SOLUS ALTERNATIVE ASSET MANAGEMENT LP

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Solus Alternative Asset Management is based out of Summit. Solus Alternative Asset Management is a hedge fund with 31 clients and discretionary assets under management (AUM) of $3,391,836,721 (Form ADV from 2023-04-27). Their last reported 13F filing for Q1 2023 included $261,460,650 in managed 13F securities and a top 10 holdings concentration of 100.0%. Solus Alternative Asset Management's largest holding is Bristow Group Inc with shares held of 3,754,983. Solus Alternative Asset Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 63 13F filings, 25 13D filings, 82 13G filings, and 15 Form 4 filings

03/31/2023

13F Activity

  • Market Value $261.461 Million
  • Prior Market Value $343.544 Million
  • New Purchases0 stocks
  • Additional Purchases1 stock
  • Sold out of3 stocks
  • Reduced holdings in8 stocks
  • Top 10 Holdings % 100.00 %
  • Turnover % [1]:30.00%
  • Turnover Alt % [2]: %
  • Time Held Top20:6.20 quarters
  • Time Held Top10:5.60 quarters
  • Time Held All:6.20 quarters

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

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

03/31/2023

13F Sector Allocation Over Time

Fund Metrics

You are limited to the prior 8 quarters of 13F filings. Subscribe to WhaleWisdom to view all filing data for SOLUS ALTERNATIVE ASSET MANAGEMENT LP

Portfolio Analysis

Classifications:

Q1 2023:

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Consistent Across Past 4 Quarters:

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Type of 13F Disclosure 13F Holdings Report
% of holdings ETF 0.0
% of top 20 holdings the same as top 20 most commonly held by all managers 10.0%
ALL HOLDINGS TOP-20 HOLDINGS
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Sector Allocation 9.947% (COMMUNICATIONS) 35.941% (ENERGY) 25.0% 27.056% 9.947% (COMMUNICATIONS) 35.941% (ENERGY) 25.0% 27.056%

Risk/Reward Analysis

Portfolio Market Cap Analysis

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2023-02-14

Performance for Q4 2022: -4.76%
Performance Last 4 Quarters: 10.21%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
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Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
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*Shares are split adjusted

Global (ex. US) Holdings

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Stale Holdings (no activity in past 21-months or sold out)

Source: Refinitiv. Stale holdings data removed after 21-months of inactivity.

View Last Form Adv Compilation Report on Record

SOLUS ALTERNATIVE ASSET MANAGEMENT LP
Classified as Hedge Fund
25 MAPLE STREET 2ND FLOOR
SUMMIT NJ    07901
Country: United States
Business Phone: 212-284-4300
Fax: 212-284-4338
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Partnership
Organized in: DE
Number of employees: 29
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: 3,378,390,000
Total Number of Clients: 31
Amount of client funds and securities by related persons: 3,378,390,000
Total Number of clients from related persons: 31
Disclosures: 11.C (2),11.C (4),11.C (5)
Data above was derived from SEC filings.

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Insider Transactions in the past year

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SOLUS ALTERNATIVE ASSET MANAGEMENT LP

