL PARTNER OF AVENUE CREDIT MANAGEMENT, L.P. direct 2017-01-01
CROSS KEYS SECURITIES LIMITED PARTNERSHIP GENERAL PARTNER direct 1999-11-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2017-01-01
ARCLIGHT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2017-01-01
LAUREATE WEALTH MANAGEMENT LLC GENERAL PARTNER indirect 2008-06-01
CADIAN CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2017-01-01
ONEASCENT FINANCIAL SOLUTIONS LLC MANAGING MEMBER direct 2017-02-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2003-06-01
MONCRIEF WILLINGHAM ENERGY ADVISERS, L.P. LIMITED PARTNER direct 2008-07-01
THE PALISADES GROUP, LLC OWNER direct 2017-03-01
MAWER INVESTMENT MANAGEMENT LTD. SHAREHOLDER direct 2003-06-01
MONCRIEF WILLINGHAM ENERGY ADVISERS, L.P. MEMBER indirect 2008-07-01
TALSON CAPITAL MANAGEMENT L.P. LIMITED PARTNER OF TAYLOR INVESTMENT ADVISORS LP direct 2017-03-01
CRUX RESOURCE MANAGEMENT, LLC MANAGING MEMBER, CRUX RESOURCE MANAGEMENT, LLC direct 2017-03-01
TAYLOR INVESTMENT ADVISORS LP LIMITED PARTNER direct 2017-03-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 2003-07-01
OGAM, LP PARTNER direct 2017-04-01
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER, COMMON VOTING indirect 2003-07-01
HIGHSIDE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER indirect 2003-07-01
CW WEALTH STRATEGIES MEMBER direct 2017-06-01
HOURGLASS CAPITAL, LLC MEMBER indirect 2008-09-01
SHOREVIEW INDUSTRIES II, LLC OWNER indirect 2000-04-01
COTTON CREEK CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-04-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 2003-07-01
MERION INVESTMENT MANAGEMENT LP GENERAL PARTNER indirect 2008-10-01
WEST GATE HORIZONS ADVISORS, LLC SHAREHOLDER indirect 2003-07-01
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2008-12-01
SANDS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL VENTURES, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL VENTURES, LLC MEMBER indirect 2008-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC GENERAL PARTNER indirect 2008-12-01
PRIMA CAPITAL ADVISORS LLC GENERAL PARTNER indirect 2008-12-01
HIGHSIDE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER (HIGHSIDE PERFORMANCE L.P.) ("RELYING ADVISER") direct 2008-12-01
MACKENZIE INVESTMENTS CORPORATION SHAREHOLDER indirect 2008-12-01
MCF-ALADDIN CAPITAL MANAGEMENT LLC MEMBER indirect 2003-12-01
SANDS CAPITAL VENTURES, LLC MEMBER indirect 2008-12-01
SANDS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-12-01
CLAYVARD FUND MANAGEMENT USA, INC. SHAREHOLDER direct 2004-01-01
HIGHSIDE CAPITAL MANAGEMENT, L.P. LIMITED PARTNER (HOLGP, L.P.) ("RELYING ADVISER") direct 2009-02-01
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2004-01-01
CHAMBERS ENERGY MANAGEMENT, LP GENERAL PARTNER indirect 2009-03-01
GRANITE POINT CAPITAL MANAGEMENT, L.P. GENERAL PARTNER direct 2004-01-01
PRAEDIUM INVESTMENT ADVISERS LLC SHAREHOLDER indirect 2004-02-01
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2009-04-01
BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC SHAREHOLDER indirect 2004-02-01
SSR CAPITAL PARTNERS, LP RECEIVER indirect 2009-05-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2004-05-01
OAKTREE CAPITAL MANAGEMENT, L.P. MANAGING MEMBER indirect 2009-06-01
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2004-05-01
PROTECTED INVESTORS OF AMERICA SHAREHOLDER direct 2009-06-01
BELVERON REAL ESTATE PARTNERS, LLC OWNER direct 2004-05-01
HG AMALGAM LLP MEMBER direct 2009-10-01
PIERCE STREET ADVISORS, LLC GENERAL PARTNER indirect 2004-07-01
RITCHIE CAPITAL MANAGEMENT, LTD. MEMBER direct 2004-08-01
RITCHIE CAPITAL MANAGEMENT, LTD. SHAREHOLDER indirect 2004-08-01
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE MEMBER indirect 2000-05-01 2000-11-03
WAFRA INVESTMENT ADVISORY GROUP, INC. 95.5% OWNER OF WIC direct 1990-01-01 2001-01-31
WAFRA INVESTMENT ADVISORY GROUP, INC. WHOLLY OWNS PIFSS direct 1990-01-01 2001-01-31
CROSS KEYS ASSET MANAGEMENT INC SHAREHOLDER OF NFP direct 1999-11-01 2001-01-31
CROSS KEYS ASSET MANAGEMENT INC LIMITED PARTNER OF APOLLO FUND direct 1999-11-01 2001-01-31
OPCAP ADVISORS MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL SOLE MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL SOLE MEMBER indirect 2000-05-01 2001-01-31
OPPENHEIMER CAPITAL SOLE SHAREHOLDER indirect 2000-05-01 2001-01-31
IDEX MANAGEMENT, INC OWNER OF AEGON indirect 1991-04-01 2001-02-01
PIMCO ADVISORS LP MEMBER indirect 2000-05-01 2001-02-01
PIMCO ADVISORS LP SOLE MEMBER indirect 2000-05-01 2001-02-01
PIMCO ADVISORS LP SOLE MEMBER indirect 2000-05-01 2001-02-01
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** GENERAL AND LIMITED PARTNER direct 1996-05-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER OF ROBECO indirect 1996-05-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER OF US indirect 1997-02-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER OF RAM indirect 1997-02-01 2001-02-06