ownership team - last updated 2023-03-31
Name Title Start Date Direct/Indirect % Ownership
PUCILLO, CHRISTOPHER, ANTHONY LIMITED PARTNER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER 04/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP MEMBER indirect 2007-04-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2007-04-01
STANFIELD CAPITAL PARTNERS LLC MANAGEING DIRECTOR; HEAD OF TRADING direct 2000-03-01 2001-03-26
STANFIELD CAPITAL PARTNERS LLC PARTNER; HEAD OF TRADING direct 2000-03-01 2003-02-19
STANFIELD CAPITAL PARTNERS LLC PARTNER direct 2000-03-01 2007-03-30
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2007-04-01 2007-05-15
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2007-04-01 2012-04-24
BSCH MASTER I SUB (SOL-MGR) L.P. LIMITED PARTNER 03/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LAJU (CAYMAN) LIMITED LISTED COMPANY indirect 1969-07-01
MARTIN CURRIE INC PARENT COMPANY direct 1978-10-01
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED PARENT COMPANY direct 1978-10-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1979-06-01
ALPHA INVESTMENT MANAGEMENT LLC SOLE SHAREHOLDER indirect 1984-05-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. SHAREHOLDER indirect 1985-06-01
CYPRESS CAPITAL MANAGEMENT US LIMITED SHAREHOLDER indirect 1985-06-01
AGF PRIVATE INVESTMENT ADVISORS INC. SHAREHOLDER indirect 1985-06-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 indirect 1986-02-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 1: SHAREHOLDER OF APPLICANT direct 1986-11-01
DAISHIN INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER direct 1988-03-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1989-07-01
BMO ASSET MANAGEMENT CORP. SOLE SHAREHOLDER OF BMO FINANCIAL CORP. indirect 1989-09-01
MONEGY, INC. SOLE SHAREHOLDER OF BMO FINANCIAL CORP. indirect 1989-09-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 2: SHAREHOLDER OF 1 indirect 1991-03-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1992-03-01
FUJI-LORD ABBETT INTERNATIONAL, LTD SHAREHOLDER direct 1992-06-01
EDINBURGH FUND MANAGERS PLC SHAREHOLDER direct 1995-04-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1995-12-01
PALADIN INVESTMENT ASSOCIATES, LLC SHAREHOLDER indirect 1995-12-01
ABERDEEN AMERICA INC. MINORITY SHAREHOLDER direct 1996-05-01
KYOBO LIFE ASSET MANAGEMENT (AMERICA) CO., LTD. SOLE MEMBER direct 1996-07-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01
MCLEAN BUDDEN LIMITED. SHAREHOLDER indirect 1997-12-01
INDOCAM INTERNATIONAL INVESTMENT SERVICES PARENT direct 1998-01-01
ASHMORE INVESTMENT MANAGEMENT LTD PARENT COMPANY direct 1999-02-01
ASHMORE INVESTMENT MANAGEMENT LTD ULTIMATE PARENT COMPANY indirect 1999-02-01
ASHMORE INVESTMENT ADVISORS LIMITED PARENT COMPANY direct 1999-02-01
ASHMORE INVESTMENT ADVISORS LIMITED ULTIMATE PARENT COMPANY indirect 1999-02-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS SINGAPORE direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED direct 1999-04-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE (HONG KONG) LLC MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FSIB LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS HOLDINGS (SINGAPORE) indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MEMBER/HOLDING COMPANY OF MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 1999-04-01
ACKER FINLEY ASSET MANAGEMENT USA INC. SHAREHOLDER direct 1999-07-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP SHAREHOLDER indirect 2000-01-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER direct 2000-02-01
LAZARD PENSION MANAGEMENT INC GENERAL MEMBER indirect 2000-03-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC GENERAL MEMBER indirect 2000-03-01
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 2000-06-01
PANGAEA ASSET MANAGEMENT, LLC MEMBER indirect 2000-06-01
ACCESS INVESTMENT ADVISORS LLC SHAREHOLDER indirect 2000-08-01
MARTIN CURRIE GLOBAL INVESTORS LIMITED PARENT COMPANY direct 2000-08-01
KOBRICK FUNDS LLC SHAREHOLDER indirect 2000-10-01
KOBRICK FUNDS LLC SUPERVISOR indirect 2000-10-01
KOBRICK FUNDS LLC SHAREHOLDER indirect 2000-10-01
LAZARD DEBT RECOVERY MANAGEMENT OWNER indirect 2001-04-01
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 2001-05-01
YORK ASSET MANAGEMENT LIMITED OWNER indirect 2001-05-01
LADENBURG THALMANN FUND MANAGEMENT LLC SHAREHOLDER indirect 2001-05-01
YORK ASSET MANAGEMENT LIMITED OWNER direct 2001-05-01
AGF PRIVATE INVESTMENT ADVISORS INC. PARENT COMPANY direct 2001-07-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP SHAREHOLDER indirect 2001-09-01
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2001-10-01
SUTRO & CO. INCORPORATED INDIRECT OWNER indirect 2001-10-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
YORK ASSET MANAGEMENT LIMITED TRUSTEE indirect 2001-12-01
BTC CAPITAL MANAGEMENT, INC. CONTROL PERSON indirect 2002-03-01
POLYGON INVESTMENTS LTD. EQUITYHOLDER direct 2002-11-01
REAL ESTATE CAPITAL PARTNERS LP OWNER indirect 2002-12-01
ALPHA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2003-01-01
ALPHA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2003-01-01
THUNDER BAY CAPITAL MANAGEMENT, LP NON - VOTING LIMITED PARTNER direct 2003-02-01
THUNDER BAY CAPITAL MANAGEMENT, LP TRUSTEE- AB 2003 TRUST direct 2003-02-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP TRUSTEE indirect 2003-05-01
AEON CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2003-07-01
BIOPHARMA CAPITAL LIMITED SHAREHOLDER direct 2003-11-01
ALPHA INVESTMENT MANAGEMENT LLC MEMBER direct 2004-01-01
REAL ESTATE CAPITAL PARTNERS LP OWNER indirect 2004-07-01
MCLEAN BUDDEN LIMITED. SHAREHOLDER indirect 2004-11-01
RYAN LABS ASSET MANAGEMENT INC. SOLE SHAREHOLDER indirect 2004-12-01
SUN LIFE INSTITUTIONAL INVESTMENTS (U.S.) LLC SOLE SHAREHOLDER indirect 2004-12-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 2005-03-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP DESIGNATED MEMBER direct 2005-03-01
BLACKSQUARE CAPITAL LLP OWNER indirect 2005-06-01
POLYGON CREDIT HOLDINGS LTD. EQUITYHOLDER direct 2005-07-01
CYPRESS CAPITAL MANAGEMENT US LIMITED PARENT COMPANY direct 2005-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 indirect 2006-01-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 3: SHAREHOLDER OF SHAREHOLDER 2 indirect 2006-01-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 2006-04-01
BOSTON ADVISORS, LLC MEMBER direct 2006-04-01
FIRST STATE (HONG KONG) LLC ULTIMATE HOLDING COMPANY indirect 2006-04-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2006-04-01
K.J. HARRISON & PARTNERS (USA) INC. CORPORATION direct 2006-12-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED indirect 2007-06-01
HIGHSTREET ASSET MANAGEMENT U.S. INC. PARENT COMPANY indirect 2007-09-01
CYPRESS CAPITAL MANAGEMENT US LIMITED 100% OWNER PARENT indirect 2007-10-01
LASAIR CAPITAL LLC CLASS B MEMBER indirect 2007-10-01
AGF PRIVATE INVESTMENT ADVISORS INC. SHAREHOLDER indirect 2007-10-01
LASAIR CAPITAL LLC MANAGING MEMBER direct 2007-10-01
CYPRESS CAPITAL MANAGEMENT US LIMITED SHAREHOLDER indirect 2007-10-01
AGF PRIVATE INVESTMENT ADVISORS INC. 100% OWNER PARENT indirect 2007-10-01
HIGHSTREET ASSET MANAGEMENT U.S. INC. PARENT COMPANY indirect 2007-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 indirect 2008-06-01
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01
HIGHSTREET U.S. ASSET MANAGEMENT INC. PARENT COMPANY direct 2009-02-01
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. DIRECT OWNER direct 2009-06-01
KESTREL PARTNERS LLP SHAREHOLDER indirect 2009-06-01
HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-12-01
FINANCIALADVICE4ME, LLC MEMBER direct 2009-12-01
HANWHA ASSET MANAGEMENT (USA) LTD. DIRECT OWNER indirect 2010-06-01
INSTITUTIONAL SHAREHOLDER SERVICES INC. GENERAL PARTNER indirect 2010-08-01
CICC INVESTMENT MANAGEMENT (USA), INC. SOLE SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SOLE SHAREHOLDER indirect 2010-11-01
NEPHILA CAPITAL LTD. SHAREHOLDER indirect 2010-12-01
NEPHILA ADVISORS LLC SHAREHOLDER indirect 2010-12-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 6: SHAREHOLDER OF SHAREHOLDER 5 indirect 2012-02-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER direct 2012-06-01
SWISS AMERICAN ADVISORS LTD. SHAREHOLDER direct 2012-06-01
ELEVAR EQUITY MANAGEMENT LIMITED OWNER direct 2012-11-01
FORTIS ADVISORS, LLC GENERAL PARTNER indirect 2013-09-01
ARGO INFRASTRUCTURE PARTNERS LLC GENERAL PARTNER indirect 2013-12-01
F&C MANAGEMENT LIMITED INDIRECT SHAREHOLDER indirect 2014-01-01
INSTITUTIONAL SHAREHOLDER SERVICES INC. OWNER indirect 2014-04-01
AQM CAPITAL LLC MEMBER direct 2014-06-01
RESOLVE ASSET MANAGEMENT INC. OWNER direct 2014-11-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2014-11-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2014-11-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2015-03-01
RYAN LABS ASSET MANAGEMENT INC. SOLE SHAREHOLDER indirect 2015-04-01
PRIME ADVISORS INC SOLE SHAREHOLDER indirect 2015-07-01
UBS OCONNOR LLC HOLDING COMPANY direct 2015-08-01
UBS ASSET MANAGEMENT (AMERICAS) INC. SHAREHOLDER indirect 2015-08-01
UBS HEDGE FUND SOLUTIONS LLC HOLDING COMPANY direct 2015-08-01
FFCM LLC MEMBER direct 2015-11-01
FFCM LLC MEMBER indirect 2015-11-01
THREESIXTY ELEMENTS S.A. SHAREHOLDER direct 2016-02-01
MAXIMAI INVESTMENT PARTNERS, LLC MANAGING MEMBER direct 2016-09-01
TILLRIDGE CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2016-12-01
BROOKFIELD SOUNDVEST CAPITAL MANAGEMENT LTD. OWNER direct 2017-01-01
HANWHA ASSET MANAGEMENT (USA) LTD. DIRECT OWNER direct 2017-02-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01 2001-01-31
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01 2001-01-31
LAZARD ASSET MANAGEMENT CANADA INC SHAREHOLDER indirect 1984-06-01 2001-02-22
LAZARD ASSET MANAGEMENT CANADA INC SHAREHOLDER indirect 1984-06-01 2001-02-22
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1979-06-01 2001-02-28
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1997-05-01 2001-02-28
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-03-28
LADENBURG THALMANN ASSET MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-03-28
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2001-03-28
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LIMITED indirect 2000-06-01 2001-03-29
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-05-11
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2001-05-11
CLAY FINLAY INC 100% SHAREHOLDER OF CLAY FINLAY INC. direct 2001-04-01 2001-05-16
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF UNITED ASSET MANAGEMENT direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL (SOUTH AFRICA) LTD. direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 8.71% SHAREHOLDER OF OLD MUTUAL PLC direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL (NETHERLANDS) B.V. direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL LIFE ASSURANCE CO. (SOUTH AFRICA) LIMITED direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100 SHAREHOLDER OF OM GROUP (UK) LIMITED direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL LIFE HOLDINGS (SOUTH AFRICA) LIMITED direct 2000-09-01 2001-05-17
RS GROWTH GROUP LLC LIMITED PARTNER indirect 1999-03-01 2001-05-22
RS VALUE GROUP LLC LIMITED PARTNER indirect 1999-02-01 2001-05-25
RS INVESTMENT MANAGEMENT LP LLC direct 1999-03-01 2001-05-25
RS INVESTMENT MANAGEMENT INC LLC direct 1999-03-01 2001-05-25
ACADIAN ASSET MANAGEMENT INC 100% SHAREHOLDER OF REGISTRANT direct 2001-04-01 2001-06-06
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 1993-03-01 2001-06-12
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 1999-10-01 2001-06-12
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 2000-04-01 2001-06-12
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LTD indirect 1999-04-01 2001-09-25
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1996-07-01 2001-11-28
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1996-07-01 2001-11-28
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01 2001-11-28
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1997-05-01 2001-11-28
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF CMG FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01 2001-12-03
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF CMG FIRST STATE INVESTMENTS GROUP LIMITED indirect 2000-06-01 2001-12-03
AMERICAN SKANDIA ADVISORY SERVICES, INC. INDIRECT PARENT OF APPLICANT indirect 2000-10-01 2001-12-14
JURIKA & VOYLES LP SHAREHOLDER indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP SUPERVISOR indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP SHAREHOLDER indirect 2000-10-01 2002-01-15
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 13% OF LADENBURG THALMANN FINANACIAL SERVICES direct 1999-12-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2002-01-28
REICH & TANG ASSET MANAGEMENT LP SHAREHOLDER indirect 2000-10-01 2002-01-28
REICH & TANG ASSET MANAGEMENT,LLC SHAREHOLDER indirect 2000-10-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 16.3% OF LADENBURG THALMANN FINANCIAL SERVICES direct 2001-05-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 57.6% OF LADENBURG THALMANN FINANACIAL SERVICES direct 2001-05-01 2002-01-28
RREEF AMERICA LLC AFFILIATE indirect 1998-01-01 2002-03-27
AGF PRIVATE INVESTMENT ADVISORS INC. PARENT COMPANY direct 1971-03-01 2002-05-02
BIOPHARMA CAPITAL LIMITED SHAREHOLDER indirect 2001-04-01 2002-06-17
BIOPHARMA CAPITAL LIMITED TRUST indirect 2001-04-01 2002-06-17
PROEQUITIES INC PARENT direct 1984-08-01 2002-06-25
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF CMG FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01 2002-09-25
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LTD indirect 1999-04-01 2002-09-25
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2000-06-01 2003-01-13
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2000-12-01 2003-01-13
AMERICAN SKANDIA ADVISORY SERVICES, INC. INDIRECT PARENT OF APPLICANT indirect 2000-10-01 2003-03-26
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 6 direct 1986-02-01 2003-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 7 direct 1995-03-01 2003-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 8 direct 1995-07-01 2003-03-27
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2003-03-31
BIOPHARMA CAPITAL LIMITED SHAREHOLDER direct 2001-04-01 2003-05-20
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF BANKMONT FINANCIAL CORP. indirect 1989-09-01 2003-07-31
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF ROBECO INTERNATIONAL B.V. indirect 1997-02-01 2003-09-02
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF ROBECO GROUP N.V. indirect 1997-02-01 2003-09-02
HIM MONEGY, INC. SOLE SHAREHOLDER OF BANKMONT FINANCIAL CORP. indirect 1989-09-01 2003-10-09
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2003-12-04
NEEDELMAN ASSET MANAGEMENT INC MEMBER indirect 2002-08-01 2003-12-09
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY PTY LIMITED indirect 1999-04-01 2004-01-27
THUNDER BAY CAPITAL MANAGEMENT, LP NON-VOTING LIMITED PARTNER - CALEDONIAN BANK & TRUST LIMITED TRUSTEE indirect 2003-02-01 2004-03-19
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 1995-06-01 2004-03-31
HORNBLOWER FISCHER CAPITAL MANAGEMENT CORP. SHAREHOLDER direct 2002-11-01 2004-08-10
CLAYMORE FUND MANAGEMENT COMPANY LLC INDIRECT SHAREHOLDER direct 2001-05-01 2004-08-11
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF APPLICANT direct 1999-03-01 2004-10-12
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 5 direct 1986-02-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 4 direct 1986-02-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 2 direct 1986-11-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER direct 1986-11-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 3 direct 1986-12-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 1 direct 1991-03-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 8 direct 1995-03-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 9 direct 1995-07-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 10 direct 1995-07-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 6 direct 2001-05-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 7 direct 2001-05-01 2004-12-13
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2003-10-01 2005-03-02
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 1986-02-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 9: SHAREHOLDER OF 8 direct 1995-03-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 10: SHAREHOLDER OF 9 direct 1995-07-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 11: SHAREHOLDER OF 10 direct 1995-07-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC GENERAL MEMBER indirect 2000-03-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC OWNER indirect 2001-04-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 direct 2001-05-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 8: SHAREHOLDER OF 7 direct 2001-05-01 2005-03-29
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC GENERAL MEMBER indirect 2000-03-01 2005-03-30
LAZARD ALTERNATIVES, LLC GENERAL MEMBER indirect 2000-03-01 2005-03-30
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF APPLICANT direct 2003-12-01 2005-03-30
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF THE COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 1999-04-01 2005-06-07
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL HOLDING COMPANY (NO.2) PTY LIMITED indirect 1999-04-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF THE COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 1999-04-01 2005-10-03
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL HOLDING COMPANY PTY LIMITED indirect 1999-04-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 2000-06-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2000-06-01 2005-10-03
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2006-03-31
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY (NO.2) PTY LIMITED indirect 1999-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY LIMITED indirect 1999-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC ULTIMATE HOLDING COMPANY indirect 2000-06-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2000-06-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 2005-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 2005-04-01 2006-04-10
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01 2006-06-02
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01 2006-06-07
DAISHIN INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER direct 1999-08-01 2006-06-28
STANDARD PACIFIC CAPITAL LLC MEMBER indirect 2006-01-01 2006-07-20
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2004-11-01 2006-12-04
AGF PRIVATE INVESTMENT ADVISORS INC. 100% OWNER PARENT indirect 2001-07-01 2007-02-05
CYPRESS CAPITAL MANAGEMENT US LIMITED 100% OWNER PARENT indirect 2004-06-01 2007-02-09
FIRST STATE (HONG KONG) LLC MEMBER/HOLDING COMPANY OF MANAGING MEMBER direct 1999-04-01 2007-03-07
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2005-02-01 2007-03-24
MARTIN CURRIE INC INDIRECT OWNER indirect 2001-12-01 2007-03-29
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2007-03-30
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 1986-02-01 2007-08-09
FAIRFIELD GREENWICH ADVISORS LLC SHAREHOLDER indirect 2001-10-01 2008-03-26
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 direct 1986-02-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 1986-02-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 direct 1986-11-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 indirect 1986-11-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 indirect 1986-12-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 direct 1986-12-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 2005-03-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 indirect 2005-03-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 direct 2006-01-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 indirect 2006-01-01 2008-03-27
JUNO MOTHER EARTH ASSET MANAGEMENT, LLC MEMBER direct 2007-01-01 2008-04-30
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 3: SHAREHOLDER OF 2 direct 2006-01-01 2008-06-10
HAMON US INVESTMENT ADVISORS LTD CORPORATION direct 1989-07-01 2008-07-10
HAMON U.S. INVESTMENT ADVISORS LIMITED CORPORATION indirect 1992-03-01 2008-07-10
HAMON US INVESTMENT ADVISORS LTD CORPORATION indirect 1995-12-01 2008-07-10
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. SHAREHOLDER indirect 2007-10-01 2009-06-09
AGF ASSET MANAGEMENT GROUP US LIMITED SHAREHOLDER direct 2007-10-01 2009-06-09
YORK ASSET MANAGEMENT INC. OWNER indirect 2001-05-01 2010-01-12
YORK ASSET MANAGEMENT INC. TRUSTEE indirect 2001-12-01 2010-01-12
YORK ASSET MANAGEMENT INC. OWNER direct 2009-12-01 2010-01-12
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2010-03-26
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2010-03-26
TETRAGON FINANCIAL MANAGEMENT L.P. MEMBER indirect 2005-05-01 2010-12-22
TETRAGON FINANCIAL MANAGEMENT L.P. LIMITED PARTNER direct 2005-07-01 2010-12-22
TETRAGON FINANCIAL MANAGEMENT L.P. LIMITED PARTNER indirect 2007-12-01 2010-12-22
POLYGON MANAGEMENT L.P. GENERAL PARTNER direct 2009-06-01 2010-12-22
POLYGON MANAGEMENT L.P. GENERAL PARTNER indirect 2010-06-01 2010-12-22
POLYGON MANAGEMENT L.P. LIMITED PARTNER direct 2010-06-01 2010-12-22
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 4: SHAREHOLDER OF SHAREHOLDER 3 indirect 2006-01-01 2011-03-31
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-04-01
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2011-06-30
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2010-10-01 2011-06-30
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-08-05
HIM MONEGY, INC. SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-08-08
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER direct 1989-07-01 2012-03-28
HIM MONEGY, INC. SOLE SHAREHOLDER OF HARRIS INVESTMENT MANAGEMENT, INC. indirect 1989-09-01 2012-03-30
BISCAYNEAMERICAS ADVISERS L.L.C. MEMBER OF V-HENRIQUEZ HOLDINGS, LLC indirect 2005-12-01 2012-03-30
BISCAYNEAMERICAS ADVISERS L.L.C. SHAREHOLDER OF LW INVESTMENT MANAGEMENT, LTD. indirect 2007-12-01 2012-03-30
SALLFORT ADVISORS LTD. SHAREHOLDER direct 2009-12-01 2012-04-24
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 direct 1986-02-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 2: SHAREHOLDER OF 1 direct 1991-03-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 direct 2005-03-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 2006-01-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 direct 2008-06-01 2012-07-16
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS HOLDINGS indirect 1999-04-01 2012-08-16
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER indirect 1999-04-01 2012-08-16
HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-12-01 2012-12-13
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 1997-12-01 2013-01-04
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2004-11-01 2013-01-04
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2013-01-04
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01 2013-01-18
MARTIN CURRIE INC INDIRECT SHAREHOLDER indirect 2007-11-01 2014-07-30
KYOBO LIFE ASSET MANAGEMENT (AMERICA) CO., LTD. DIRECT OWNER direct 1996-07-01 2015-01-12
CABEZON INVESTMENT GROUP, LLC OWNER indirect 2001-08-01 2015-03-31
CABEZON INVESTMENT GROUP, LLC OWNER indirect 2003-03-01 2015-03-31
GUGGENHEIM PARTNERS LATIN AMERICA, INC. MEMBER indirect 2012-10-01 2015-03-31
UBS AGRIVEST LLC SHAREHOLDER indirect 2015-08-01 2015-09-01
UBS REALTY INVESTORS LLC SHAREHOLDER indirect 2015-08-01 2015-09-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED indirect 1999-04-01 2015-09-29
RESOLVE ASSET MANAGEMENT INC. OWNER direct 2015-02-01 2015-12-11
THREESIXTY ELEMENTS S.A. OWNER direct 2015-07-01 2016-01-12
HERITAGE INSTITUTIONAL SERVICES, LLC OWNER indirect 2010-12-01 2016-04-19
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2005-01-01 2016-06-15
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01 2016-07-25
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2005-01-01 2016-10-14
SUN CAPITAL ADVISERS LLC SOLE SHAREHOLDER indirect 2004-12-01 2016-12-21
DEVERE USA INC. SHAREHOLDER indirect 2012-02-01 2017-04-26
DEVERE USA INC. SHAREHOLDER indirect 2012-02-01 2017-05-31
COSGROVE, RICHARD, T. CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP CHIEF COMPLIANCE OFFICER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2012-03-01
SOLUS GP LLC GENERAL PARTNER 04/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER direct 2007-04-01
MARTIN, SCOTT LIMITED PARTNER, EVP AND PORTFOLIO MANAGER 03/01/2012 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP EVP & PORTFOLIO MANAGER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND PORTFOLIO MANAGER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP & PORTFOLIO MANAGER direct 2012-03-01
YEAGER, GORDON LIMITED PARTNER, EVP, CHIEF RISK OFFICER AND CHIEF OPERATING OFFICER 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP MANAGING DIRECTOR, CHIEF RISK AND OPERATIONS OFFICER direct 2007-07-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP, CHIEF RISK OFFICER AND CHIEF OPERATING OFFICER direct 2010-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP, CHIEF RISK AND OPERATIONS OFFICER direct 2010-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP, CHIEF OPERATIONS AND RISK OFFICER direct 2010-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP EVP, CHIEF OPERATIONS AND RISK OFFICER direct 2010-01-01
CHASE, RICHARD, DENNIS CHIEF FINANCIAL OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAVIDSON KEMPNER ADVISERS INC CHIEF FINANCIAL OFFICER direct 2007-10-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP CHIEF FINANCIAL OFFICER direct 2016-03-01
DAVIDSON KEMPNER CAPITAL MANAGEMENT LP CHIEF FINANCIAL OFFICER direct 2007-10-01
MARTINDALE, WIGHT LIMITED PARTNER, EVP AND DIRECTOR OF BUSINESS DEVELOPMENT 03/01/2012 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP & DIRECTOR OF INVESTOR RELATIONS direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND DIRECTOR OF BUSINESS DEVELOPMENT direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND DIRECTOR OF INVESTOR RELATIONS direct 2012-03-01
BSCH A INTERMEDIATE L.P. LIMITED PARTNER BSCH MASTER I L.P. 01/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2014-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP LIMITED PARTNER indirect 2014-01-01
BSCH MASTER I L.P. LIMITED PARTNER BSCH MASTER I SUB (SOL-MGR) L.P. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2015-03-01
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2016-06-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP LIMITED PARTNER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP CLASS B PARTNER direct 2014-02-01
BSCH A (SOL-MGR) L.L.C. LIMITED PARTNER BSCH A INTERMEDIATE L.P. 03/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2015-03-01
PUCILLO, CHRISTOPHER, ANTHONY MEMBER SOLUS GP LLC 04/01/2007 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP MEMBER indirect 2007-04-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2007-04-01
STANFIELD CAPITAL PARTNERS LLC MANAGEING DIRECTOR; HEAD OF TRADING direct 2000-03-01 2001-03-26
STANFIELD CAPITAL PARTNERS LLC PARTNER; HEAD OF TRADING direct 2000-03-01 2003-02-19
STANFIELD CAPITAL PARTNERS LLC PARTNER direct 2000-03-01 2007-03-30
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2007-04-01 2007-05-15
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2007-04-01 2012-04-24
BLACKSTONE STRATEGIC CAPITAL HOLDINGS L.P. LIMITED PARTNER BSCH MASTER I L.P. 01/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2014-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP LIMITED PARTNER indirect 2014-01-01
ASF POLLOCK, L.P. LIMITED PARTNER BLACKSTONE STRATEGIC CAPITAL HOLDINGS L.P. 04/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2018-04-01
BLACKSTONE STRATEGIC CAPITAL ASSOCIATES L.L.C. GENERAL PARTNER BSCH MASTER I SUB (SOL-MGR) L.P.; BSCH MASTER I L.P.; BLACKSTONE STRATEGIC CAPITAL HOLDINGS L.P.; BSCH A INTERMEDIATE L.P. 03/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2013-10-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2014-01-01
BLACKSTONE STRATEGIC CAPITAL ASSOCIATES L.L.C. GENERAL PARTNER BLACKSTONE STRATEGIC CAPITAL HOLDINGS (CAYMAN) L.P. 03/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2013-10-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2014-01-01
BLACKSTONE STRATEGIC CAPITAL HOLDINGS (CAYMAN) L.P. SOLE MEMBER BSCH A (SOL-MGR) L.L.C. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. SOLE MEMBER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP SOLE MEMBER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP SOLE MEMBER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP SHAREHOLDER indirect 2014-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ULTRA NB LLC United States 805-8066568221 Hedge Fund 69,703,469 0
SOLUS LONG-TERM OPPORTUNITIES FUND MASTER LP Cayman Islands 805-1154600121 Hedge Fund 1,294,790,043 250,000 Master Fund
SOLUS SPC MASTER FUND LTD Cayman Islands 805-1777941915 Hedge Fund 592,397 500,000 Master Fund
SOLUS CORE OPPORTUNITIES LP United States 805-6011339915 Hedge Fund 134,594,584 0
SOLUS SENIOR HIGH INCOME FUND LP United States 805-2179791096 Hedge Fund 118,826,451 150,000 Master Fund
SOLA LTD Cayman Islands 805-4270875258 Hedge Fund 1,072,895,475 1,000,000 Master Fund
SOLUS OPPORTUNITIES FUND 3 LP United States 805-3943933427 Hedge Fund 71,037,691 0
SOLUS OPPORTUNITIES FUND 4 LP United States 805-4984796535 Hedge Fund 254,054,558 500,000 Master Fund
SOLUS OPPORTUNITIES FUND 2 LP United States 805-1148011926 Hedge Fund 45,559,018 0
SOLUS OPPORTUNITIES FUND 1 LP United States 805-8353070676 Hedge Fund 61,577,217 0
ULTRA MASTER LTD Cayman Islands 805-5606372491 Hedge Fund 44,766,149 250,000 Master Fund
SOLUS OPPORTUNITIES FUND 5 LP United States 805-7960083028 Hedge Fund 209,994,995 0 Master Fund