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SHAREHOLDER IN RAM indirect 1997-02-01 2001-02-06
CROSS KEYS SECURITIES LIMITED PARTNERSHIP SHAREHOLDER indirect 1999-11-01 2001-02-26
CROSS KEYS SECURITIES LIMITED PARTNERSHIP PARTNER indirect 1999-11-01 2001-02-26
PARAMETRIC PORTFOLIO ASSOCIATES MEMBER indirect 2000-05-01 2001-02-27
PARAMETRIC PORTFOLIO ASSOCIATES STOCKHOLDER indirect 2000-05-01 2001-02-27
PARAMETRIC PORTFOLIO ASSOCIATES MEMBER indirect 2000-05-01 2001-02-27
PARAMETRIC PORTFOLIO ASSOCIATES SHAREHOLDER indirect 2000-05-01 2001-02-27
NFJ INVESTMENT GROUP MEMBER indirect 2000-05-01 2001-02-27
NFJ INVESTMENT GROUP GENERAL PARTNER indirect 2000-05-01 2001-02-27
NFJ INVESTMENT GROUP SOLE STOCKHOLDER indirect 2000-05-01 2001-02-27
PACIFIC INVESTMENT MANAGEMENT CO LLC MEMBER indirect 2000-05-01 2001-02-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE MEMBER indirect 2000-05-01 2001-02-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE SHAREHOLDER indirect 2000-05-01 2001-02-28
CADENCE CAPITAL MANAGEMENT MEMBER indirect 2000-05-01 2001-02-28
CADENCE CAPITAL MANAGEMENT SOLE MEMBER indirect 2000-05-01 2001-02-28
CADENCE CAPITAL MANAGEMENT MEMBER indirect 2000-05-01 2001-02-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2000-05-01 2001-02-28
CROSS KEYS ASSET MANAGEMENT INC SHAREHOLDER indirect 1999-11-01 2001-03-05
CROSS KEYS ASSET MANAGEMENT INC PARTNER indirect 1999-11-01 2001-03-05
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP NON-MANAGING MEMBER OF PROGRESS HIGHCREST VENTURES, LLC indirect 2000-05-01 2001-03-13
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC MEMBER indirect 2000-05-01 2001-03-30
PIMCO SPECIALTY MARKETS LLC MEMBER direct 2000-07-01 2001-03-30
KAHN BROTHERS & CO. INC. STOCKHOLDERS direct 1995-10-01 2001-03-30
VALUE ADVISORS LLC MEMBER indirect 2000-05-01 2001-03-30
HFR EUROPE, LTD. CONTROLLING MEMBER direct 2001-04-01 2001-05-11
ALLIANCE ASSET ALLOCATION LTD 100% SHAREHOLDER OF REGISTRANT direct 1990-07-01 2001-05-22
OPCAP ADVISORS GENERAL PARTNER AND SOLE MEMBER indirect 2001-07-01 2001-07-12
OPCAP ADVISORS SOLE MEMBER indirect 2000-05-01 2001-07-12
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 1988-01-01 2001-07-16
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 1988-01-01 2001-07-16
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER direct 1991-10-01 2001-07-16
SPECTRUM ASSET MANAGEMENT, INC. OWNER direct 2001-08-01 2001-09-12
AMERICAN GENERAL SECURITIES, INCORPORATED VICE PRESIDENT/CCO/SROP/CROP direct 2000-03-01 2001-09-21
MARKET SYSTEMS RESEARCH ADVISORS INC SHAREHOLDER indirect 2000-09-01 2001-10-02
CYPRESSTREE INVESTMENT MANAGEMENT COMPANY, INC. OWNER direct 2001-08-01 2001-10-15
NFJ INVESTMENT GROUP GENERAL PARTNER indirect 2000-05-01 2001-10-19
CADENCE CAPITAL MANAGEMENT GENERAL PARTNER indirect 2000-05-01 2001-11-21
STEIN ROE & FARNHAM INC DIRECT AND SOLE SHAREHOLDER OF STEIN ROE & FARNHAM INCORPORATED direct 2001-01-01 2001-12-10
COLONIAL MANAGEMENT ASSSOCIATES INC PARENT OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-10
STEIN ROE & FARNHAM INC SOLE MEMBER OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-10
COLONIAL ADVISORY SERVICES INC SOLE MEMBER OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-10
COLONIAL MANAGEMENT ASSSOCIATES INC PARENT OF APPLICANT direct 1998-12-01 2001-12-10
FULTON BREAKEFIELD BROENNIMAN,LLC INDIRECT OWNER indirect 2001-03-01 2001-12-14
LIBERTY ADVISORY SERVICES CORP SOLE SHAREHOLDER OF LIBERTY ADVISORY SERVICES CORP. direct 2001-11-01 2001-12-18
LIBERTY ADVISORY SERVICES CORP SOLE MEMBER OF LIBERTY FUNDS GROUP LLC indirect 2001-11-01 2001-12-18
NEWPORT PACIFIC MANAGEMENT INC SOLE SHAREHOLDER OF LIBERTY NEWPORT HOLDINGS, LIMITED indirect 2001-11-01 2001-12-18
NEWPORT FUND MANAGEMENT INC MINORITY SHAREH0LDER OF NEWPORT FUND MANAGEMENT, INC. direct 2001-11-01 2001-12-18
NEWPORT FUND MANAGEMENT INC SOLE SHAREHOLDER OF LIBERTY NEWPORT HOLDINGS, LIMITED indirect 2001-11-01 2001-12-18
CRABBE HUSON GROUP INC SOLE SHAREHOLDER/MEMBER OF LIBERTY FUNDS GROUP LLC direct 2001-11-01 2001-12-18
LIBERTY WANGER ASSET MANAGEMENT, L.P. SOLE SHAREHOLDER OF WAM ACQUISITION GP, INC., THE GENERAL PARTNER OF LIBERTY WANGER ASSET MANAGEMENT, L.P. direct 2001-11-01 2001-12-19
LIBERTY WANGER ASSET MANAGEMENT, L.P. SOLE SHAREHOLDER OF FLEET/LIBERTY HOLDINGS, INC. indirect 2001-11-01 2001-12-19
LIBERTY WANGER ASSET MANAGEMENT, L.P. SOLE SHAREHOLDER OF WAM ACQUISITION G.P., INC., THE GENERAL PARTNER OF LIBERTY WANGER ASSET MANAGEMENT L.P. indirect 2001-11-01 2001-12-19
LIBERTY ASSET MANAGEMENT COMPANY SOLE SHAREHOLDER OF LIBERTY ASSET MANAGEMENT COMPANY direct 2001-11-01 2001-12-20
LEGACY ADVISORS, LLC LLC direct 2001-12-01 2002-01-08
PROGRESS INVESTMENT MANAGEMENT COMPANY SOLE SHAREHOLDER OF PROGRESS INVESTMENT MANAGEMENT COMPANY direct 2001-11-01 2002-01-10
BALENTINE & COMPANY LLC HOLDING COMPANY direct 2002-01-01 2002-01-10
BALENTINE & COMPANY OF TENNESSEE, LLC HOLDING COMPANY direct 2001-01-01 2002-01-11
USICG ADVISORS INC SHAREHOLDER indirect 1996-08-01 2002-01-14
PIMCO PRIVATE CLIENT SERVICES LLC SOLE STOCKHOLDER indirect 2000-05-01 2002-01-30
ALLIANZ HEDGE FUND STOCKHOLDER indirect 2000-05-01 2002-01-30
OPCAP ADVISORS STOCKHOLDER indirect 2001-06-01 2002-01-30
PIMCO ADVISORS LP STOCKHOLDER indirect 2001-07-01 2002-01-30
PIMCO ADVISORY SERVICES LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
PIMCO PRIVATE CLIENT SERVICES LLC SHAREHOLDER indirect 2001-07-01 2002-01-30
PIMCO EQUITY ADVISORS LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
PACIFIC INVESTMENT MANAGEMENT CO LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
ALLIANZ HEDGE FUND STOCKHOLDER indirect 2001-07-01 2002-01-30
VALUE ADVISORS LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
OPPENHEIMER CAPITAL STOCKHOLDER indirect 2001-07-01 2002-01-30
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP STOCKHOLDER indirect 2001-07-01 2002-01-30
OPCAP ADVISORS SOLE MEMBER indirect 2001-07-01 2002-01-30
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC STOCKHOLDER indirect 2001-07-01 2002-01-30
OPCAP ADVISORS SOLE SHAREHOLDER indirect 2000-05-01 2002-01-30
NFJ INVESTMENT GROUP STOCKHOLDER indirect 2001-07-01 2002-01-31
CADENCE CAPITAL MANAGEMENT STOCKHOLDER indirect 2001-07-01 2002-01-31
NFJ INVESTMENT GROUP STOCKHOLDER indirect 2000-05-01 2002-01-31
CADENCE CAPITAL MANAGEMENT STOCKHOLDER indirect 2000-05-01 2002-01-31
PIMCO SPECIALTY MARKETS LLC STOCKHOLDER indirect 1976-06-01 2002-02-07
PIMCO SPECIALTY MARKETS LLC STOCKHOLDER indirect 2001-07-01 2002-02-07
LEND LEASE HYPERION CAPITAL ADVISORS LLC SHAREHOLDER OF LLI - 100% indirect 1997-12-01 2002-02-14
SENECA CAPITAL MANAGEMENT LLC INDIRECT OWNER indirect 2001-06-01 2002-03-05
SENECA CAPITAL MANAGEMENT LLC INDIRECT OWNER indirect 2001-06-01 2002-03-05
O'SULLIVAN HICKS PATTON FINANCIAL ADVISORS, LLC OWNER direct 2000-07-01 2002-03-13
AEGON USA INVESTMENT MANAGEMENT, LLC SH indirect 1978-11-01 2002-03-26
CITISTREET ADVISORS LLC SOLE MEMBER indirect 2000-03-01 2002-03-27
PIMCO EQUITY ADVISORS LLC STOCKHOLDER indirect 2000-05-01 2002-03-28
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE SHAREHOLDER indirect 2000-05-01 2002-03-28
OPPENHEIMER CAPITAL SOLE SHAREHOLDER indirect 2000-05-01 2002-03-28
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 2000-09-01 2002-03-28
PIMCO EQUITY ADVISORS LLC MEMBER direct 2001-07-01 2002-03-28
OPCAP ADVISORS LLC SOLE MEMBER indirect 2001-07-01 2002-03-28
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 1999-07-01 2002-03-28
OPCAP ADVISORS SOLE MEMBER indirect 2000-05-01 2002-03-28
PIMCO ADVISORS LP SOLE SHAREHOLDER indirect 2000-05-01 2002-03-28
JEFFERSON PILOT INVESTMENT ADVISORY CORP PARENT CORP. direct 1989-04-01 2002-04-05
SIGNAL CAPITAL MANAGEMENT,INC. AMERICAN NATIONAL TRUST & INVESTMENT COMPANY indirect 2002-03-01 2002-05-23
INLIGN WEALTH MANAGEMENT, LLC. OWNER indirect 2002-06-01 2002-06-28
HOTTINGER CAPITAL CORP 50% STOCKHOLDER OF ADVISOR direct 1993-01-01 2002-07-11
GOODMAN FINANCIAL ADVISORS, LLC CURRENT indirect 2001-07-01 2002-08-13
ROTHSCHILD ASSET MANAGEMENT INC STOCKHOLDER OF PARENT OF APPLICANT direct 1987-12-01 2002-08-30
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED PARENT COMPANY OF REGISTRANT direct 1993-08-01 2002-09-23
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED 100% HOLDING COMPANY indirect 1993-08-01 2002-09-23
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED 100% HOLDING COMPANY indirect 1993-08-01 2002-09-23
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED 100% HOLDING COMPANY indirect 1999-08-01 2002-09-23
BT FUNDS MANAGEMENT (INTERNATIONAL) LIMITED 100% HOLDING COMPANY indirect 1999-08-01 2002-09-23
NICHOLAS APPLEGATE CAPITAL MANAGEMENT A CA LP MEMBER indirect 2002-01-01 2002-11-01
ALLIANZ HEDGE FUND LIMITED PARTNER indirect 2001-10-01 2002-11-06
LEND LEASE HYPERION CAPITAL ADVISORS LLC SHAREHOLDER OF LLIPL - 100% OWNER indirect 1997-06-01 2002-11-07
LEND LEASE HYPERION CAPITAL ADVISORS LLC SHAREHOLDER OF LLI - 100% OWNER indirect 1997-12-01 2002-11-07
ING BARINGS CORP. SOLE SHAREHOLDER indirect 1995-11-01 2002-11-15
ING BARINGS CORP. SOLE SHAREHOLDER indirect 1999-11-01 2002-11-15
PIMCO/ALLIANZ INTERNATIONAL ADVISORS LLC STOCKHOLDER indirect 2000-05-01 2002-11-27
PIMCO ADVISORY SERVICES LLC STOCKHOLDER indirect 2000-05-01 2002-11-27
NANTUCKET CAPITAL MANAGEMENT LLC SOLE MEMBER direct 2003-01-01 2003-01-21
NANTUCKET CAPITAL MANAGEMENT LLC GP-NANTUCKET VALENTI LP direct 2003-01-01 2003-01-21
NANTUCKET CAPITAL MANAGEMENT LLC CL A LP NANTUCKET VALENTI LP direct 2003-01-01 2003-01-21
NANTUCKET CAPITAL MANAGEMENT LLC CL B LIMITED PARTNER indirect 2003-01-01 2003-01-21