SOLUS ALTERNATIVE ASSET MANAGEMENT LP

ownership team - last updated 2022-04-08
Name Title Start Date Direct/Indirect % Ownership
PUCILLO, CHRISTOPHER, ANTHONY LIMITED PARTNER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER 04/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP MEMBER indirect 2007-04-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2007-04-01
STANFIELD CAPITAL PARTNERS LLC MANAGEING DIRECTOR; HEAD OF TRADING direct 2000-03-01 2001-03-26
STANFIELD CAPITAL PARTNERS LLC PARTNER; HEAD OF TRADING direct 2000-03-01 2003-02-19
STANFIELD CAPITAL PARTNERS LLC PARTNER direct 2000-03-01 2007-03-30
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2007-04-01 2007-05-15
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2007-04-01 2012-04-24
BSCH MASTER I SUB (SOL-MGR) L.P. LIMITED PARTNER 03/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LAJU (CAYMAN) LIMITED LISTED COMPANY indirect 1969-07-01
MARTIN CURRIE INC PARENT COMPANY direct 1978-10-01
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED PARENT COMPANY direct 1978-10-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1979-06-01
ALPHA INVESTMENT MANAGEMENT LLC SOLE SHAREHOLDER indirect 1984-05-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. SHAREHOLDER indirect 1985-06-01
CYPRESS CAPITAL MANAGEMENT US LIMITED SHAREHOLDER indirect 1985-06-01
AGF PRIVATE INVESTMENT ADVISORS INC. SHAREHOLDER indirect 1985-06-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 indirect 1986-02-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 1: SHAREHOLDER OF APPLICANT direct 1986-11-01
DAISHIN INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER direct 1988-03-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1989-07-01
BMO ASSET MANAGEMENT CORP. SOLE SHAREHOLDER OF BMO FINANCIAL CORP. indirect 1989-09-01
MONEGY, INC. SOLE SHAREHOLDER OF BMO FINANCIAL CORP. indirect 1989-09-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 2: SHAREHOLDER OF 1 indirect 1991-03-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1992-03-01
FUJI-LORD ABBETT INTERNATIONAL, LTD SHAREHOLDER direct 1992-06-01
EDINBURGH FUND MANAGERS PLC SHAREHOLDER direct 1995-04-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1995-12-01
PALADIN INVESTMENT ASSOCIATES, LLC SHAREHOLDER indirect 1995-12-01
ABERDEEN AMERICA INC. MINORITY SHAREHOLDER direct 1996-05-01
KYOBO LIFE ASSET MANAGEMENT (AMERICA) CO., LTD. SOLE MEMBER direct 1996-07-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01
MCLEAN BUDDEN LIMITED. SHAREHOLDER indirect 1997-12-01
INDOCAM INTERNATIONAL INVESTMENT SERVICES PARENT direct 1998-01-01
ASHMORE INVESTMENT MANAGEMENT LTD PARENT COMPANY direct 1999-02-01
ASHMORE INVESTMENT MANAGEMENT LTD ULTIMATE PARENT COMPANY indirect 1999-02-01
ASHMORE INVESTMENT ADVISORS LIMITED PARENT COMPANY direct 1999-02-01
ASHMORE INVESTMENT ADVISORS LIMITED ULTIMATE PARENT COMPANY indirect 1999-02-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS SINGAPORE direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED direct 1999-04-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE (HONG KONG) LLC MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FSIB LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS HOLDINGS (SINGAPORE) indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MEMBER/HOLDING COMPANY OF MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 1999-04-01
ACKER FINLEY ASSET MANAGEMENT USA INC. SHAREHOLDER direct 1999-07-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP SHAREHOLDER indirect 2000-01-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER direct 2000-02-01
LAZARD PENSION MANAGEMENT INC GENERAL MEMBER indirect 2000-03-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC GENERAL MEMBER indirect 2000-03-01
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 2000-06-01
PANGAEA ASSET MANAGEMENT, LLC MEMBER indirect 2000-06-01
ACCESS INVESTMENT ADVISORS LLC SHAREHOLDER indirect 2000-08-01
MARTIN CURRIE GLOBAL INVESTORS LIMITED PARENT COMPANY direct 2000-08-01
KOBRICK FUNDS LLC SHAREHOLDER indirect 2000-10-01
KOBRICK FUNDS LLC SUPERVISOR indirect 2000-10-01
KOBRICK FUNDS LLC SHAREHOLDER indirect 2000-10-01
LAZARD DEBT RECOVERY MANAGEMENT OWNER indirect 2001-04-01
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 2001-05-01
YORK ASSET MANAGEMENT LIMITED OWNER indirect 2001-05-01
LADENBURG THALMANN FUND MANAGEMENT LLC SHAREHOLDER indirect 2001-05-01
YORK ASSET MANAGEMENT LIMITED OWNER direct 2001-05-01
AGF PRIVATE INVESTMENT ADVISORS INC. PARENT COMPANY direct 2001-07-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP SHAREHOLDER indirect 2001-09-01
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2001-10-01
SUTRO & CO. INCORPORATED INDIRECT OWNER indirect 2001-10-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
YORK ASSET MANAGEMENT LIMITED TRUSTEE indirect 2001-12-01
BTC CAPITAL MANAGEMENT, INC. CONTROL PERSON indirect 2002-03-01
POLYGON INVESTMENTS LTD. EQUITYHOLDER direct 2002-11-01
REAL ESTATE CAPITAL PARTNERS LP OWNER indirect 2002-12-01
ALPHA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2003-01-01
ALPHA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2003-01-01
THUNDER BAY CAPITAL MANAGEMENT, LP NON - VOTING LIMITED PARTNER direct 2003-02-01
THUNDER BAY CAPITAL MANAGEMENT, LP TRUSTEE- AB 2003 TRUST direct 2003-02-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP TRUSTEE indirect 2003-05-01
AEON CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2003-07-01
BIOPHARMA CAPITAL LIMITED SHAREHOLDER direct 2003-11-01
ALPHA INVESTMENT MANAGEMENT LLC MEMBER direct 2004-01-01
REAL ESTATE CAPITAL PARTNERS LP OWNER indirect 2004-07-01
MCLEAN BUDDEN LIMITED. SHAREHOLDER indirect 2004-11-01
RYAN LABS ASSET MANAGEMENT INC. SOLE SHAREHOLDER indirect 2004-12-01
SUN LIFE INSTITUTIONAL INVESTMENTS (U.S.) LLC SOLE SHAREHOLDER indirect 2004-12-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 2005-03-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP DESIGNATED MEMBER direct 2005-03-01
BLACKSQUARE CAPITAL LLP OWNER indirect 2005-06-01
POLYGON CREDIT HOLDINGS LTD. EQUITYHOLDER direct 2005-07-01
CYPRESS CAPITAL MANAGEMENT US LIMITED PARENT COMPANY direct 2005-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 indirect 2006-01-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 3: SHAREHOLDER OF SHAREHOLDER 2 indirect 2006-01-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 2006-04-01
BOSTON ADVISORS, LLC MEMBER direct 2006-04-01
FIRST STATE (HONG KONG) LLC ULTIMATE HOLDING COMPANY indirect 2006-04-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2006-04-01
K.J. HARRISON & PARTNERS (USA) INC. CORPORATION direct 2006-12-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED indirect 2007-06-01
HIGHSTREET ASSET MANAGEMENT U.S. INC. PARENT COMPANY indirect 2007-09-01
CYPRESS CAPITAL MANAGEMENT US LIMITED 100% OWNER PARENT indirect 2007-10-01
LASAIR CAPITAL LLC CLASS B MEMBER indirect 2007-10-01
AGF PRIVATE INVESTMENT ADVISORS INC. SHAREHOLDER indirect 2007-10-01
LASAIR CAPITAL LLC MANAGING MEMBER direct 2007-10-01
CYPRESS CAPITAL MANAGEMENT US LIMITED SHAREHOLDER indirect 2007-10-01
AGF PRIVATE INVESTMENT ADVISORS INC. 100% OWNER PARENT indirect 2007-10-01
HIGHSTREET ASSET MANAGEMENT U.S. INC. PARENT COMPANY indirect 2007-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 indirect 2008-06-01
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01
HIGHSTREET U.S. ASSET MANAGEMENT INC. PARENT COMPANY direct 2009-02-01
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. DIRECT OWNER direct 2009-06-01
KESTREL PARTNERS LLP SHAREHOLDER indirect 2009-06-01
HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-12-01
FINANCIALADVICE4ME, LLC MEMBER direct 2009-12-01
HANWHA ASSET MANAGEMENT (USA) LTD. DIRECT OWNER indirect 2010-06-01
INSTITUTIONAL SHAREHOLDER SERVICES INC. GENERAL PARTNER indirect 2010-08-01
CICC INVESTMENT MANAGEMENT (USA), INC. SOLE SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SOLE SHAREHOLDER indirect 2010-11-01
NEPHILA CAPITAL LTD. SHAREHOLDER indirect 2010-12-01
NEPHILA ADVISORS LLC SHAREHOLDER indirect 2010-12-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 6: SHAREHOLDER OF SHAREHOLDER 5 indirect 2012-02-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER direct 2012-06-01
SWISS AMERICAN ADVISORS LTD. SHAREHOLDER direct 2012-06-01
ELEVAR EQUITY MANAGEMENT LIMITED OWNER direct 2012-11-01
FORTIS ADVISORS, LLC GENERAL PARTNER indirect 2013-09-01
ARGO INFRASTRUCTURE PARTNERS LLC GENERAL PARTNER indirect 2013-12-01
F&C MANAGEMENT LIMITED INDIRECT SHAREHOLDER indirect 2014-01-01
INSTITUTIONAL SHAREHOLDER SERVICES INC. OWNER indirect 2014-04-01
AQM CAPITAL LLC MEMBER direct 2014-06-01
RESOLVE ASSET MANAGEMENT INC. OWNER direct 2014-11-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2014-11-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2014-11-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2015-03-01
RYAN LABS ASSET MANAGEMENT INC. SOLE SHAREHOLDER indirect 2015-04-01
PRIME ADVISORS INC SOLE SHAREHOLDER indirect 2015-07-01
UBS OCONNOR LLC HOLDING COMPANY direct 2015-08-01
UBS ASSET MANAGEMENT (AMERICAS) INC. SHAREHOLDER indirect 2015-08-01
UBS HEDGE FUND SOLUTIONS LLC HOLDING COMPANY direct 2015-08-01
FFCM LLC MEMBER direct 2015-11-01
FFCM LLC MEMBER indirect 2015-11-01
THREESIXTY ELEMENTS S.A. SHAREHOLDER direct 2016-02-01
MAXIMAI INVESTMENT PARTNERS, LLC MANAGING MEMBER direct 2016-09-01
TILLRIDGE CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2016-12-01
BROOKFIELD SOUNDVEST CAPITAL MANAGEMENT LTD. OWNER direct 2017-01-01
HANWHA ASSET MANAGEMENT (USA) LTD. DIRECT OWNER direct 2017-02-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01 2001-01-31
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01 2001-01-31
LAZARD ASSET MANAGEMENT CANADA INC SHAREHOLDER indirect 1984-06-01 2001-02-22
LAZARD ASSET MANAGEMENT CANADA INC SHAREHOLDER indirect 1984-06-01 2001-02-22
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1979-06-01 2001-02-28
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1997-05-01 2001-02-28
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-03-28
LADENBURG THALMANN ASSET MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-03-28
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2001-03-28
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LIMITED indirect 2000-06-01 2001-03-29
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-05-11
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2001-05-11
CLAY FINLAY INC 100% SHAREHOLDER OF CLAY FINLAY INC. direct 2001-04-01 2001-05-16
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF UNITED ASSET MANAGEMENT direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL (SOUTH AFRICA) LTD. direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 8.71% SHAREHOLDER OF OLD MUTUAL PLC direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL (NETHERLANDS) B.V. direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL LIFE ASSURANCE CO. (SOUTH AFRICA) LIMITED direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100 SHAREHOLDER OF OM GROUP (UK) LIMITED direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL LIFE HOLDINGS (SOUTH AFRICA) LIMITED direct 2000-09-01 2001-05-17
RS GROWTH GROUP LLC LIMITED PARTNER indirect 1999-03-01 2001-05-22
RS VALUE GROUP LLC LIMITED PARTNER indirect 1999-02-01 2001-05-25
RS INVESTMENT MANAGEMENT LP LLC direct 1999-03-01 2001-05-25
RS INVESTMENT MANAGEMENT INC LLC direct 1999-03-01 2001-05-25
ACADIAN ASSET MANAGEMENT INC 100% SHAREHOLDER OF REGISTRANT direct 2001-04-01 2001-06-06
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 1993-03-01 2001-06-12
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 1999-10-01 2001-06-12
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 2000-04-01 2001-06-12
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LTD indirect 1999-04-01 2001-09-25
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1996-07-01 2001-11-28
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1996-07-01 2001-11-28
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01 2001-11-28
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1997-05-01 2001-11-28
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF CMG FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01 2001-12-03
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF CMG FIRST STATE INVESTMENTS GROUP LIMITED indirect 2000-06-01 2001-12-03
AMERICAN SKANDIA ADVISORY SERVICES, INC. INDIRECT PARENT OF APPLICANT indirect 2000-10-01 2001-12-14
JURIKA & VOYLES LP SHAREHOLDER indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP SUPERVISOR indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP SHAREHOLDER indirect 2000-10-01 2002-01-15
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 13% OF LADENBURG THALMANN FINANACIAL SERVICES direct 1999-12-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2002-01-28
REICH & TANG ASSET MANAGEMENT LP SHAREHOLDER indirect 2000-10-01 2002-01-28
REICH & TANG ASSET MANAGEMENT,LLC SHAREHOLDER indirect 2000-10-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 16.3% OF LADENBURG THALMANN FINANCIAL SERVICES direct 2001-05-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 57.6% OF LADENBURG THALMANN FINANACIAL SERVICES direct 2001-05-01 2002-01-28
RREEF AMERICA LLC AFFILIATE indirect 1998-01-01 2002-03-27
AGF PRIVATE INVESTMENT ADVISORS INC. PARENT COMPANY direct 1971-03-01 2002-05-02
BIOPHARMA CAPITAL LIMITED SHAREHOLDER indirect 2001-04-01 2002-06-17
BIOPHARMA CAPITAL LIMITED TRUST indirect 2001-04-01 2002-06-17
PROEQUITIES INC PARENT direct 1984-08-01 2002-06-25
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF CMG FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01 2002-09-25
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LTD indirect 1999-04-01 2002-09-25
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2000-06-01 2003-01-13
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2000-12-01 2003-01-13
AMERICAN SKANDIA ADVISORY SERVICES, INC. INDIRECT PARENT OF APPLICANT indirect 2000-10-01 2003-03-26
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 6 direct 1986-02-01 2003-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 7 direct 1995-03-01 2003-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 8 direct 1995-07-01 2003-03-27
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2003-03-31
BIOPHARMA CAPITAL LIMITED SHAREHOLDER direct 2001-04-01 2003-05-20
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF BANKMONT FINANCIAL CORP. indirect 1989-09-01 2003-07-31
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF ROBECO INTERNATIONAL B.V. indirect 1997-02-01 2003-09-02
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF ROBECO GROUP N.V. indirect 1997-02-01 2003-09-02
HIM MONEGY, INC. SOLE SHAREHOLDER OF BANKMONT FINANCIAL CORP. indirect 1989-09-01 2003-10-09
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2003-12-04
NEEDELMAN ASSET MANAGEMENT INC MEMBER indirect 2002-08-01 2003-12-09
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY PTY LIMITED indirect 1999-04-01 2004-01-27
THUNDER BAY CAPITAL MANAGEMENT, LP NON-VOTING LIMITED PARTNER - CALEDONIAN BANK & TRUST LIMITED TRUSTEE indirect 2003-02-01 2004-03-19
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 1995-06-01 2004-03-31
HORNBLOWER FISCHER CAPITAL MANAGEMENT CORP. SHAREHOLDER direct 2002-11-01 2004-08-10
CLAYMORE FUND MANAGEMENT COMPANY LLC INDIRECT SHAREHOLDER direct 2001-05-01 2004-08-11
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF APPLICANT direct 1999-03-01 2004-10-12
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 5 direct 1986-02-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 4 direct 1986-02-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 2 direct 1986-11-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER direct 1986-11-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 3 direct 1986-12-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 1 direct 1991-03-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 8 direct 1995-03-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 9 direct 1995-07-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 10 direct 1995-07-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 6 direct 2001-05-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 7 direct 2001-05-01 2004-12-13
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2003-10-01 2005-03-02
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 1986-02-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 9: SHAREHOLDER OF 8 direct 1995-03-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 10: SHAREHOLDER OF 9 direct 1995-07-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 11: SHAREHOLDER OF 10 direct 1995-07-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC GENERAL MEMBER indirect 2000-03-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC OWNER indirect 2001-04-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 direct 2001-05-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 8: SHAREHOLDER OF 7 direct 2001-05-01 2005-03-29
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC GENERAL MEMBER indirect 2000-03-01 2005-03-30
LAZARD ALTERNATIVES, LLC GENERAL MEMBER indirect 2000-03-01 2005-03-30
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF APPLICANT direct 2003-12-01 2005-03-30
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF THE COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 1999-04-01 2005-06-07
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL HOLDING COMPANY (NO.2) PTY LIMITED indirect 1999-04-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF THE COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 1999-04-01 2005-10-03
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL HOLDING COMPANY PTY LIMITED indirect 1999-04-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 2000-06-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2000-06-01 2005-10-03
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2006-03-31
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY (NO.2) PTY LIMITED indirect 1999-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY LIMITED indirect 1999-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC ULTIMATE HOLDING COMPANY indirect 2000-06-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2000-06-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 2005-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 2005-04-01 2006-04-10
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01 2006-06-02
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01 2006-06-07
DAISHIN INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER direct 1999-08-01 2006-06-28
STANDARD PACIFIC CAPITAL LLC MEMBER indirect 2006-01-01 2006-07-20
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2004-11-01 2006-12-04
AGF PRIVATE INVESTMENT ADVISORS INC. 100% OWNER PARENT indirect 2001-07-01 2007-02-05
CYPRESS CAPITAL MANAGEMENT US LIMITED 100% OWNER PARENT indirect 2004-06-01 2007-02-09
FIRST STATE (HONG KONG) LLC MEMBER/HOLDING COMPANY OF MANAGING MEMBER direct 1999-04-01 2007-03-07
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2005-02-01 2007-03-24
MARTIN CURRIE INC INDIRECT OWNER indirect 2001-12-01 2007-03-29
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2007-03-30
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 1986-02-01 2007-08-09
FAIRFIELD GREENWICH ADVISORS LLC SHAREHOLDER indirect 2001-10-01 2008-03-26
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 direct 1986-02-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 1986-02-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 direct 1986-11-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 indirect 1986-11-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 indirect 1986-12-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 direct 1986-12-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 2005-03-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 indirect 2005-03-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 direct 2006-01-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 indirect 2006-01-01 2008-03-27
JUNO MOTHER EARTH ASSET MANAGEMENT, LLC MEMBER direct 2007-01-01 2008-04-30
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 3: SHAREHOLDER OF 2 direct 2006-01-01 2008-06-10
HAMON US INVESTMENT ADVISORS LTD CORPORATION direct 1989-07-01 2008-07-10
HAMON U.S. INVESTMENT ADVISORS LIMITED CORPORATION indirect 1992-03-01 2008-07-10
HAMON US INVESTMENT ADVISORS LTD CORPORATION indirect 1995-12-01 2008-07-10
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. SHAREHOLDER indirect 2007-10-01 2009-06-09
AGF ASSET MANAGEMENT GROUP US LIMITED SHAREHOLDER direct 2007-10-01 2009-06-09
YORK ASSET MANAGEMENT INC. OWNER indirect 2001-05-01 2010-01-12
YORK ASSET MANAGEMENT INC. TRUSTEE indirect 2001-12-01 2010-01-12
YORK ASSET MANAGEMENT INC. OWNER direct 2009-12-01 2010-01-12
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2010-03-26
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2010-03-26
TETRAGON FINANCIAL MANAGEMENT L.P. MEMBER indirect 2005-05-01 2010-12-22
TETRAGON FINANCIAL MANAGEMENT L.P. LIMITED PARTNER direct 2005-07-01 2010-12-22
TETRAGON FINANCIAL MANAGEMENT L.P. LIMITED PARTNER indirect 2007-12-01 2010-12-22
POLYGON MANAGEMENT L.P. GENERAL PARTNER direct 2009-06-01 2010-12-22
POLYGON MANAGEMENT L.P. GENERAL PARTNER indirect 2010-06-01 2010-12-22
POLYGON MANAGEMENT L.P. LIMITED PARTNER direct 2010-06-01 2010-12-22
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 4: SHAREHOLDER OF SHAREHOLDER 3 indirect 2006-01-01 2011-03-31
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-04-01
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2011-06-30
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2010-10-01 2011-06-30
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-08-05
HIM MONEGY, INC. SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-08-08
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER direct 1989-07-01 2012-03-28
HIM MONEGY, INC. SOLE SHAREHOLDER OF HARRIS INVESTMENT MANAGEMENT, INC. indirect 1989-09-01 2012-03-30
BISCAYNEAMERICAS ADVISERS L.L.C. MEMBER OF V-HENRIQUEZ HOLDINGS, LLC indirect 2005-12-01 2012-03-30
BISCAYNEAMERICAS ADVISERS L.L.C. SHAREHOLDER OF LW INVESTMENT MANAGEMENT, LTD. indirect 2007-12-01 2012-03-30
SALLFORT ADVISORS LTD. SHAREHOLDER direct 2009-12-01 2012-04-24
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 direct 1986-02-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 2: SHAREHOLDER OF 1 direct 1991-03-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 direct 2005-03-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 2006-01-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 direct 2008-06-01 2012-07-16
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS HOLDINGS indirect 1999-04-01 2012-08-16
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER indirect 1999-04-01 2012-08-16
HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-12-01 2012-12-13
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 1997-12-01 2013-01-04
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2004-11-01 2013-01-04
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2013-01-04
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01 2013-01-18
MARTIN CURRIE INC INDIRECT SHAREHOLDER indirect 2007-11-01 2014-07-30
KYOBO LIFE ASSET MANAGEMENT (AMERICA) CO., LTD. DIRECT OWNER direct 1996-07-01 2015-01-12
CABEZON INVESTMENT GROUP, LLC OWNER indirect 2001-08-01 2015-03-31
CABEZON INVESTMENT GROUP, LLC OWNER indirect 2003-03-01 2015-03-31
GUGGENHEIM PARTNERS LATIN AMERICA, INC. MEMBER indirect 2012-10-01 2015-03-31
UBS AGRIVEST LLC SHAREHOLDER indirect 2015-08-01 2015-09-01
UBS REALTY INVESTORS LLC SHAREHOLDER indirect 2015-08-01 2015-09-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED indirect 1999-04-01 2015-09-29
RESOLVE ASSET MANAGEMENT INC. OWNER direct 2015-02-01 2015-12-11
THREESIXTY ELEMENTS S.A. OWNER direct 2015-07-01 2016-01-12
HERITAGE INSTITUTIONAL SERVICES, LLC OWNER indirect 2010-12-01 2016-04-19
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2005-01-01 2016-06-15
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01 2016-07-25
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2005-01-01 2016-10-14
SUN CAPITAL ADVISERS LLC SOLE SHAREHOLDER indirect 2004-12-01 2016-12-21
DEVERE USA INC. SHAREHOLDER indirect 2012-02-01 2017-04-26
DEVERE USA INC. SHAREHOLDER indirect 2012-02-01 2017-05-31
COSGROVE, RICHARD, T. CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP CHIEF COMPLIANCE OFFICER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2012-03-01
SOLUS GP LLC GENERAL PARTNER 04/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER direct 2007-04-01
MARTIN, SCOTT LIMITED PARTNER, EVP AND PORTFOLIO MANAGER 03/01/2012 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP EVP & PORTFOLIO MANAGER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND PORTFOLIO MANAGER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP & PORTFOLIO MANAGER direct 2012-03-01
YEAGER, GORDON LIMITED PARTNER, EVP, CHIEF RISK OFFICER AND CHIEF OPERATING OFFICER 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP MANAGING DIRECTOR, CHIEF RISK AND OPERATIONS OFFICER direct 2007-07-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP, CHIEF RISK OFFICER AND CHIEF OPERATING OFFICER direct 2010-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP, CHIEF RISK AND OPERATIONS OFFICER direct 2010-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP, CHIEF OPERATIONS AND RISK OFFICER direct 2010-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP EVP, CHIEF OPERATIONS AND RISK OFFICER direct 2010-01-01
CHASE, RICHARD, DENNIS CHIEF FINANCIAL OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAVIDSON KEMPNER ADVISERS INC CHIEF FINANCIAL OFFICER direct 2007-10-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP CHIEF FINANCIAL OFFICER direct 2016-03-01
DAVIDSON KEMPNER CAPITAL MANAGEMENT LP CHIEF FINANCIAL OFFICER direct 2007-10-01
MARTINDALE, WIGHT LIMITED PARTNER, EVP AND DIRECTOR OF BUSINESS DEVELOPMENT 03/01/2012 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP & DIRECTOR OF INVESTOR RELATIONS direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND DIRECTOR OF BUSINESS DEVELOPMENT direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND DIRECTOR OF INVESTOR RELATIONS direct 2012-03-01
BSCH A INTERMEDIATE L.P. LIMITED PARTNER BSCH MASTER I L.P. 01/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2014-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP LIMITED PARTNER indirect 2014-01-01
BSCH MASTER I L.P. LIMITED PARTNER BSCH MASTER I SUB (SOL-MGR) L.P. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2015-03-01
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2016-06-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP LIMITED PARTNER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP CLASS B PARTNER direct 2014-02-01
BSCH A (SOL-MGR) L.L.C. LIMITED PARTNER BSCH A INTERMEDIATE L.P. 03/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2015-03-01
PUCILLO, CHRISTOPHER, ANTHONY MEMBER SOLUS GP LLC 04/01/2007 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP MEMBER indirect 2007-04-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2007-04-01
STANFIELD CAPITAL PARTNERS LLC MANAGEING DIRECTOR; HEAD OF TRADING direct 2000-03-01 2001-03-26
STANFIELD CAPITAL PARTNERS LLC PARTNER; HEAD OF TRADING direct 2000-03-01 2003-02-19
STANFIELD CAPITAL PARTNERS LLC PARTNER direct 2000-03-01 2007-03-30
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2007-04-01 2007-05-15
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2007-04-01 2012-04-24
BLACKSTONE STRATEGIC CAPITAL HOLDINGS L.P. LIMITED PARTNER BSCH MASTER I L.P. 01/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2014-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP LIMITED PARTNER indirect 2014-01-01
ASF POLLOCK, L.P. LIMITED PARTNER BLACKSTONE STRATEGIC CAPITAL HOLDINGS L.P. 04/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2018-04-01
BLACKSTONE STRATEGIC CAPITAL ASSOCIATES L.L.C. GENERAL PARTNER BSCH MASTER I SUB (SOL-MGR) L.P.; BSCH MASTER I L.P.; BLACKSTONE STRATEGIC CAPITAL HOLDINGS L.P.; BSCH A INTERMEDIATE L.P. 03/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2013-10-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2014-01-01
BLACKSTONE STRATEGIC CAPITAL ASSOCIATES L.L.C. GENERAL PARTNER BLACKSTONE STRATEGIC CAPITAL HOLDINGS (CAYMAN) L.P. 03/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2013-10-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2014-01-01
BLACKSTONE STRATEGIC CAPITAL HOLDINGS (CAYMAN) L.P. SOLE MEMBER BSCH A (SOL-MGR) L.L.C. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. SOLE MEMBER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP SOLE MEMBER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP SOLE MEMBER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP SHAREHOLDER indirect 2014-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SOLUS SENIOR HIGH INCOME FUND LP United States 805-2179791096 Hedge Fund 586,607,642 150,000 Master Fund
SOLA LTD Cayman Islands 805-4270875258 Hedge Fund 1,350,087,210 1,000,000 Master Fund
SOLUS OPPORTUNITIES FUND 3 LP United States 805-3943933427 Hedge Fund 73,833,573 0
SOLUS OPPORTUNITIES FUND 4 LP United States 805-4984796535 Hedge Fund 321,180,578 500,000 Master Fund
SOLUS OPPORTUNITIES FUND 2 LP United States 805-1148011926 Hedge Fund 46,656,619 0
SOLUS OPPORTUNITIES FUND 1 LP United States 805-8353070676 Hedge Fund 77,896,435 0
ULTRA MASTER LTD Cayman Islands 805-5606372491 Hedge Fund 47,021,686 250,000 Master Fund
SOLUS OPPORTUNITIES FUND 5 LP United States 805-7960083028 Hedge Fund 294,459,166 0 Master Fund
ULTRA NB LLC United States 805-8066568221 Hedge Fund 91,378,963 0
SOLUS LONG-TERM OPPORTUNITIES FUND MASTER LP Cayman Islands 805-1154600121 Hedge Fund 1,192,252,025 250,000 Master Fund
SOLUS SPC MASTER FUND LTD Cayman Islands 805-1777941915 Hedge Fund 2,830,140 500,000 Master Fund
SOLUS CORE OPPORTUNITIES LP United States 805-6011339915 Hedge Fund 151,216,672 0