STRUCTURED PORTFOLIO MANAGEMENT LLC 100% OWNER OF IBJ WHITEHALL BANK & TRUST COMPANY indirect 1999-07-01 2003-02-19
STRUCTURED PORTFOLIO MANAGEMENT LLC 100% OWNER OF INDUSTRIAL BANK OF JAPAN, LTD. indirect 1999-07-01 2003-02-19
HESTER CAPITAL MANAGEMENT LLC OWNER indirect 2001-03-01 2003-03-12
TORTOISE CAPITAL ADVISORS, L.L.C. 100% OWNER indirect 2000-09-01 2003-03-18
TORTOISE CAPITAL ADVISORS, L.L.C. 100% OWNER indirect 1999-07-01 2003-03-18
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2000-05-01 2003-03-28
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2000-05-01 2003-03-28
PHILIPPE INVESTMENT MANAGEMENT, INC SOLE SHAREHOLDER OF PROGRESS INVESTMENT MANAGEMENT COMPANY indirect 2001-11-01 2003-03-31
PIM GESTION FRANCE, SA SOLE SHAREHOLDER OF PROGRESS INVESTMENT MANAGEMENT COMPANY indirect 2001-11-01 2003-03-31
TORTOISE CAPITAL ADVISORS, L.L.C. MEMBER indirect 2002-04-01 2003-03-31
TORTOISE CAPITAL ADVISORS, L.L.C. 100% OWNER indirect 2002-04-01 2003-03-31
TORTOISE CAPITAL ADVISORS, L.L.C. 100% OWNER indirect 2002-04-01 2003-03-31
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 2002-04-01 2003-03-31
FOUNTAIN CAPITAL MANAGEMENT LLC MEMBER indirect 2002-04-01 2003-03-31
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 2002-04-01 2003-03-31
FOUNTAIN CAPITAL MANAGEMENT LLC 100% OWNER indirect 2002-04-01 2003-03-31
HOTTINGER CAPITAL CORP 50% STOCKHOLDER OF ADVISER direct 1993-01-01 2003-03-31
PRINCIPAL CAPITAL GLOBAL INVESTORS LIMITED PARENT COMPANY OF REGISTRANT direct 2002-11-01 2003-03-31
HFR EUROPE, LTD. MEMBER direct 2001-05-01 2003-04-10
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1993-12-01 2003-05-21
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP SOLE SHAREHOLDER OF PUTNAM LOVELL NBF GROUP, INC indirect 2002-06-01 2003-05-28
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP SOLE SHAREHOLDER OF NATIONAL BANK FINANCIAL, INC. indirect 1999-09-01 2003-05-28
LYNX INVESTMENT ADVISORY,LLC OWNER OF LEPERCQ INC. indirect 1989-09-01 2003-08-14
GREYBULL PARTNERS LLC MEMBER direct 2003-08-01 2003-09-10
MYFINANCIALADVICE, INC. SHAREHOLDER direct 2003-09-01 2003-10-28
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 1986-07-01 2003-11-04
NEW ENGLAND SECURITIES CORPORATION SOLE STOCK HOLDER indirect 1996-08-01 2003-11-07
BROADMARK ASSET MANAGEMENT LLC SOLE SHAREHOLDER OF PUTNM LOVELL NBF GROUP, INC. indirect 2002-06-01 2003-11-20
BROADMARK ASSET MANAGEMENT LLC SOLE SHAREHOLDER OF NATIONAL BANK FINANCIAL. INC. indirect 1999-09-01 2003-11-20
STEINBERG PRIEST & SLOANE CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER OF PUTNAM LOVELL GROUP, INC. indirect 2002-06-01 2003-11-28
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2003-12-05
HOTTINGER CAPITAL CORP STOCKHOLDER OF ADVISER direct 1993-01-01 2003-12-12
INCOME RESEARCH & MANAGEMENT INC SHAREHOLDER direct 2000-12-01 2004-01-21
INCOME RESEARCH & MANAGEMENT INC SHAREHOLDER direct 2001-06-01 2004-01-21
SPM, III L.L.C. SHAREHOLDER indirect 2003-06-01 2004-02-11
AZIMUTH ALTERNATIVE ASSET MANAGEMENT, LIMITED LIABILITY LIMITED SHAREHOLDER indirect 1999-05-01 2004-02-17
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER direct 2004-03-01 2004-03-15
KIT COLE INVESTMENT ADVISORY SERVICES TRUST direct 2002-12-01 2004-03-19
STRUCTURED PORTFOLIO MANAGEMENT LLC SHAREHOLDER indirect 2003-06-01 2004-03-29
SPM JR., L.L.C. SHAREHOLDER indirect 2003-06-01 2004-03-29
CALAMOS ASSET MANAGEMENT INC SHAREHOLDER indirect 2001-12-01 2004-04-06
HFR EUROPE, LTD. OWNER direct 2001-05-01 2004-04-29
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1993-12-01 2004-05-06
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 2003-07-01 2004-05-06
MCF-ALADDIN CAPITAL MANAGEMENT LLC 100% DIRECT OWNER direct 2004-06-01 2004-06-18
CADENCE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-06-29
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-06-29
ALLIANZ DRESDNER ASSET MANAGEMENT OF AMERICA L.P. STOCKHOLDER indirect 2003-01-01 2004-06-29
NFJ INVESTMENT GROUP L.P. SOLE STOCKHOLDER indirect 2003-01-01 2004-06-30
PIMCO SPECIALTY MARKETS LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-06-30
ALLIANZ PRIVATE CLIENT SERVICES LLC STOCKHOLDER indirect 2003-01-01 2004-06-30
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2003-01-01 2004-06-30
THE NIKKO SECURITIES CO. INTERNATIONAL, INC. 0WNER indirect 2004-06-01 2004-06-30
INDEPENDENT PORTFOLIO CONSULTANTS, INC. HOLDING COMPANY indirect 2004-07-01 2004-07-30
TRUSTMARK FINANCIAL SERVICES,INC. PARENT CORPORATION direct 1991-12-01 2004-08-04
TRUSTMARK FINANCIAL SERVICES,INC. SHAREHOLDER indirect 1991-12-01 2004-08-04
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-08-04
SPM, III L.L.C. LIMITED PARTNER indirect 2003-06-01 2004-08-25
SPM, III L.L.C. SOLE SHAREHOLDER indirect 2003-06-01 2004-08-25
STRUCTURED PORTFOLIO MANAGEMENT LLC LIMITED PARTNER indirect 2003-06-01 2004-08-25