SOLUS ALTERNATIVE ASSET MANAGEMENT LP

ownership team - last updated 2022-03-31
Name Title Start Date Direct/Indirect % Ownership
PUCILLO, CHRISTOPHER, ANTHONY LIMITED PARTNER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER 04/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP MEMBER indirect 2007-04-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2007-04-01
STANFIELD CAPITAL PARTNERS LLC MANAGEING DIRECTOR; HEAD OF TRADING direct 2000-03-01 2001-03-26
STANFIELD CAPITAL PARTNERS LLC PARTNER; HEAD OF TRADING direct 2000-03-01 2003-02-19
STANFIELD CAPITAL PARTNERS LLC PARTNER direct 2000-03-01 2007-03-30
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2007-04-01 2007-05-15
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2007-04-01 2012-04-24
BSCH MASTER I SUB (SOL-MGR) L.P. LIMITED PARTNER 03/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LAJU (CAYMAN) LIMITED LISTED COMPANY indirect 1969-07-01
MARTIN CURRIE INC PARENT COMPANY direct 1978-10-01
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED PARENT COMPANY direct 1978-10-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1979-06-01
ALPHA INVESTMENT MANAGEMENT LLC SOLE SHAREHOLDER indirect 1984-05-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. SHAREHOLDER indirect 1985-06-01
CYPRESS CAPITAL MANAGEMENT US LIMITED SHAREHOLDER indirect 1985-06-01
AGF PRIVATE INVESTMENT ADVISORS INC. SHAREHOLDER indirect 1985-06-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 indirect 1986-02-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 1: SHAREHOLDER OF APPLICANT direct 1986-11-01
DAISHIN INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER direct 1988-03-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1989-07-01
BMO ASSET MANAGEMENT CORP. SOLE SHAREHOLDER OF BMO FINANCIAL CORP. indirect 1989-09-01
MONEGY, INC. SOLE SHAREHOLDER OF BMO FINANCIAL CORP. indirect 1989-09-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 2: SHAREHOLDER OF 1 indirect 1991-03-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1992-03-01
FUJI-LORD ABBETT INTERNATIONAL, LTD SHAREHOLDER direct 1992-06-01
EDINBURGH FUND MANAGERS PLC SHAREHOLDER direct 1995-04-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1995-12-01
PALADIN INVESTMENT ASSOCIATES, LLC SHAREHOLDER indirect 1995-12-01
ABERDEEN AMERICA INC. MINORITY SHAREHOLDER direct 1996-05-01
KYOBO LIFE ASSET MANAGEMENT (AMERICA) CO., LTD. SOLE MEMBER direct 1996-07-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01
MCLEAN BUDDEN LIMITED. SHAREHOLDER indirect 1997-12-01
INDOCAM INTERNATIONAL INVESTMENT SERVICES PARENT direct 1998-01-01
ASHMORE INVESTMENT MANAGEMENT LTD PARENT COMPANY direct 1999-02-01
ASHMORE INVESTMENT MANAGEMENT LTD ULTIMATE PARENT COMPANY indirect 1999-02-01
ASHMORE INVESTMENT ADVISORS LIMITED PARENT COMPANY direct 1999-02-01
ASHMORE INVESTMENT ADVISORS LIMITED ULTIMATE PARENT COMPANY indirect 1999-02-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS SINGAPORE direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED direct 1999-04-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE (HONG KONG) LLC MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FSIB LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS HOLDINGS (SINGAPORE) indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MEMBER/HOLDING COMPANY OF MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 1999-04-01
ACKER FINLEY ASSET MANAGEMENT USA INC. SHAREHOLDER direct 1999-07-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP SHAREHOLDER indirect 2000-01-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER direct 2000-02-01
LAZARD PENSION MANAGEMENT INC GENERAL MEMBER indirect 2000-03-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC GENERAL MEMBER indirect 2000-03-01
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 2000-06-01
PANGAEA ASSET MANAGEMENT, LLC MEMBER indirect 2000-06-01
ACCESS INVESTMENT ADVISORS LLC SHAREHOLDER indirect 2000-08-01
MARTIN CURRIE GLOBAL INVESTORS LIMITED PARENT COMPANY direct 2000-08-01
KOBRICK FUNDS LLC SHAREHOLDER indirect 2000-10-01
KOBRICK FUNDS LLC SUPERVISOR indirect 2000-10-01
KOBRICK FUNDS LLC SHAREHOLDER indirect 2000-10-01
LAZARD DEBT RECOVERY MANAGEMENT OWNER indirect 2001-04-01
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 2001-05-01
YORK ASSET MANAGEMENT LIMITED OWNER indirect 2001-05-01
LADENBURG THALMANN FUND MANAGEMENT LLC SHAREHOLDER indirect 2001-05-01
YORK ASSET MANAGEMENT LIMITED OWNER direct 2001-05-01
AGF PRIVATE INVESTMENT ADVISORS INC. PARENT COMPANY direct 2001-07-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP SHAREHOLDER indirect 2001-09-01
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2001-10-01
SUTRO & CO. INCORPORATED INDIRECT OWNER indirect 2001-10-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
YORK ASSET MANAGEMENT LIMITED TRUSTEE indirect 2001-12-01
BTC CAPITAL MANAGEMENT, INC. CONTROL PERSON indirect 2002-03-01
POLYGON INVESTMENTS LTD. EQUITYHOLDER direct 2002-11-01
REAL ESTATE CAPITAL PARTNERS LP OWNER indirect 2002-12-01
ALPHA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2003-01-01
ALPHA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2003-01-01
THUNDER BAY CAPITAL MANAGEMENT, LP NON - VOTING LIMITED PARTNER direct 2003-02-01
THUNDER BAY CAPITAL MANAGEMENT, LP TRUSTEE- AB 2003 TRUST direct 2003-02-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP TRUSTEE indirect 2003-05-01
AEON CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2003-07-01
BIOPHARMA CAPITAL LIMITED SHAREHOLDER direct 2003-11-01
ALPHA INVESTMENT MANAGEMENT LLC MEMBER direct 2004-01-01
REAL ESTATE CAPITAL PARTNERS LP OWNER indirect 2004-07-01
MCLEAN BUDDEN LIMITED. SHAREHOLDER indirect 2004-11-01
RYAN LABS ASSET MANAGEMENT INC. SOLE SHAREHOLDER indirect 2004-12-01
SUN LIFE INSTITUTIONAL INVESTMENTS (U.S.) LLC SOLE SHAREHOLDER indirect 2004-12-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 2005-03-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP DESIGNATED MEMBER direct 2005-03-01
BLACKSQUARE CAPITAL LLP OWNER indirect 2005-06-01
POLYGON CREDIT HOLDINGS LTD. EQUITYHOLDER direct 2005-07-01
CYPRESS CAPITAL MANAGEMENT US LIMITED PARENT COMPANY direct 2005-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 indirect 2006-01-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 3: SHAREHOLDER OF SHAREHOLDER 2 indirect 2006-01-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 2006-04-01
BOSTON ADVISORS, LLC MEMBER direct 2006-04-01
FIRST STATE (HONG KONG) LLC ULTIMATE HOLDING COMPANY indirect 2006-04-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2006-04-01
K.J. HARRISON & PARTNERS (USA) INC. CORPORATION direct 2006-12-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED indirect 2007-06-01
HIGHSTREET ASSET MANAGEMENT U.S. INC. PARENT COMPANY indirect 2007-09-01
CYPRESS CAPITAL MANAGEMENT US LIMITED 100% OWNER PARENT indirect 2007-10-01
LASAIR CAPITAL LLC CLASS B MEMBER indirect 2007-10-01
AGF PRIVATE INVESTMENT ADVISORS INC. SHAREHOLDER indirect 2007-10-01
LASAIR CAPITAL LLC MANAGING MEMBER direct 2007-10-01
CYPRESS CAPITAL MANAGEMENT US LIMITED SHAREHOLDER indirect 2007-10-01
AGF PRIVATE INVESTMENT ADVISORS INC. 100% OWNER PARENT indirect 2007-10-01
HIGHSTREET ASSET MANAGEMENT U.S. INC. PARENT COMPANY indirect 2007-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 indirect 2008-06-01
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01
HIGHSTREET U.S. ASSET MANAGEMENT INC. PARENT COMPANY direct 2009-02-01
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. DIRECT OWNER direct 2009-06-01
KESTREL PARTNERS LLP SHAREHOLDER indirect 2009-06-01
HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-12-01
FINANCIALADVICE4ME, LLC MEMBER direct 2009-12-01
HANWHA ASSET MANAGEMENT (USA) LTD. DIRECT OWNER indirect 2010-06-01
INSTITUTIONAL SHAREHOLDER SERVICES INC. GENERAL PARTNER indirect 2010-08-01
CICC INVESTMENT MANAGEMENT (USA), INC. SOLE SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SOLE SHAREHOLDER indirect 2010-11-01
NEPHILA CAPITAL LTD. SHAREHOLDER indirect 2010-12-01
NEPHILA ADVISORS LLC SHAREHOLDER indirect 2010-12-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 6: SHAREHOLDER OF SHAREHOLDER 5 indirect 2012-02-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER direct 2012-06-01
SWISS AMERICAN ADVISORS LTD. SHAREHOLDER direct 2012-06-01
ELEVAR EQUITY MANAGEMENT LIMITED OWNER direct 2012-11-01
FORTIS ADVISORS, LLC GENERAL PARTNER indirect 2013-09-01
ARGO INFRASTRUCTURE PARTNERS LLC GENERAL PARTNER indirect 2013-12-01
F&C MANAGEMENT LIMITED INDIRECT SHAREHOLDER indirect 2014-01-01
INSTITUTIONAL SHAREHOLDER SERVICES INC. OWNER indirect 2014-04-01
AQM CAPITAL LLC MEMBER direct 2014-06-01
RESOLVE ASSET MANAGEMENT INC. OWNER direct 2014-11-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2014-11-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2014-11-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2015-03-01
RYAN LABS ASSET MANAGEMENT INC. SOLE SHAREHOLDER indirect 2015-04-01
PRIME ADVISORS INC SOLE SHAREHOLDER indirect 2015-07-01
UBS OCONNOR LLC HOLDING COMPANY direct 2015-08-01
UBS ASSET MANAGEMENT (AMERICAS) INC. SHAREHOLDER indirect 2015-08-01
UBS HEDGE FUND SOLUTIONS LLC HOLDING COMPANY direct 2015-08-01
FFCM LLC MEMBER direct 2015-11-01
FFCM LLC MEMBER indirect 2015-11-01
THREESIXTY ELEMENTS S.A. SHAREHOLDER direct 2016-02-01
MAXIMAI INVESTMENT PARTNERS, LLC MANAGING MEMBER direct 2016-09-01
TILLRIDGE CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2016-12-01
BROOKFIELD SOUNDVEST CAPITAL MANAGEMENT LTD. OWNER direct 2017-01-01
HANWHA ASSET MANAGEMENT (USA) LTD. DIRECT OWNER direct 2017-02-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01 2001-01-31
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01 2001-01-31
LAZARD ASSET MANAGEMENT CANADA INC SHAREHOLDER indirect 1984-06-01 2001-02-22
LAZARD ASSET MANAGEMENT CANADA INC SHAREHOLDER indirect 1984-06-01 2001-02-22
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1979-06-01 2001-02-28
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1997-05-01 2001-02-28
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-03-28
LADENBURG THALMANN ASSET MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-03-28
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2001-03-28
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LIMITED indirect 2000-06-01 2001-03-29
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-05-11
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2001-05-11
CLAY FINLAY INC 100% SHAREHOLDER OF CLAY FINLAY INC. direct 2001-04-01 2001-05-16
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF UNITED ASSET MANAGEMENT direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL (SOUTH AFRICA) LTD. direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 8.71% SHAREHOLDER OF OLD MUTUAL PLC direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL (NETHERLANDS) B.V. direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL LIFE ASSURANCE CO. (SOUTH AFRICA) LIMITED direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100 SHAREHOLDER OF OM GROUP (UK) LIMITED direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL LIFE HOLDINGS (SOUTH AFRICA) LIMITED direct 2000-09-01 2001-05-17
RS GROWTH GROUP LLC LIMITED PARTNER indirect 1999-03-01 2001-05-22
RS VALUE GROUP LLC LIMITED PARTNER indirect 1999-02-01 2001-05-25
RS INVESTMENT MANAGEMENT LP LLC direct 1999-03-01 2001-05-25
RS INVESTMENT MANAGEMENT INC LLC direct 1999-03-01 2001-05-25
ACADIAN ASSET MANAGEMENT INC 100% SHAREHOLDER OF REGISTRANT direct 2001-04-01 2001-06-06
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 1993-03-01 2001-06-12
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 1999-10-01 2001-06-12
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 2000-04-01 2001-06-12
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LTD indirect 1999-04-01 2001-09-25
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1996-07-01 2001-11-28
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1996-07-01 2001-11-28
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01 2001-11-28
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1997-05-01 2001-11-28
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF CMG FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01 2001-12-03
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF CMG FIRST STATE INVESTMENTS GROUP LIMITED indirect 2000-06-01 2001-12-03
AMERICAN SKANDIA ADVISORY SERVICES, INC. INDIRECT PARENT OF APPLICANT indirect 2000-10-01 2001-12-14
JURIKA & VOYLES LP SHAREHOLDER indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP SUPERVISOR indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP SHAREHOLDER indirect 2000-10-01 2002-01-15
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 13% OF LADENBURG THALMANN FINANACIAL SERVICES direct 1999-12-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2002-01-28
REICH & TANG ASSET MANAGEMENT LP SHAREHOLDER indirect 2000-10-01 2002-01-28
REICH & TANG ASSET MANAGEMENT,LLC SHAREHOLDER indirect 2000-10-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 16.3% OF LADENBURG THALMANN FINANCIAL SERVICES direct 2001-05-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 57.6% OF LADENBURG THALMANN FINANACIAL SERVICES direct 2001-05-01 2002-01-28
RREEF AMERICA LLC AFFILIATE indirect 1998-01-01 2002-03-27
AGF PRIVATE INVESTMENT ADVISORS INC. PARENT COMPANY direct 1971-03-01 2002-05-02
BIOPHARMA CAPITAL LIMITED SHAREHOLDER indirect 2001-04-01 2002-06-17
BIOPHARMA CAPITAL LIMITED TRUST indirect 2001-04-01 2002-06-17
PROEQUITIES INC PARENT direct 1984-08-01 2002-06-25
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF CMG FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01 2002-09-25
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LTD indirect 1999-04-01 2002-09-25
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2000-06-01 2003-01-13
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2000-12-01 2003-01-13
AMERICAN SKANDIA ADVISORY SERVICES, INC. INDIRECT PARENT OF APPLICANT indirect 2000-10-01 2003-03-26
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 6 direct 1986-02-01 2003-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 7 direct 1995-03-01 2003-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 8 direct 1995-07-01 2003-03-27
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2003-03-31
BIOPHARMA CAPITAL LIMITED SHAREHOLDER direct 2001-04-01 2003-05-20
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF BANKMONT FINANCIAL CORP. indirect 1989-09-01 2003-07-31
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF ROBECO INTERNATIONAL B.V. indirect 1997-02-01 2003-09-02
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF ROBECO GROUP N.V. indirect 1997-02-01 2003-09-02
HIM MONEGY, INC. SOLE SHAREHOLDER OF BANKMONT FINANCIAL CORP. indirect 1989-09-01 2003-10-09
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2003-12-04
NEEDELMAN ASSET MANAGEMENT INC MEMBER indirect 2002-08-01 2003-12-09
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY PTY LIMITED indirect 1999-04-01 2004-01-27