STRUCTURED PORTFOLIO MANAGEMENT LLC SOLE SHAREHOLDER indirect 2003-06-01 2004-08-25
SPM JR., L.L.C. LIMITED PARTNER indirect 2003-06-01 2004-08-25
SPM JR., L.L.C. SOLE SHAREHOLDER indirect 2003-06-01 2004-08-25
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C SHAREHOLDER indirect 2003-06-01 2004-08-25
SPM III, L.L.C. SHAREHOLDER indirect 2003-06-01 2004-08-25
SPM JR., L.L.C. SHAREHOLDER indirect 2003-06-01 2004-08-25
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-08-30
PIMCO ADVISORS MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-08-30
SIGNAL CAPITAL MANAGEMENT,INC. PARENT COMPANY direct 2002-03-01 2004-09-07
JAMISON PRINCE ASSET MANAGEMENT, INCORPORATED INVESTOR direct 2004-09-01 2004-09-24
OPCAP ADVISORS LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-09-28
PIMCO ADVISORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2004-10-23
PIMCO ADVISORS RETAIL HOLDINGS LLC STOCKHOLDER indirect 2003-01-01 2004-10-25
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 1996-06-01 2004-11-17
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2000-09-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2001-07-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1995-12-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1995-12-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1998-12-01 2005-01-14
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1982-11-01 2005-01-28
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 1984-01-01 2005-01-28
BRASCAN STRATEGIC ASSET MANAGEMENT LLC OWNER indirect 2002-10-01 2005-01-28
PZENA INVESTMENT MANAGEMENT LLC CONTROLLING MEMBER indirect 1998-01-01 2005-03-11
CITISTREET FINANCIAL SERVICES LLC MEMBER indirect 1981-07-01 2005-03-29
CITISTREET FINANCIAL SERVICES LLC SOLE MEMBER indirect 2000-03-01 2005-03-29
AMERICAN ODYSSEY FUNDS MANAGEMENT LLC MEMBER indirect 1981-07-01 2005-03-31
FIDELITY INVESTMENTS MONEY MANAGEMENT INC. SHAREHOLDER direct 1997-08-01 2005-03-31
OPCAP ADVISORS LLC MEMBER indirect 2005-04-01 2005-04-07
PA MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-04-08
CADENCE CAPITAL MANAGEMENT MEMBER direct 2002-06-01 2005-04-21
CADENCE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-04-21
DRESDNER LATEINAMERIKA FINANCIAL ADVISORS LLC SOLE OWNER indirect 1906-12-01 2005-05-18
DRESDNER LATEINAMERIKA FINANCIAL ADVISORS LLC SOLE OWNER indirect 2001-07-01 2005-05-18
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-06-09
WRL INVESTMENT MANAGEMENT INC OWNER indirect 1991-02-01 2005-07-06
NFJ INVESTMENT GROUP L.P. SOLE STOCKHOLDER indirect 2003-01-01 2005-07-13
HYPERION CAPITAL MANAGEMENT INC OWNER indirect 2004-12-01 2005-07-14
HYPERION CAPITAL MANAGEMENT INC OWNER indirect 2004-12-01 2005-07-14
DRESDNER LATEINAMERIKA FINANCIAL ADVISORS LLC SHAREHOLDER indirect 2005-08-01 2005-08-12
MCF-ALADDIN CAPITAL MANAGEMENT LLC OWNER indirect 2003-12-01 2005-09-15
CITISTREET ADVISORS LLC MEMBER indirect 2005-09-01 2005-09-30
CITISTREET ADVISORS LLC MEMBER indirect 2000-03-01 2005-09-30
CITISTREET ADVISORS LLC SOLE MEMBER indirect 2205-09-01 2005-09-30
KAHN BROTHERS & CO. INC. STOCKHOLDER direct 1995-10-01 2005-11-04
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2003-01-01 2005-11-15
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2003-01-01 2005-11-15
BPW ASSET MANAGEMENT LLC MANAGING MEMBER direct 2002-01-01 2005-12-14
BASSINI PLAYFAIR WRIGHT ADVISORS INC. SHAREHOLDER indirect 2002-01-01 2005-12-14
BASSINI PLAYFAIR WRIGHT LLC SHAREHOLDER indirect 2002-11-01 2005-12-14
BASSINI PLAYFAIR WRIGHT LLC GENERAL PARTNER indirect 2002-11-01 2005-12-14
BPW ASSET MANAGEMENT LLC SHAREHOLDER indirect 2002-11-01 2005-12-14
BPW ASSET MANAGEMENT LLC GENERAL PARTNER indirect 2002-11-01 2005-12-14
BASSINI PLAYFAIR WRIGHT ADVISORS INC. GENERAL PARTNER indirect 2002-11-01 2005-12-14
DSC ADVISORS, L.P. MEMBER indirect 2001-12-01 2005-12-15
ALPHA VISION CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2006-01-06
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-01-01 2006-01-23
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-01-01 2006-01-23
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-01-01 2006-01-23
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2003-09-01 2006-01-23
BOSTON ADVISORS, LLC MEMBER direct 2006-04-01 2006-03-28
COOPERNEFF ADVISORS INC INDIRECT OWNER indirect 2006-10-01 2006-03-29
PADCO ADVISORS II INC SHAREHOLDER direct 2003-12-01 2006-03-31
PADCO ADVISORS INC SHAREHOLDER indirect 2003-12-01 2006-03-31
PADCO ADVISORS INC SHAREHOLDER direct 2003-12-01 2006-03-31
FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC. DIRECT OWNER direct 2006-01-01 2006-04-18
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 1995-12-01 2006-05-15
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2000-05-01 2006-05-24
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2004-01-01 2006-05-26
INCOME RESEARCH & MANAGEMENT MEMBER indirect 2004-01-01 2006-05-26
VANTAGE FOREST PRODUCTS LP GENERAL PARTNER direct 2006-05-01 2006-05-31
BNP PARIBAS ASSET MANAGEMENT, INC. INDIRECT OWNER indirect 2000-10-01 2006-08-29
TAPESTRY ASSET MANAGEMENT L.P. GENERAL PARTNER direct 2003-03-01 2006-09-05
HYPERION CAPITAL MANAGEMENT INC OWNER indirect 2004-12-01 2006-10-02
HYPERION CAPITAL MANAGEMENT INC OWNER indirect 2005-10-01 2006-10-02
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-01-01 2006-10-20
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 2000-05-01 2006-10-20
PACIFIC INCOME ADVISERS INC SHAREHOLDER direct 1987-06-01 2007-03-14
PACIFIC INCOME ADVISERS INC TRUST indirect 1987-06-01 2007-03-14
PACIFIC INCOME ADVISERS INC SHAREHOLDER direct 1995-06-01 2007-03-14
PACIFIC INCOME ADVISERS INC TRUST indirect 1995-06-01 2007-03-14
KAHN BROTHERS ASSET MANAGEMENT CORP STOCKHOLDER direct 1997-12-01 2007-03-15
KB & PARTNERS MANAGEMENT CO LLC NONE direct 2000-03-01 2007-03-15
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C LIMITED PARTNER indirect 2004-11-01 2007-03-30
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C GENERAL PARTNER indirect 2004-11-01 2007-03-30
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C SHAREHOLDER indirect 2004-11-01 2007-03-30
STRUCTURED PORTFOLIO MANAGEMENT, L.L.C LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM JR., L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM JR., L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
SPM JR., L.L.C. SHAREHOLDER indirect 2004-11-01 2007-03-30
SPM JR., L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM III, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM III, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
SPM III, L.L.C. SHAREHOLDER indirect 2004-11-01 2007-03-30
SPM III, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM IV, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM IV, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
SPM IV, L.L.C. SHAREHOLDER indirect 2004-11-01 2007-03-30
SPM IV, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM PRIME, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM PRIME, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
SPM PRIME, L.L.C. SHAREHOLDER indirect 2004-11-01 2007-03-30
SPM PRIME, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM PRODUCTS, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-03-30
SPM PRODUCTS, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-03-30
ALLIANZ HEDGE FUND GENERAL PARTNER direct 2001-09-01 2007-03-30
ALLIANZ HEDGE FUND LIMITED PARTNER direct 2001-09-01 2007-03-30
ALLIANZ HEDGE FUND PARTNERS L.P. SOLE STOCKHOLDER indirect 2005-06-01 2007-03-30
PIONEER ASSET MANAGEMENT, INC. OWNER indirect 2001-10-01 2007-03-30
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2003-01-01 2007-03-30
SPM, III L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
STRUCTURED PORTFOLIO MANAGEMENT LLC SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM JR., L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM IV, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM IV, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM PRIME, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM PRIME, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM PRODUCTS, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
SPM PRODUCTS, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-03-30
ALCENTRA, INC. SHAREHOLDER indirect 2006-01-01 2007-05-08
NIKKO AM INTERNATIONAL, INC. ULTIMATE CORPORATE PARENT indirect 2007-05-01 2007-05-09
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FAIRSTREAM CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2007-05-01 2007-05-09
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OBERON FINANCIAL TECHNOLOGY, INC. SHAREHOLDER direct 2001-09-01 2007-06-27
NIKKO ASSET MANAGEMENT SINGAPORE LIMITED SHAREHOLDER indirect 2007-05-01 2007-07-02
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 1996-04-01 2007-07-03
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2007-04-01 2007-07-03
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 1998-07-01 2007-07-03
O'SHAUGHNESSY ASSET MANAGEMENT, LLC OWNER direct 2007-07-01 2007-07-12
ALCENTRA, INC. SHAREHOLDER direct 2006-01-01 2007-08-01
WESTLB ASSET MANAGEMENT (USA) LLC PARENT indirect 2006-04-01 2007-08-01
DOUBLE EAGLE CAPITAL MANAGEMENT LP LIMITED PARTNER direct 2005-04-01 2007-09-04
O'SHAUGHNESSY ASSET MANAGEMENT, LLC MEMBER direct 2007-09-01 2007-10-10
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1984-12-01 2007-10-23
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1990-04-01 2007-10-23
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 1993-12-01 2007-10-23
SPARTA ASSET MANAGEMENT, LLC OWNER direct 2007-09-01 2007-10-23
ROTHSCHILD ASSET MANAGEMENT INC INDIRECT OWNER OF APPLICANT indirect 2003-07-01 2007-10-23
SPARTA ASSET MANAGEMENT, LLC MEMBER direct 2007-09-01 2007-11-08