THUNDER BAY CAPITAL MANAGEMENT, LP NON-VOTING LIMITED PARTNER - CALEDONIAN BANK & TRUST LIMITED TRUSTEE indirect 2003-02-01 2004-03-19
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 1995-06-01 2004-03-31
HORNBLOWER FISCHER CAPITAL MANAGEMENT CORP. SHAREHOLDER direct 2002-11-01 2004-08-10
CLAYMORE FUND MANAGEMENT COMPANY LLC INDIRECT SHAREHOLDER direct 2001-05-01 2004-08-11
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF APPLICANT direct 1999-03-01 2004-10-12
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 5 direct 1986-02-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 4 direct 1986-02-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 2 direct 1986-11-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER direct 1986-11-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 3 direct 1986-12-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 1 direct 1991-03-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 8 direct 1995-03-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 9 direct 1995-07-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 10 direct 1995-07-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 6 direct 2001-05-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 7 direct 2001-05-01 2004-12-13
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2003-10-01 2005-03-02
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 1986-02-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 9: SHAREHOLDER OF 8 direct 1995-03-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 10: SHAREHOLDER OF 9 direct 1995-07-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 11: SHAREHOLDER OF 10 direct 1995-07-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC GENERAL MEMBER indirect 2000-03-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC OWNER indirect 2001-04-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 direct 2001-05-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 8: SHAREHOLDER OF 7 direct 2001-05-01 2005-03-29
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC GENERAL MEMBER indirect 2000-03-01 2005-03-30
LAZARD ALTERNATIVES, LLC GENERAL MEMBER indirect 2000-03-01 2005-03-30
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF APPLICANT direct 2003-12-01 2005-03-30
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF THE COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 1999-04-01 2005-06-07
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL HOLDING COMPANY (NO.2) PTY LIMITED indirect 1999-04-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF THE COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 1999-04-01 2005-10-03
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL HOLDING COMPANY PTY LIMITED indirect 1999-04-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 2000-06-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2000-06-01 2005-10-03
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2006-03-31
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY (NO.2) PTY LIMITED indirect 1999-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY LIMITED indirect 1999-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC ULTIMATE HOLDING COMPANY indirect 2000-06-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2000-06-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 2005-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 2005-04-01 2006-04-10
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01 2006-06-02
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01 2006-06-07
DAISHIN INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER direct 1999-08-01 2006-06-28
STANDARD PACIFIC CAPITAL LLC MEMBER indirect 2006-01-01 2006-07-20
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2004-11-01 2006-12-04
AGF PRIVATE INVESTMENT ADVISORS INC. 100% OWNER PARENT indirect 2001-07-01 2007-02-05
CYPRESS CAPITAL MANAGEMENT US LIMITED 100% OWNER PARENT indirect 2004-06-01 2007-02-09
FIRST STATE (HONG KONG) LLC MEMBER/HOLDING COMPANY OF MANAGING MEMBER direct 1999-04-01 2007-03-07
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2005-02-01 2007-03-24
MARTIN CURRIE INC INDIRECT OWNER indirect 2001-12-01 2007-03-29
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2007-03-30
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 1986-02-01 2007-08-09
FAIRFIELD GREENWICH ADVISORS LLC SHAREHOLDER indirect 2001-10-01 2008-03-26
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 direct 1986-02-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 1986-02-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 direct 1986-11-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 indirect 1986-11-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 indirect 1986-12-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 direct 1986-12-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 2005-03-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 indirect 2005-03-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 direct 2006-01-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 indirect 2006-01-01 2008-03-27
JUNO MOTHER EARTH ASSET MANAGEMENT, LLC MEMBER direct 2007-01-01 2008-04-30
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 3: SHAREHOLDER OF 2 direct 2006-01-01 2008-06-10
HAMON US INVESTMENT ADVISORS LTD CORPORATION direct 1989-07-01 2008-07-10
HAMON U.S. INVESTMENT ADVISORS LIMITED CORPORATION indirect 1992-03-01 2008-07-10
HAMON US INVESTMENT ADVISORS LTD CORPORATION indirect 1995-12-01 2008-07-10
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. SHAREHOLDER indirect 2007-10-01 2009-06-09
AGF ASSET MANAGEMENT GROUP US LIMITED SHAREHOLDER direct 2007-10-01 2009-06-09
YORK ASSET MANAGEMENT INC. OWNER indirect 2001-05-01 2010-01-12
YORK ASSET MANAGEMENT INC. TRUSTEE indirect 2001-12-01 2010-01-12
YORK ASSET MANAGEMENT INC. OWNER direct 2009-12-01 2010-01-12
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2010-03-26
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2010-03-26
TETRAGON FINANCIAL MANAGEMENT L.P. MEMBER indirect 2005-05-01 2010-12-22
TETRAGON FINANCIAL MANAGEMENT L.P. LIMITED PARTNER direct 2005-07-01 2010-12-22
TETRAGON FINANCIAL MANAGEMENT L.P. LIMITED PARTNER indirect 2007-12-01 2010-12-22
POLYGON MANAGEMENT L.P. GENERAL PARTNER direct 2009-06-01 2010-12-22
POLYGON MANAGEMENT L.P. GENERAL PARTNER indirect 2010-06-01 2010-12-22
POLYGON MANAGEMENT L.P. LIMITED PARTNER direct 2010-06-01 2010-12-22
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 4: SHAREHOLDER OF SHAREHOLDER 3 indirect 2006-01-01 2011-03-31
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-04-01
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2011-06-30
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2010-10-01 2011-06-30
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-08-05
HIM MONEGY, INC. SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-08-08
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER direct 1989-07-01 2012-03-28
HIM MONEGY, INC. SOLE SHAREHOLDER OF HARRIS INVESTMENT MANAGEMENT, INC. indirect 1989-09-01 2012-03-30
BISCAYNEAMERICAS ADVISERS L.L.C. MEMBER OF V-HENRIQUEZ HOLDINGS, LLC indirect 2005-12-01 2012-03-30
BISCAYNEAMERICAS ADVISERS L.L.C. SHAREHOLDER OF LW INVESTMENT MANAGEMENT, LTD. indirect 2007-12-01 2012-03-30
SALLFORT ADVISORS LTD. SHAREHOLDER direct 2009-12-01 2012-04-24
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 direct 1986-02-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 2: SHAREHOLDER OF 1 direct 1991-03-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 direct 2005-03-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 2006-01-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 direct 2008-06-01 2012-07-16
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS HOLDINGS indirect 1999-04-01 2012-08-16
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER indirect 1999-04-01 2012-08-16
HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-12-01 2012-12-13
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 1997-12-01 2013-01-04
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2004-11-01 2013-01-04
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2013-01-04
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01 2013-01-18
MARTIN CURRIE INC INDIRECT SHAREHOLDER indirect 2007-11-01 2014-07-30
KYOBO LIFE ASSET MANAGEMENT (AMERICA) CO., LTD. DIRECT OWNER direct 1996-07-01 2015-01-12
CABEZON INVESTMENT GROUP, LLC OWNER indirect 2001-08-01 2015-03-31
CABEZON INVESTMENT GROUP, LLC OWNER indirect 2003-03-01 2015-03-31
GUGGENHEIM PARTNERS LATIN AMERICA, INC. MEMBER indirect 2012-10-01 2015-03-31
UBS AGRIVEST LLC SHAREHOLDER indirect 2015-08-01 2015-09-01
UBS REALTY INVESTORS LLC SHAREHOLDER indirect 2015-08-01 2015-09-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED indirect 1999-04-01 2015-09-29
RESOLVE ASSET MANAGEMENT INC. OWNER direct 2015-02-01 2015-12-11
THREESIXTY ELEMENTS S.A. OWNER direct 2015-07-01 2016-01-12
HERITAGE INSTITUTIONAL SERVICES, LLC OWNER indirect 2010-12-01 2016-04-19
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2005-01-01 2016-06-15
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01 2016-07-25
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2005-01-01 2016-10-14
SUN CAPITAL ADVISERS LLC SOLE SHAREHOLDER indirect 2004-12-01 2016-12-21
DEVERE USA INC. SHAREHOLDER indirect 2012-02-01 2017-04-26
DEVERE USA INC. SHAREHOLDER indirect 2012-02-01 2017-05-31
COSGROVE, RICHARD, T. CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP CHIEF COMPLIANCE OFFICER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2012-03-01
SOLUS GP LLC GENERAL PARTNER 04/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER direct 2007-04-01
MARTIN, SCOTT LIMITED PARTNER, EVP AND PORTFOLIO MANAGER 03/01/2012 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP EVP & PORTFOLIO MANAGER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND PORTFOLIO MANAGER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP & PORTFOLIO MANAGER direct 2012-03-01
YEAGER, GORDON LIMITED PARTNER, EVP, CHIEF RISK OFFICER AND CHIEF OPERATING OFFICER 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP MANAGING DIRECTOR, CHIEF RISK AND OPERATIONS OFFICER direct 2007-07-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP, CHIEF RISK OFFICER AND CHIEF OPERATING OFFICER direct 2010-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP, CHIEF RISK AND OPERATIONS OFFICER direct 2010-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP, CHIEF OPERATIONS AND RISK OFFICER direct 2010-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP EVP, CHIEF OPERATIONS AND RISK OFFICER direct 2010-01-01
CHASE, RICHARD, DENNIS CHIEF FINANCIAL OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAVIDSON KEMPNER ADVISERS INC CHIEF FINANCIAL OFFICER direct 2007-10-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP CHIEF FINANCIAL OFFICER direct 2016-03-01
DAVIDSON KEMPNER CAPITAL MANAGEMENT LP CHIEF FINANCIAL OFFICER direct 2007-10-01
MARTINDALE, WIGHT LIMITED PARTNER, EVP AND DIRECTOR OF BUSINESS DEVELOPMENT 03/01/2012 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP & DIRECTOR OF INVESTOR RELATIONS direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND DIRECTOR OF BUSINESS DEVELOPMENT direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND DIRECTOR OF INVESTOR RELATIONS direct 2012-03-01
BSCH A INTERMEDIATE L.P. LIMITED PARTNER BSCH MASTER I L.P. 01/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2014-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP LIMITED PARTNER indirect 2014-01-01
BSCH MASTER I L.P. LIMITED PARTNER BSCH MASTER I SUB (SOL-MGR) L.P. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2015-03-01
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2016-06-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP LIMITED PARTNER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP CLASS B PARTNER direct 2014-02-01
BSCH A (SOL-MGR) L.L.C. LIMITED PARTNER BSCH A INTERMEDIATE L.P. 03/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2015-03-01
PUCILLO, CHRISTOPHER, ANTHONY MEMBER SOLUS GP LLC 04/01/2007 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP MEMBER indirect 2007-04-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2007-04-01
STANFIELD CAPITAL PARTNERS LLC MANAGEING DIRECTOR; HEAD OF TRADING direct 2000-03-01 2001-03-26
STANFIELD CAPITAL PARTNERS LLC PARTNER; HEAD OF TRADING direct 2000-03-01 2003-02-19
STANFIELD CAPITAL PARTNERS LLC PARTNER direct 2000-03-01 2007-03-30
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2007-04-01 2007-05-15
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2007-04-01 2012-04-24
BLACKSTONE STRATEGIC CAPITAL HOLDINGS L.P. LIMITED PARTNER BSCH MASTER I L.P. 01/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2014-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP LIMITED PARTNER indirect 2014-01-01
ASF POLLOCK, L.P. LIMITED PARTNER BLACKSTONE STRATEGIC CAPITAL HOLDINGS L.P. 04/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2018-04-01
BLACKSTONE STRATEGIC CAPITAL ASSOCIATES L.L.C. GENERAL PARTNER BSCH MASTER I SUB (SOL-MGR) L.P.; BSCH MASTER I L.P.; BLACKSTONE STRATEGIC CAPITAL HOLDINGS L.P.; BSCH A INTERMEDIATE L.P. 03/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2013-10-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2014-01-01
BLACKSTONE STRATEGIC CAPITAL ASSOCIATES L.L.C. GENERAL PARTNER BLACKSTONE STRATEGIC CAPITAL HOLDINGS (CAYMAN) L.P. 03/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2013-10-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2014-01-01
BLACKSTONE STRATEGIC CAPITAL HOLDINGS (CAYMAN) L.P. SOLE MEMBER BSCH A (SOL-MGR) L.L.C. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. SOLE MEMBER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP SOLE MEMBER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP SOLE MEMBER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP SHAREHOLDER indirect 2014-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SOLUS SENIOR HIGH INCOME FUND LP United States 805-2179791096 Hedge Fund 586,607,642 150,000 Master Fund
SOLA LTD Cayman Islands 805-4270875258 Hedge Fund 1,350,087,210 1,000,000 Master Fund
SOLUS OPPORTUNITIES FUND 3 LP United States 805-3943933427 Hedge Fund 73,833,573 0
SOLUS OPPORTUNITIES FUND 4 LP United States 805-4984796535 Hedge Fund 321,180,578 500,000 Master Fund
SOLUS OPPORTUNITIES FUND 2 LP United States 805-1148011926 Hedge Fund 46,656,619 0
SOLUS OPPORTUNITIES FUND 1 LP United States 805-8353070676 Hedge Fund 77,896,435 0
ULTRA MASTER LTD Cayman Islands 805-5606372491 Hedge Fund 47,021,686 250,000 Master Fund
SOLUS OPPORTUNITIES FUND 5 LP United States 805-7960083028 Hedge Fund 294,459,166 0 Master Fund
ULTRA NB LLC United States 805-8066568221 Hedge Fund 91,378,963 0
SOLUS LONG-TERM OPPORTUNITIES FUND MASTER LP Cayman Islands 805-1154600121 Hedge Fund 1,192,252,025 250,000 Master Fund
SOLUS SPC MASTER FUND LTD Cayman Islands 805-1777941915 Hedge Fund 2,830,140 500,000 Master Fund
SOLUS CORE OPPORTUNITIES LP United States 805-6011339915 Hedge Fund 151,216,672 0