SPM CREDIT, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-11-12
SPM CREDIT, L.L.C. GENERAL PARTNER indirect 2004-11-01 2007-11-12
SPM CREDIT, L.L.C. SHAREHOLDER indirect 2004-11-01 2007-11-12
SPM CREDIT, L.L.C. LIMITED PARTNER indirect 2004-11-01 2007-11-12
TRAXIS PARTNERS LLC PARTNER direct 2007-11-01 2007-11-12
SPM CREDIT, L.L.C. SHAREHOLDER indirect 2003-06-01 2007-11-12
SPM CREDIT, L.L.C. SOLE MANAGING MEMBER indirect 2004-02-01 2007-11-12
QUOTIENT INVESTORS, LLC MEMBER direct 2007-12-01 2007-12-11
KG REDDING, LLC OWNER indirect 2005-12-01 2007-12-21
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2005-12-01 2007-12-21
O'SHAUGHNESSY ASSET MANAGEMENT, LLC MEMBER direct 2007-07-01 2008-01-07
HYPERION BROOKFIELD ASSET MANAGEMENT, INC. OWNER indirect 2005-12-01 2008-02-12
ALLIANZ HEDGE FUND PARTNERS L.P. GENERAL PARTNER direct 2007-04-01 2008-03-28
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2008-03-31
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2008-03-31
KG REDDING, LLC OWNER indirect 2007-12-01 2008-03-31
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2007-12-01 2008-03-31
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1970-09-01 2008-09-03
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1990-07-01 2008-09-03
GARTMORE GLOBAL PARTNERS SHAREHOLDER indirect 1995-04-01 2008-09-03
HOULIHAN LOKEY HOWARD & ZUKIN FINANCIAL ADVISORS INC TRUST/SERIES E COMMON indirect 2007-04-01 2008-10-15
AVIANCE CAPITAL PARTNERS LLC MANAGING MEMBER indirect 2006-11-01 2009-01-12
AVIANCE CAPITAL PARTNERS LLC MANAGING MEMBER direct 2008-03-01 2009-01-12
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 1974-09-01 2009-01-15
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 2002-04-01 2009-01-15
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 2002-04-01 2009-01-15
MORGAN KEEGAN FUND MANAGEMENT, INC. DIRECT OWNER, HOLDING COMPANY direct 2001-03-01 2009-02-05
ALLIANZ HEDGE FUND PARTNERS L.P. STOCKHOLDER indirect 2007-04-01 2009-03-30
ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC SOLE STOCKHOLDER indirect 2008-04-01 2009-03-30
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2009-03-31
ING INVESTMENT MANAGEMENT ADVISORS B V SHAREHOLDER indirect 2001-05-01 2009-03-31
AMP CAPITAL REDDING INVESTORS (US) LIMITED OWNER indirect 2005-12-01 2009-03-31
HAWKEYE PARTNERS, L.P. MEMBER indirect 2008-08-01 2009-03-31
HAWKEYE PARTNERS, L.P. MEMBER indirect 2008-08-01 2009-03-31
JACKSON NATIONAL ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-03-01 2009-04-16
SEIDMAN PRIVATE ADVISORS LLC OWNER direct 2004-04-01 2009-05-06
MORGAN STANLEY SMITH BARNEY LLC SHAREHOLDER indirect 2009-05-01 2009-06-26
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 2006-03-01 2009-06-29
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 2006-10-01 2009-06-29
KOTAK MAHINDRA (UK) LIMITED SHAREHOLDER indirect 1998-06-01 2009-06-29
SEIDMAN PRIVATE ADVISORS, LLC OWNER direct 2009-07-01 2009-08-05
ARCUS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-09-01 2009-08-21
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-09
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-09
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-09
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2008-06-01 2009-09-09
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-10
NFJ INVESTMENT GROUP L.P. STOCKHOLDER indirect 2005-06-01 2009-09-14
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-14
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 1999-12-01 2009-09-16
TRANSAMERICA INVESTMENT SERVICES, INC. OWNER direct 2009-01-01 2009-09-16
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-09-21
MUNDER CAPITAL MANAGEMENT GENERAL PARTNER indirect 2004-08-01 2009-10-05
MUNDER CAPITAL MANAGEMENT GENERAL PARTNER indirect 2004-07-01 2009-10-05
HG AMALGAM LLP SOLE SHAREHOLDER indirect 1982-12-01 2009-11-03
HG AMALGAM LLP SOLE SHAREHOLDER indirect 1983-03-01 2009-11-03
HG AMALGAM LLP SOLE SHAREHOLDER indirect 1983-03-01 2009-11-03
HG AMALGAM LLP CORPORATE TRUSTEE indirect 1983-03-01 2009-11-03
HG AMALGAM LLP SOLE SHAREHOLDER indirect 1999-02-01 2009-11-03
ODEY ASSET MANAGEMENT LLP LIMITED COMPANY direct 2005-12-01 2009-11-11
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 1991-10-01 2009-11-19
OPPENHEIMER CAPITAL LLC MANAGING MEMBER indirect 2000-05-01 2009-11-20
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-11-20
OPPENHEIMER CAPITAL LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-11-20
OPPENHEIMER CAPITAL LLC STOCKHOLDER indirect 2003-01-01 2009-11-20
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2009-11-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2008-06-01 2009-11-23
VIGILANT INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-08-01 2009-11-24
TRILANTIC CAPITAL MANAGEMENT LLC ENTITY direct 2009-04-01 2009-12-04
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 1984-12-01 2010-01-04
ROTHSCHILD ASSET MANAGEMENT INC SHAREHOLDER indirect 1993-12-01 2010-01-04
ACTINVER WEALTH MANAGEMENT, INC. SHAREHOLDER indirect 2009-03-01 2010-02-16
ACTINVER WEALTH MANAGEMENT, INC. OWNER indirect 2009-03-01 2010-02-16
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2005-05-01 2010-02-23
CRA MANAGEMENT PTE LTD INDIRECT SHAREHOLDER indirect 2003-06-01 2010-02-23
NFJ INVESTMENT GROUP LLC STOCKHOLDER indirect 2005-06-01 2010-02-25
GARTMORE GLOBAL PARTNERS GENERAL PARTNER direct 1995-01-01 2010-03-01
GARTMORE GLOBAL PARTNERS GENERAL PARTNER direct 2000-05-01 2010-03-01
HATTERAS INVESTMENT PARTNERS LLC N/A direct 2007-01-01 2010-03-11
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 1974-09-01 2010-03-22
CWCAPITAL INVESTMENTS LLC SOLE MEMBER indirect 2009-01-01 2010-03-22
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01 2010-03-23
ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-03-23
PLACEMARK INVESTMENTS, INC. SHAREHOLDER (PREFERRED D) indirect 2006-11-01 2010-03-23
PA FUND MANAGEMENT LLC SOLE STOCKHOLDER indirect 2003-01-01 2010-03-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC STOCKHOLDER indirect 2008-06-01 2010-03-23
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC SOLE STOCKHOLDER indirect 2008-06-01 2010-03-23
PACIFIC INVESTMENT MANAGEMENT CO LLC STOCKHOLDER indirect 2005-06-01 2010-03-25
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-03-25
PACIFIC INVESTMENT MANAGEMENT CO LLC SOLE STOCKHOLDER indirect 2003-01-01 2010-03-25
BELSEN GETTY LLC PARENT COMPANY direct 2006-05-01 2010-03-26
NFJ INVESTMENT GROUP L.P. STOCKHOLDER indirect 2005-06-01 2010-03-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2005-06-01 2010-03-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-03-30
NFJ INVESTMENT GROUP LLC STOCKHOLDER indirect 2005-06-01 2010-03-30
NFJ INVESTMENT GROUP L.P. STOCKHOLDER indirect 2003-01-01 2010-03-30
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC STOCKHOLDER indirect 2003-01-01 2010-03-30
COMMUNITY CAPITAL MANAGEMENT, INC. OWNER indirect 2003-09-01 2010-03-30
AMS ADVISORS LLC OWNER direct 2006-11-01 2010-03-31
PANTHEON VENTURES (US) LLP LIMITED PARTNER direct 2010-03-01 2010-04-07
ARTEMIS INVESTMENT MANAGEMENT LIMITED OWNER direct 2008-04-01 2010-04-20
ARTEMIS INVESTMENT MANAGEMENT LIMITED OWNER indirect 2003-07-01 2010-04-20
PANTHEON VENTURES (US) LLP NON-MANAGING PARTNER direct 2010-03-01 2010-04-22
COMMUNITY CAPITAL MANAGEMENT, INC. OWNER indirect 2003-09-01 2010-04-22
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2005-06-01 2010-07-27
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC STOCKHOLDER indirect 2005-06-01 2010-07-27
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-07-27
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC SOLE STOCKHOLDER indirect 2005-06-01 2010-07-27
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC STOCKHOLDER indirect 2003-01-01 2010-07-27
ALLIANZ GLOBAL INVESTORS MANAGEMENT PARTNERS LLC STOCKHOLDER indirect 2003-01-01 2010-07-27
RCM CAPITAL MANAGEMENT LLC PARENT indirect 2004-09-01 2010-07-28
RCM CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2004-09-01 2010-07-28
RCM CAPITAL MANAGEMENT LLC PARENT indirect 2004-09-01 2010-07-28
ARCUS CAPITAL MANAGEMENT, LLC MEMBER indirect 2008-09-01 2010-08-19
ARCUS CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2009-09-01 2010-08-19
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2004-09-01 2010-09-08
CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC PARENT indirect 2004-09-01 2010-09-08
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC STOCKHOLDER indirect 2008-06-01 2010-09-22
TRECAP PARTNERS, LLC MEMBER direct 2010-03-01 2010-10-15
TRECAP PARTNERS, LLC CLASS A AND CLASS B MEMBER indirect 2010-03-01 2010-10-15
WESTON CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2010-03-01 2011-02-24
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SHAREHOLDER direct 2002-08-01 2011-03-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2011-03-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH SHAREHOLDER indirect 2002-10-01 2011-03-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2011-03-01
ALLIANZ GLOBAL INVESTORS ADVISORY GMBH PARENT indirect 2002-10-01 2011-03-01
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WP GLOBAL PARTNERS INC. SHAREHOLDER indirect 1984-07-01 2011-03-29
WP GLOBAL PARTNERS INC. SHAREHOLDER indirect 1990-01-01 2011-03-29
FRANCK GALLAND US ADVISORS S.A. SHAREHOLDER direct 2009-10-01 2011-03-30
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THL CREDIT ADVISORS LLC SOLE MEMBER indirect 2009-06-01 2011-04-01
THL CREDIT ADVISORS LLC SOLE SHAREHOLDER indirect 2009-06-01 2011-04-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC 77% OWNER indirect 2006-03-01 2011-05-03
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CHURCHILL FINANCIAL LLC