SOLUS ALTERNATIVE ASSET MANAGEMENT LP

ownership team - last updated 2021-04-06
Name Title Start Date Direct/Indirect % Ownership
PUCILLO, CHRISTOPHER, ANTHONY LIMITED PARTNER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER 04/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP MEMBER indirect 2007-04-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2007-04-01
STANFIELD CAPITAL PARTNERS LLC MANAGEING DIRECTOR; HEAD OF TRADING direct 2000-03-01 2001-03-26
STANFIELD CAPITAL PARTNERS LLC PARTNER; HEAD OF TRADING direct 2000-03-01 2003-02-19
STANFIELD CAPITAL PARTNERS LLC PARTNER direct 2000-03-01 2007-03-30
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2007-04-01 2007-05-15
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2007-04-01 2012-04-24
BSCH MASTER I SUB (SOL-MGR) L.P. LIMITED PARTNER 03/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LAJU (CAYMAN) LIMITED LISTED COMPANY indirect 1969-07-01
MARTIN CURRIE INC PARENT COMPANY direct 1978-10-01
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED PARENT COMPANY direct 1978-10-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1979-06-01
ALPHA INVESTMENT MANAGEMENT LLC SOLE SHAREHOLDER indirect 1984-05-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. SHAREHOLDER indirect 1985-06-01
CYPRESS CAPITAL MANAGEMENT US LIMITED SHAREHOLDER indirect 1985-06-01
AGF PRIVATE INVESTMENT ADVISORS INC. SHAREHOLDER indirect 1985-06-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 indirect 1986-02-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 1: SHAREHOLDER OF APPLICANT direct 1986-11-01
DAISHIN INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER direct 1988-03-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1989-07-01
BMO ASSET MANAGEMENT CORP. SOLE SHAREHOLDER OF BMO FINANCIAL CORP. indirect 1989-09-01
MONEGY, INC. SOLE SHAREHOLDER OF BMO FINANCIAL CORP. indirect 1989-09-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 2: SHAREHOLDER OF 1 indirect 1991-03-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1992-03-01
FUJI-LORD ABBETT INTERNATIONAL, LTD SHAREHOLDER direct 1992-06-01
EDINBURGH FUND MANAGERS PLC SHAREHOLDER direct 1995-04-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1995-12-01
PALADIN INVESTMENT ASSOCIATES, LLC SHAREHOLDER indirect 1995-12-01
ABERDEEN AMERICA INC. MINORITY SHAREHOLDER direct 1996-05-01
KYOBO LIFE ASSET MANAGEMENT (AMERICA) CO., LTD. SOLE MEMBER direct 1996-07-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01
MCLEAN BUDDEN LIMITED. SHAREHOLDER indirect 1997-12-01
INDOCAM INTERNATIONAL INVESTMENT SERVICES PARENT direct 1998-01-01
ASHMORE INVESTMENT MANAGEMENT LTD PARENT COMPANY direct 1999-02-01
ASHMORE INVESTMENT MANAGEMENT LTD ULTIMATE PARENT COMPANY indirect 1999-02-01
ASHMORE INVESTMENT ADVISORS LIMITED PARENT COMPANY direct 1999-02-01
ASHMORE INVESTMENT ADVISORS LIMITED ULTIMATE PARENT COMPANY indirect 1999-02-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS SINGAPORE direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED direct 1999-04-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE (HONG KONG) LLC MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FSIB LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS HOLDINGS (SINGAPORE) indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MEMBER/HOLDING COMPANY OF MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 1999-04-01
ACKER FINLEY ASSET MANAGEMENT USA INC. SHAREHOLDER direct 1999-07-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP SHAREHOLDER indirect 2000-01-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER direct 2000-02-01
LAZARD PENSION MANAGEMENT INC GENERAL MEMBER indirect 2000-03-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC GENERAL MEMBER indirect 2000-03-01
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 2000-06-01
PANGAEA ASSET MANAGEMENT, LLC MEMBER indirect 2000-06-01
ACCESS INVESTMENT ADVISORS LLC SHAREHOLDER indirect 2000-08-01
MARTIN CURRIE GLOBAL INVESTORS LIMITED PARENT COMPANY direct 2000-08-01
KOBRICK FUNDS LLC SHAREHOLDER indirect 2000-10-01
KOBRICK FUNDS LLC SUPERVISOR indirect 2000-10-01
KOBRICK FUNDS LLC SHAREHOLDER indirect 2000-10-01
LAZARD DEBT RECOVERY MANAGEMENT OWNER indirect 2001-04-01
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 2001-05-01
YORK ASSET MANAGEMENT LIMITED OWNER indirect 2001-05-01
LADENBURG THALMANN FUND MANAGEMENT LLC SHAREHOLDER indirect 2001-05-01
YORK ASSET MANAGEMENT LIMITED OWNER direct 2001-05-01
AGF PRIVATE INVESTMENT ADVISORS INC. PARENT COMPANY direct 2001-07-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP SHAREHOLDER indirect 2001-09-01
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2001-10-01
SUTRO & CO. INCORPORATED INDIRECT OWNER indirect 2001-10-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
YORK ASSET MANAGEMENT LIMITED TRUSTEE indirect 2001-12-01
BTC CAPITAL MANAGEMENT, INC. CONTROL PERSON indirect 2002-03-01
POLYGON INVESTMENTS LTD. EQUITYHOLDER direct 2002-11-01
REAL ESTATE CAPITAL PARTNERS LP OWNER indirect 2002-12-01
ALPHA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2003-01-01
ALPHA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2003-01-01
THUNDER BAY CAPITAL MANAGEMENT, LP NON - VOTING LIMITED PARTNER direct 2003-02-01
THUNDER BAY CAPITAL MANAGEMENT, LP TRUSTEE- AB 2003 TRUST direct 2003-02-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP TRUSTEE indirect 2003-05-01
AEON CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2003-07-01
BIOPHARMA CAPITAL LIMITED SHAREHOLDER direct 2003-11-01
ALPHA INVESTMENT MANAGEMENT LLC MEMBER direct 2004-01-01
REAL ESTATE CAPITAL PARTNERS LP OWNER indirect 2004-07-01
MCLEAN BUDDEN LIMITED. SHAREHOLDER indirect 2004-11-01
RYAN LABS ASSET MANAGEMENT INC. SOLE SHAREHOLDER indirect 2004-12-01
SUN LIFE INSTITUTIONAL INVESTMENTS (U.S.) LLC SOLE SHAREHOLDER indirect 2004-12-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 2005-03-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP DESIGNATED MEMBER direct 2005-03-01
BLACKSQUARE CAPITAL LLP OWNER indirect 2005-06-01
POLYGON CREDIT HOLDINGS LTD. EQUITYHOLDER direct 2005-07-01
CYPRESS CAPITAL MANAGEMENT US LIMITED PARENT COMPANY direct 2005-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 indirect 2006-01-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 3: SHAREHOLDER OF SHAREHOLDER 2 indirect 2006-01-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 2006-04-01
BOSTON ADVISORS, LLC MEMBER direct 2006-04-01
FIRST STATE (HONG KONG) LLC ULTIMATE HOLDING COMPANY indirect 2006-04-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2006-04-01
K.J. HARRISON & PARTNERS (USA) INC. CORPORATION direct 2006-12-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED indirect 2007-06-01
HIGHSTREET ASSET MANAGEMENT U.S. INC. PARENT COMPANY indirect 2007-09-01
CYPRESS CAPITAL MANAGEMENT US LIMITED 100% OWNER PARENT indirect 2007-10-01
LASAIR CAPITAL LLC CLASS B MEMBER indirect 2007-10-01
AGF PRIVATE INVESTMENT ADVISORS INC. SHAREHOLDER indirect 2007-10-01
LASAIR CAPITAL LLC MANAGING MEMBER direct 2007-10-01
CYPRESS CAPITAL MANAGEMENT US LIMITED SHAREHOLDER indirect 2007-10-01
AGF PRIVATE INVESTMENT ADVISORS INC. 100% OWNER PARENT indirect 2007-10-01
HIGHSTREET ASSET MANAGEMENT U.S. INC. PARENT COMPANY indirect 2007-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 indirect 2008-06-01
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01
HIGHSTREET U.S. ASSET MANAGEMENT INC. PARENT COMPANY direct 2009-02-01
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. DIRECT OWNER direct 2009-06-01
KESTREL PARTNERS LLP SHAREHOLDER indirect 2009-06-01
HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-12-01
FINANCIALADVICE4ME, LLC MEMBER direct 2009-12-01
HANWHA ASSET MANAGEMENT (USA) LTD. DIRECT OWNER indirect 2010-06-01
INSTITUTIONAL SHAREHOLDER SERVICES INC. GENERAL PARTNER indirect 2010-08-01
CICC INVESTMENT MANAGEMENT (USA), INC. SOLE SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SOLE SHAREHOLDER indirect 2010-11-01
NEPHILA CAPITAL LTD. SHAREHOLDER indirect 2010-12-01
NEPHILA ADVISORS LLC SHAREHOLDER indirect 2010-12-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 6: SHAREHOLDER OF SHAREHOLDER 5 indirect 2012-02-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER direct 2012-06-01
SWISS AMERICAN ADVISORS LTD. SHAREHOLDER direct 2012-06-01
ELEVAR EQUITY MANAGEMENT LIMITED OWNER direct 2012-11-01
FORTIS ADVISORS, LLC GENERAL PARTNER indirect 2013-09-01
ARGO INFRASTRUCTURE PARTNERS LLC GENERAL PARTNER indirect 2013-12-01
F&C MANAGEMENT LIMITED INDIRECT SHAREHOLDER indirect 2014-01-01
INSTITUTIONAL SHAREHOLDER SERVICES INC. OWNER indirect 2014-04-01
AQM CAPITAL LLC MEMBER direct 2014-06-01
RESOLVE ASSET MANAGEMENT INC. OWNER direct 2014-11-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2014-11-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2014-11-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2015-03-01
RYAN LABS ASSET MANAGEMENT INC. SOLE SHAREHOLDER indirect 2015-04-01
PRIME ADVISORS INC SOLE SHAREHOLDER indirect 2015-07-01
UBS OCONNOR LLC HOLDING COMPANY direct 2015-08-01
UBS ASSET MANAGEMENT (AMERICAS) INC. SHAREHOLDER indirect 2015-08-01
UBS HEDGE FUND SOLUTIONS LLC HOLDING COMPANY direct 2015-08-01
FFCM LLC MEMBER direct 2015-11-01
FFCM LLC MEMBER indirect 2015-11-01
THREESIXTY ELEMENTS S.A. SHAREHOLDER direct 2016-02-01
MAXIMAI INVESTMENT PARTNERS, LLC MANAGING MEMBER direct 2016-09-01
TILLRIDGE CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2016-12-01
BROOKFIELD SOUNDVEST CAPITAL MANAGEMENT LTD. OWNER direct 2017-01-01
HANWHA ASSET MANAGEMENT (USA) LTD. DIRECT OWNER direct 2017-02-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01 2001-01-31
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01 2001-01-31
LAZARD ASSET MANAGEMENT CANADA INC SHAREHOLDER indirect 1984-06-01 2001-02-22
LAZARD ASSET MANAGEMENT CANADA INC SHAREHOLDER indirect 1984-06-01 2001-02-22
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1979-06-01 2001-02-28
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1997-05-01 2001-02-28
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-03-28
LADENBURG THALMANN ASSET MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-03-28
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2001-03-28
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LIMITED indirect 2000-06-01 2001-03-29
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-05-11
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2001-05-11
CLAY FINLAY INC 100% SHAREHOLDER OF CLAY FINLAY INC. direct 2001-04-01 2001-05-16
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF UNITED ASSET MANAGEMENT direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL (SOUTH AFRICA) LTD. direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 8.71% SHAREHOLDER OF OLD MUTUAL PLC direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL (NETHERLANDS) B.V. direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL LIFE ASSURANCE CO. (SOUTH AFRICA) LIMITED direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100 SHAREHOLDER OF OM GROUP (UK) LIMITED direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL LIFE HOLDINGS (SOUTH AFRICA) LIMITED direct 2000-09-01 2001-05-17
RS GROWTH GROUP LLC LIMITED PARTNER indirect 1999-03-01 2001-05-22
RS VALUE GROUP LLC LIMITED PARTNER indirect 1999-02-01 2001-05-25
RS INVESTMENT MANAGEMENT LP LLC direct 1999-03-01 2001-05-25
RS INVESTMENT MANAGEMENT INC LLC direct 1999-03-01 2001-05-25
ACADIAN ASSET MANAGEMENT INC 100% SHAREHOLDER OF REGISTRANT direct 2001-04-01 2001-06-06
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 1993-03-01 2001-06-12
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 1999-10-01 2001-06-12
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 2000-04-01 2001-06-12
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LTD indirect 1999-04-01 2001-09-25
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1996-07-01 2001-11-28
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1996-07-01 2001-11-28
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01 2001-11-28
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1997-05-01 2001-11-28
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF CMG FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01 2001-12-03
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF CMG FIRST STATE INVESTMENTS GROUP LIMITED indirect 2000-06-01 2001-12-03
AMERICAN SKANDIA ADVISORY SERVICES, INC. INDIRECT PARENT OF APPLICANT indirect 2000-10-01 2001-12-14
JURIKA & VOYLES LP SHAREHOLDER indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP SUPERVISOR indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP SHAREHOLDER indirect 2000-10-01 2002-01-15
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 13% OF LADENBURG THALMANN FINANACIAL SERVICES direct 1999-12-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2002-01-28
REICH & TANG ASSET MANAGEMENT LP SHAREHOLDER indirect 2000-10-01 2002-01-28
REICH & TANG ASSET MANAGEMENT,LLC SHAREHOLDER indirect 2000-10-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 16.3% OF LADENBURG THALMANN FINANCIAL SERVICES direct 2001-05-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 57.6% OF LADENBURG THALMANN FINANACIAL SERVICES direct 2001-05-01 2002-01-28
RREEF AMERICA LLC AFFILIATE indirect 1998-01-01 2002-03-27
AGF PRIVATE INVESTMENT ADVISORS INC. PARENT COMPANY direct 1971-03-01 2002-05-02
BIOPHARMA CAPITAL LIMITED SHAREHOLDER indirect 2001-04-01 2002-06-17
BIOPHARMA CAPITAL LIMITED TRUST indirect 2001-04-01 2002-06-17
PROEQUITIES INC PARENT direct 1984-08-01 2002-06-25
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF CMG FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01 2002-09-25
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LTD indirect 1999-04-01 2002-09-25
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2000-06-01 2003-01-13
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2000-12-01 2003-01-13
AMERICAN SKANDIA ADVISORY SERVICES, INC. INDIRECT PARENT OF APPLICANT indirect 2000-10-01 2003-03-26
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 6 direct 1986-02-01 2003-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 7 direct 1995-03-01 2003-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 8 direct 1995-07-01 2003-03-27
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2003-03-31
BIOPHARMA CAPITAL LIMITED SHAREHOLDER direct 2001-04-01 2003-05-20
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF BANKMONT FINANCIAL CORP. indirect 1989-09-01 2003-07-31
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF ROBECO INTERNATIONAL B.V. indirect 1997-02-01 2003-09-02
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF ROBECO GROUP N.V. indirect 1997-02-01 2003-09-02
HIM MONEGY, INC. SOLE SHAREHOLDER OF BANKMONT FINANCIAL CORP. indirect 1989-09-01 2003-10-09
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2003-12-04
NEEDELMAN ASSET MANAGEMENT INC MEMBER indirect 2002-08-01 2003-12-09
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY PTY LIMITED indirect 1999-04-01 2004-01-27
THUNDER BAY CAPITAL MANAGEMENT, LP NON-VOTING LIMITED PARTNER - CALEDONIAN BANK & TRUST LIMITED TRUSTEE indirect 2003-02-01 2004-03-19
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 1995-06-01 2004-03-31
HORNBLOWER FISCHER CAPITAL MANAGEMENT CORP. SHAREHOLDER direct 2002-11-01 2004-08-10
CLAYMORE FUND MANAGEMENT COMPANY LLC INDIRECT SHAREHOLDER direct 2001-05-01 2004-08-11
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF APPLICANT direct 1999-03-01 2004-10-12
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 5 direct 1986-02-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 4 direct 1986-02-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 2 direct 1986-11-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER direct 1986-11-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 3 direct 1986-12-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 1 direct 1991-03-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 8 direct 1995-03-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 9 direct 1995-07-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 10 direct 1995-07-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 6 direct 2001-05-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 7 direct 2001-05-01 2004-12-13
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2003-10-01 2005-03-02
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 1986-02-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 9: SHAREHOLDER OF 8 direct 1995-03-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 10: SHAREHOLDER OF 9 direct 1995-07-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 11: SHAREHOLDER OF 10 direct 1995-07-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC GENERAL MEMBER indirect 2000-03-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC OWNER indirect 2001-04-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 direct 2001-05-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 8: SHAREHOLDER OF 7 direct 2001-05-01 2005-03-29
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC GENERAL MEMBER indirect 2000-03-01 2005-03-30
LAZARD ALTERNATIVES, LLC GENERAL MEMBER indirect 2000-03-01 2005-03-30
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF APPLICANT direct 2003-12-01 2005-03-30
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF THE COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 1999-04-01 2005-06-07
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL HOLDING COMPANY (NO.2) PTY LIMITED indirect 1999-04-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF THE COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 1999-04-01 2005-10-03
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL HOLDING COMPANY PTY LIMITED indirect 1999-04-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 2000-06-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2000-06-01 2005-10-03
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2006-03-31
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY (NO.2) PTY LIMITED indirect 1999-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY LIMITED indirect 1999-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC ULTIMATE HOLDING COMPANY indirect 2000-06-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2000-06-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 2005-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 2005-04-01 2006-04-10
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01 2006-06-02
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01 2006-06-07
DAISHIN INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER direct 1999-08-01 2006-06-28
STANDARD PACIFIC CAPITAL LLC MEMBER indirect 2006-01-01 2006-07-20
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2004-11-01 2006-12-04
AGF PRIVATE INVESTMENT ADVISORS INC. 100% OWNER PARENT indirect 2001-07-01 2007-02-05
CYPRESS CAPITAL MANAGEMENT US LIMITED 100% OWNER PARENT indirect 2004-06-01 2007-02-09
FIRST STATE (HONG KONG) LLC MEMBER/HOLDING COMPANY OF MANAGING MEMBER direct 1999-04-01 2007-03-07
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2005-02-01 2007-03-24
MARTIN CURRIE INC INDIRECT OWNER indirect 2001-12-01 2007-03-29
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2007-03-30
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 1986-02-01 2007-08-09
FAIRFIELD GREENWICH ADVISORS LLC SHAREHOLDER indirect 2001-10-01 2008-03-26
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 direct 1986-02-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 1986-02-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 direct 1986-11-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 indirect 1986-11-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 indirect 1986-12-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 direct 1986-12-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 2005-03-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 indirect 2005-03-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 direct 2006-01-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 indirect 2006-01-01 2008-03-27
JUNO MOTHER EARTH ASSET MANAGEMENT, LLC MEMBER direct 2007-01-01 2008-04-30
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 3: SHAREHOLDER OF 2 direct 2006-01-01 2008-06-10
HAMON US INVESTMENT ADVISORS LTD CORPORATION direct 1989-07-01 2008-07-10
HAMON U.S. INVESTMENT ADVISORS LIMITED CORPORATION indirect 1992-03-01 2008-07-10
HAMON US INVESTMENT ADVISORS LTD CORPORATION indirect 1995-12-01 2008-07-10
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. SHAREHOLDER indirect 2007-10-01 2009-06-09
AGF ASSET MANAGEMENT GROUP US LIMITED SHAREHOLDER direct 2007-10-01 2009-06-09
YORK ASSET MANAGEMENT INC. OWNER indirect 2001-05-01 2010-01-12
YORK ASSET MANAGEMENT INC. TRUSTEE indirect 2001-12-01 2010-01-12
YORK ASSET MANAGEMENT INC. OWNER direct 2009-12-01 2010-01-12
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2010-03-26
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2010-03-26
TETRAGON FINANCIAL MANAGEMENT L.P. MEMBER indirect 2005-05-01 2010-12-22
TETRAGON FINANCIAL MANAGEMENT L.P. LIMITED PARTNER direct 2005-07-01 2010-12-22
TETRAGON FINANCIAL MANAGEMENT L.P. LIMITED PARTNER indirect 2007-12-01 2010-12-22
POLYGON MANAGEMENT L.P. GENERAL PARTNER direct 2009-06-01 2010-12-22
POLYGON MANAGEMENT L.P. GENERAL PARTNER indirect 2010-06-01 2010-12-22
POLYGON MANAGEMENT L.P. LIMITED PARTNER direct 2010-06-01 2010-12-22
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 4: SHAREHOLDER OF SHAREHOLDER 3 indirect 2006-01-01 2011-03-31
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-04-01
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2011-06-30
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2010-10-01 2011-06-30
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-08-05
HIM MONEGY, INC. SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-08-08
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER direct 1989-07-01 2012-03-28
HIM MONEGY, INC. SOLE SHAREHOLDER OF HARRIS INVESTMENT MANAGEMENT, INC. indirect 1989-09-01 2012-03-30
BISCAYNEAMERICAS ADVISERS L.L.C. MEMBER OF V-HENRIQUEZ HOLDINGS, LLC indirect 2005-12-01 2012-03-30
BISCAYNEAMERICAS ADVISERS L.L.C. SHAREHOLDER OF LW INVESTMENT MANAGEMENT, LTD. indirect 2007-12-01 2012-03-30
SALLFORT ADVISORS LTD. SHAREHOLDER direct 2009-12-01 2012-04-24
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 direct 1986-02-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 2: SHAREHOLDER OF 1 direct 1991-03-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 direct 2005-03-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 2006-01-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 direct 2008-06-01 2012-07-16
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS HOLDINGS indirect 1999-04-01 2012-08-16
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER indirect 1999-04-01 2012-08-16
HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-12-01 2012-12-13
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 1997-12-01 2013-01-04
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2004-11-01 2013-01-04
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2013-01-04
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01 2013-01-18
MARTIN CURRIE INC INDIRECT SHAREHOLDER indirect 2007-11-01 2014-07-30
KYOBO LIFE ASSET MANAGEMENT (AMERICA) CO., LTD. DIRECT OWNER direct 1996-07-01 2015-01-12
CABEZON INVESTMENT GROUP, LLC OWNER indirect 2001-08-01 2015-03-31
CABEZON INVESTMENT GROUP, LLC OWNER indirect 2003-03-01 2015-03-31
GUGGENHEIM PARTNERS LATIN AMERICA, INC. MEMBER indirect 2012-10-01 2015-03-31
UBS AGRIVEST LLC SHAREHOLDER indirect 2015-08-01 2015-09-01
UBS REALTY INVESTORS LLC SHAREHOLDER indirect 2015-08-01 2015-09-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED indirect 1999-04-01 2015-09-29
RESOLVE ASSET MANAGEMENT INC. OWNER direct 2015-02-01 2015-12-11
THREESIXTY ELEMENTS S.A. OWNER direct 2015-07-01 2016-01-12
HERITAGE INSTITUTIONAL SERVICES, LLC OWNER indirect 2010-12-01 2016-04-19
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2005-01-01 2016-06-15
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01 2016-07-25
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2005-01-01 2016-10-14
SUN CAPITAL ADVISERS LLC SOLE SHAREHOLDER indirect 2004-12-01 2016-12-21
DEVERE USA INC. SHAREHOLDER indirect 2012-02-01 2017-04-26
DEVERE USA INC. SHAREHOLDER indirect 2012-02-01 2017-05-31
COSGROVE, RICHARD, T. CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP CHIEF COMPLIANCE OFFICER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2012-03-01
SOLUS GP LLC GENERAL PARTNER 04/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER direct 2007-04-01
MARTIN, SCOTT LIMITED PARTNER, EVP AND PORTFOLIO MANAGER 03/01/2012 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP EVP & PORTFOLIO MANAGER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND PORTFOLIO MANAGER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP & PORTFOLIO MANAGER direct 2012-03-01
YEAGER, GORDON LIMITED PARTNER, EVP, CHIEF RISK OFFICER AND CHIEF OPERATING OFFICER 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP MANAGING DIRECTOR, CHIEF RISK AND OPERATIONS OFFICER direct 2007-07-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP, CHIEF RISK OFFICER AND CHIEF OPERATING OFFICER direct 2010-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP, CHIEF RISK AND OPERATIONS OFFICER direct 2010-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP, CHIEF OPERATIONS AND RISK OFFICER direct 2010-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP EVP, CHIEF OPERATIONS AND RISK OFFICER direct 2010-01-01
CHASE, RICHARD, DENNIS CHIEF FINANCIAL OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAVIDSON KEMPNER ADVISERS INC CHIEF FINANCIAL OFFICER direct 2007-10-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP CHIEF FINANCIAL OFFICER direct 2016-03-01
DAVIDSON KEMPNER CAPITAL MANAGEMENT LP CHIEF FINANCIAL OFFICER direct 2007-10-01
MARTINDALE, WIGHT LIMITED PARTNER, EVP AND DIRECTOR OF BUSINESS DEVELOPMENT 03/01/2012 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP & DIRECTOR OF INVESTOR RELATIONS direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND DIRECTOR OF BUSINESS DEVELOPMENT direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND DIRECTOR OF INVESTOR RELATIONS direct 2012-03-01
BSCH A INTERMEDIATE L.P. LIMITED PARTNER BSCH MASTER I L.P. 01/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2014-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP LIMITED PARTNER indirect 2014-01-01
BSCH MASTER I L.P. LIMITED PARTNER BSCH MASTER I SUB (SOL-MGR) L.P. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2015-03-01
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2016-06-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP LIMITED PARTNER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP CLASS B PARTNER direct 2014-02-01
BSCH A (SOL-MGR) L.L.C. LIMITED PARTNER BSCH A INTERMEDIATE L.P. 03/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2015-03-01
PUCILLO, CHRISTOPHER, ANTHONY MEMBER SOLUS GP LLC 04/01/2007 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP MEMBER indirect 2007-04-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2007-04-01
STANFIELD CAPITAL PARTNERS LLC MANAGEING DIRECTOR; HEAD OF TRADING direct 2000-03-01 2001-03-26
STANFIELD CAPITAL PARTNERS LLC PARTNER; HEAD OF TRADING direct 2000-03-01 2003-02-19
STANFIELD CAPITAL PARTNERS LLC PARTNER direct 2000-03-01 2007-03-30
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2007-04-01 2007-05-15
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2007-04-01 2012-04-24
BLACKSTONE STRATEGIC CAPITAL HOLDINGS L.P. LIMITED PARTNER BSCH MASTER I L.P. 01/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2014-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP LIMITED PARTNER indirect 2014-01-01
ASF POLLOCK, L.P. LIMITED PARTNER BLACKSTONE STRATEGIC CAPITAL HOLDINGS L.P. 04/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2018-04-01
BLACKSTONE STRATEGIC CAPITAL ASSOCIATES L.L.C. GENERAL PARTNER BSCH MASTER I SUB (SOL-MGR) L.P.; BSCH MASTER I L.P.; BLACKSTONE STRATEGIC CAPITAL HOLDINGS L.P.; BSCH A INTERMEDIATE L.P. 03/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2013-10-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2014-01-01
BLACKSTONE STRATEGIC CAPITAL ASSOCIATES L.L.C. GENERAL PARTNER BLACKSTONE STRATEGIC CAPITAL HOLDINGS (CAYMAN) L.P. 03/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2013-10-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2014-01-01
BLACKSTONE STRATEGIC CAPITAL HOLDINGS (CAYMAN) L.P. SOLE MEMBER BSCH A (SOL-MGR) L.L.C. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. SOLE MEMBER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP SOLE MEMBER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP SOLE MEMBER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP SHAREHOLDER indirect 2014-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SOLUS SENIOR HIGH INCOME FUND LP United States 805-2179791096 Hedge Fund 599,417,930 150,000 Master Fund
SOLA LTD Cayman Islands 805-4270875258 Hedge Fund 1,384,130,102 1,000,000 Master Fund
SOLUS OPPORTUNITIES FUND 3 LP United States 805-3943933427 Hedge Fund 87,900,357 0
SOLUS OPPORTUNITIES FUND 4 LP United States 805-4984796535 Hedge Fund 381,065,056 500,000 Master Fund
SOLUS OPPORTUNITIES FUND 2 LP United States 805-1148011926 Hedge Fund 48,008,948 0
SOLUS OPPORTUNITIES FUND 1 LP United States 805-8353070676 Hedge Fund 100,610,364 0
ULTRA MASTER LTD Cayman Islands 805-5606372491 Hedge Fund 54,751,677 250,000 Master Fund
SOLUS OPPORTUNITIES FUND 5 LP United States 805-7960083028 Hedge Fund 363,083,834 0 Master Fund
ULTRA NB LLC United States 805-8066568221 Hedge Fund 78,356,992 0
SOLUS LONG-TERM OPPORTUNITIES FUND MASTER LP Cayman Islands 805-1154600121 Hedge Fund 928,584,464 250,000 Master Fund
SOLUS SPC MASTER FUND LTD Cayman Islands 805-1777941915 Hedge Fund 21,381,256 500,000 Master Fund
SOLUS CORE OPPORTUNITIES LP United States 805-6011339915 Hedge Fund 136,589,157 0

SOLUS ALTERNATIVE ASSET MANAGEMENT LP

ownership team - last updated 2021-03-31
Name Title Start Date Direct/Indirect % Ownership
PUCILLO, CHRISTOPHER, ANTHONY LIMITED PARTNER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER 04/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP MEMBER indirect 2007-04-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2007-04-01
STANFIELD CAPITAL PARTNERS LLC MANAGEING DIRECTOR; HEAD OF TRADING direct 2000-03-01 2001-03-26
STANFIELD CAPITAL PARTNERS LLC PARTNER; HEAD OF TRADING direct 2000-03-01 2003-02-19
STANFIELD CAPITAL PARTNERS LLC PARTNER direct 2000-03-01 2007-03-30
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2007-04-01 2007-05-15
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2007-04-01 2012-04-24
BSCH MASTER I SUB (SOL-MGR) L.P. LIMITED PARTNER 03/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LAJU (CAYMAN) LIMITED LISTED COMPANY indirect 1969-07-01
MARTIN CURRIE INC PARENT COMPANY direct 1978-10-01
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED PARENT COMPANY direct 1978-10-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1979-06-01
ALPHA INVESTMENT MANAGEMENT LLC SOLE SHAREHOLDER indirect 1984-05-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. SHAREHOLDER indirect 1985-06-01
CYPRESS CAPITAL MANAGEMENT US LIMITED SHAREHOLDER indirect 1985-06-01
AGF PRIVATE INVESTMENT ADVISORS INC. SHAREHOLDER indirect 1985-06-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 indirect 1986-02-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 1: SHAREHOLDER OF APPLICANT direct 1986-11-01
DAISHIN INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER direct 1988-03-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1989-07-01
BMO ASSET MANAGEMENT CORP. SOLE SHAREHOLDER OF BMO FINANCIAL CORP. indirect 1989-09-01
MONEGY, INC. SOLE SHAREHOLDER OF BMO FINANCIAL CORP. indirect 1989-09-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 2: SHAREHOLDER OF 1 indirect 1991-03-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1992-03-01
FUJI-LORD ABBETT INTERNATIONAL, LTD SHAREHOLDER direct 1992-06-01
EDINBURGH FUND MANAGERS PLC SHAREHOLDER direct 1995-04-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1995-12-01
PALADIN INVESTMENT ASSOCIATES, LLC SHAREHOLDER indirect 1995-12-01
ABERDEEN AMERICA INC. MINORITY SHAREHOLDER direct 1996-05-01
KYOBO LIFE ASSET MANAGEMENT (AMERICA) CO., LTD. SOLE MEMBER direct 1996-07-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01
MCLEAN BUDDEN LIMITED. SHAREHOLDER indirect 1997-12-01
INDOCAM INTERNATIONAL INVESTMENT SERVICES PARENT direct 1998-01-01
ASHMORE INVESTMENT MANAGEMENT LTD PARENT COMPANY direct 1999-02-01
ASHMORE INVESTMENT MANAGEMENT LTD ULTIMATE PARENT COMPANY indirect 1999-02-01
ASHMORE INVESTMENT ADVISORS LIMITED PARENT COMPANY direct 1999-02-01
ASHMORE INVESTMENT ADVISORS LIMITED ULTIMATE PARENT COMPANY indirect 1999-02-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS SINGAPORE direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED direct 1999-04-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE (HONG KONG) LLC MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FSIB LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS HOLDINGS (SINGAPORE) indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MEMBER/HOLDING COMPANY OF MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 1999-04-01
ACKER FINLEY ASSET MANAGEMENT USA INC. SHAREHOLDER direct 1999-07-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP SHAREHOLDER indirect 2000-01-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER direct 2000-02-01
LAZARD PENSION MANAGEMENT INC GENERAL MEMBER indirect 2000-03-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC GENERAL MEMBER indirect 2000-03-01
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 2000-06-01
PANGAEA ASSET MANAGEMENT, LLC MEMBER indirect 2000-06-01
ACCESS INVESTMENT ADVISORS LLC SHAREHOLDER indirect 2000-08-01
MARTIN CURRIE GLOBAL INVESTORS LIMITED PARENT COMPANY direct 2000-08-01
KOBRICK FUNDS LLC SHAREHOLDER indirect 2000-10-01
KOBRICK FUNDS LLC SUPERVISOR indirect 2000-10-01
KOBRICK FUNDS LLC SHAREHOLDER indirect 2000-10-01
LAZARD DEBT RECOVERY MANAGEMENT OWNER indirect 2001-04-01
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 2001-05-01
YORK ASSET MANAGEMENT LIMITED OWNER indirect 2001-05-01
LADENBURG THALMANN FUND MANAGEMENT LLC SHAREHOLDER indirect 2001-05-01
YORK ASSET MANAGEMENT LIMITED OWNER direct 2001-05-01
AGF PRIVATE INVESTMENT ADVISORS INC. PARENT COMPANY direct 2001-07-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP SHAREHOLDER indirect 2001-09-01
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2001-10-01
SUTRO & CO. INCORPORATED INDIRECT OWNER indirect 2001-10-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
YORK ASSET MANAGEMENT LIMITED TRUSTEE indirect 2001-12-01
BTC CAPITAL MANAGEMENT, INC. CONTROL PERSON indirect 2002-03-01
POLYGON INVESTMENTS LTD. EQUITYHOLDER direct 2002-11-01
REAL ESTATE CAPITAL PARTNERS LP OWNER indirect 2002-12-01
ALPHA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2003-01-01
ALPHA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2003-01-01
THUNDER BAY CAPITAL MANAGEMENT, LP NON - VOTING LIMITED PARTNER direct 2003-02-01
THUNDER BAY CAPITAL MANAGEMENT, LP TRUSTEE- AB 2003 TRUST direct 2003-02-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP TRUSTEE indirect 2003-05-01
AEON CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2003-07-01
BIOPHARMA CAPITAL LIMITED SHAREHOLDER direct 2003-11-01
ALPHA INVESTMENT MANAGEMENT LLC MEMBER direct 2004-01-01
REAL ESTATE CAPITAL PARTNERS LP OWNER indirect 2004-07-01
MCLEAN BUDDEN LIMITED. SHAREHOLDER indirect 2004-11-01
RYAN LABS ASSET MANAGEMENT INC. SOLE SHAREHOLDER indirect 2004-12-01
SUN LIFE INSTITUTIONAL INVESTMENTS (U.S.) LLC SOLE SHAREHOLDER indirect 2004-12-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 2005-03-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP DESIGNATED MEMBER direct 2005-03-01
BLACKSQUARE CAPITAL LLP OWNER indirect 2005-06-01
POLYGON CREDIT HOLDINGS LTD. EQUITYHOLDER direct 2005-07-01
CYPRESS CAPITAL MANAGEMENT US LIMITED PARENT COMPANY direct 2005-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 indirect 2006-01-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 3: SHAREHOLDER OF SHAREHOLDER 2 indirect 2006-01-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 2006-04-01
BOSTON ADVISORS, LLC MEMBER direct 2006-04-01
FIRST STATE (HONG KONG) LLC ULTIMATE HOLDING COMPANY indirect 2006-04-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2006-04-01
K.J. HARRISON & PARTNERS (USA) INC. CORPORATION direct 2006-12-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED indirect 2007-06-01
HIGHSTREET ASSET MANAGEMENT U.S. INC. PARENT COMPANY indirect 2007-09-01
CYPRESS CAPITAL MANAGEMENT US LIMITED 100% OWNER PARENT indirect 2007-10-01
LASAIR CAPITAL LLC CLASS B MEMBER indirect 2007-10-01
AGF PRIVATE INVESTMENT ADVISORS INC. SHAREHOLDER indirect 2007-10-01
LASAIR CAPITAL LLC MANAGING MEMBER direct 2007-10-01
CYPRESS CAPITAL MANAGEMENT US LIMITED SHAREHOLDER indirect 2007-10-01
AGF PRIVATE INVESTMENT ADVISORS INC. 100% OWNER PARENT indirect 2007-10-01
HIGHSTREET ASSET MANAGEMENT U.S. INC. PARENT COMPANY indirect 2007-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 indirect 2008-06-01
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01
HIGHSTREET U.S. ASSET MANAGEMENT INC. PARENT COMPANY direct 2009-02-01
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. DIRECT OWNER direct 2009-06-01
KESTREL PARTNERS LLP SHAREHOLDER indirect 2009-06-01
HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-12-01
FINANCIALADVICE4ME, LLC MEMBER direct 2009-12-01
HANWHA ASSET MANAGEMENT (USA) LTD. DIRECT OWNER indirect 2010-06-01
INSTITUTIONAL SHAREHOLDER SERVICES INC. GENERAL PARTNER indirect 2010-08-01
CICC INVESTMENT MANAGEMENT (USA), INC. SOLE SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SOLE SHAREHOLDER indirect 2010-11-01
NEPHILA CAPITAL LTD. SHAREHOLDER indirect 2010-12-01
NEPHILA ADVISORS LLC SHAREHOLDER indirect 2010-12-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 6: SHAREHOLDER OF SHAREHOLDER 5 indirect 2012-02-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER direct 2012-06-01
SWISS AMERICAN ADVISORS LTD. SHAREHOLDER direct 2012-06-01
ELEVAR EQUITY MANAGEMENT LIMITED OWNER direct 2012-11-01
FORTIS ADVISORS, LLC GENERAL PARTNER indirect 2013-09-01
ARGO INFRASTRUCTURE PARTNERS LLC GENERAL PARTNER indirect 2013-12-01
F&C MANAGEMENT LIMITED INDIRECT SHAREHOLDER indirect 2014-01-01
INSTITUTIONAL SHAREHOLDER SERVICES INC. OWNER indirect 2014-04-01
AQM CAPITAL LLC MEMBER direct 2014-06-01
RESOLVE ASSET MANAGEMENT INC. OWNER direct 2014-11-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2014-11-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2014-11-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2015-03-01
RYAN LABS ASSET MANAGEMENT INC. SOLE SHAREHOLDER indirect 2015-04-01
PRIME ADVISORS INC SOLE SHAREHOLDER indirect 2015-07-01
UBS OCONNOR LLC HOLDING COMPANY direct 2015-08-01
UBS ASSET MANAGEMENT (AMERICAS) INC. SHAREHOLDER indirect 2015-08-01
UBS HEDGE FUND SOLUTIONS LLC HOLDING COMPANY direct 2015-08-01
FFCM LLC MEMBER direct 2015-11-01
FFCM LLC MEMBER indirect 2015-11-01
THREESIXTY ELEMENTS S.A. SHAREHOLDER direct 2016-02-01
MAXIMAI INVESTMENT PARTNERS, LLC MANAGING MEMBER direct 2016-09-01
TILLRIDGE CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2016-12-01
BROOKFIELD SOUNDVEST CAPITAL MANAGEMENT LTD. OWNER direct 2017-01-01
HANWHA ASSET MANAGEMENT (USA) LTD. DIRECT OWNER direct 2017-02-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01 2001-01-31
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01 2001-01-31
LAZARD ASSET MANAGEMENT CANADA INC SHAREHOLDER indirect 1984-06-01 2001-02-22
LAZARD ASSET MANAGEMENT CANADA INC SHAREHOLDER indirect 1984-06-01 2001-02-22
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1979-06-01 2001-02-28
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1997-05-01 2001-02-28
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-03-28
LADENBURG THALMANN ASSET MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-03-28
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2001-03-28
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LIMITED indirect 2000-06-01 2001-03-29
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-05-11
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2001-05-11
CLAY FINLAY INC 100% SHAREHOLDER OF CLAY FINLAY INC. direct 2001-04-01 2001-05-16
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF UNITED ASSET MANAGEMENT direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL (SOUTH AFRICA) LTD. direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 8.71% SHAREHOLDER OF OLD MUTUAL PLC direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL (NETHERLANDS) B.V. direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL LIFE ASSURANCE CO. (SOUTH AFRICA) LIMITED direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100 SHAREHOLDER OF OM GROUP (UK) LIMITED direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL LIFE HOLDINGS (SOUTH AFRICA) LIMITED direct 2000-09-01 2001-05-17
RS GROWTH GROUP LLC LIMITED PARTNER indirect 1999-03-01 2001-05-22
RS VALUE GROUP LLC LIMITED PARTNER indirect 1999-02-01 2001-05-25
RS INVESTMENT MANAGEMENT LP LLC direct 1999-03-01 2001-05-25
RS INVESTMENT MANAGEMENT INC LLC direct 1999-03-01 2001-05-25
ACADIAN ASSET MANAGEMENT INC 100% SHAREHOLDER OF REGISTRANT direct 2001-04-01 2001-06-06
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 1993-03-01 2001-06-12
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 1999-10-01 2001-06-12
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 2000-04-01 2001-06-12
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LTD indirect 1999-04-01 2001-09-25
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1996-07-01 2001-11-28
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1996-07-01 2001-11-28
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01 2001-11-28
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1997-05-01 2001-11-28
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF CMG FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01 2001-12-03
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF CMG FIRST STATE INVESTMENTS GROUP LIMITED indirect 2000-06-01 2001-12-03
AMERICAN SKANDIA ADVISORY SERVICES, INC. INDIRECT PARENT OF APPLICANT indirect 2000-10-01 2001-12-14
JURIKA & VOYLES LP SHAREHOLDER indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP SUPERVISOR indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP SHAREHOLDER indirect 2000-10-01 2002-01-15
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 13% OF LADENBURG THALMANN FINANACIAL SERVICES direct 1999-12-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2002-01-28
REICH & TANG ASSET MANAGEMENT LP SHAREHOLDER indirect 2000-10-01 2002-01-28
REICH & TANG ASSET MANAGEMENT,LLC SHAREHOLDER indirect 2000-10-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 16.3% OF LADENBURG THALMANN FINANCIAL SERVICES direct 2001-05-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 57.6% OF LADENBURG THALMANN FINANACIAL SERVICES direct 2001-05-01 2002-01-28
RREEF AMERICA LLC AFFILIATE indirect 1998-01-01 2002-03-27
AGF PRIVATE INVESTMENT ADVISORS INC. PARENT COMPANY direct 1971-03-01 2002-05-02
BIOPHARMA CAPITAL LIMITED SHAREHOLDER indirect 2001-04-01 2002-06-17
BIOPHARMA CAPITAL LIMITED TRUST indirect 2001-04-01 2002-06-17
PROEQUITIES INC PARENT direct 1984-08-01 2002-06-25
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF CMG FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01 2002-09-25
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LTD indirect 1999-04-01 2002-09-25
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2000-06-01 2003-01-13
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2000-12-01 2003-01-13
AMERICAN SKANDIA ADVISORY SERVICES, INC. INDIRECT PARENT OF APPLICANT indirect 2000-10-01 2003-03-26
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 6 direct 1986-02-01 2003-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 7 direct 1995-03-01 2003-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 8 direct 1995-07-01 2003-03-27
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2003-03-31
BIOPHARMA CAPITAL LIMITED SHAREHOLDER direct 2001-04-01 2003-05-20
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF BANKMONT FINANCIAL CORP. indirect 1989-09-01 2003-07-31
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF ROBECO INTERNATIONAL B.V. indirect 1997-02-01 2003-09-02
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF ROBECO GROUP N.V. indirect 1997-02-01 2003-09-02
HIM MONEGY, INC. SOLE SHAREHOLDER OF BANKMONT FINANCIAL CORP. indirect 1989-09-01 2003-10-09
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2003-12-04
NEEDELMAN ASSET MANAGEMENT INC MEMBER indirect 2002-08-01 2003-12-09
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY PTY LIMITED indirect 1999-04-01 2004-01-27
THUNDER BAY CAPITAL MANAGEMENT, LP NON-VOTING LIMITED PARTNER - CALEDONIAN BANK & TRUST LIMITED TRUSTEE indirect 2003-02-01 2004-03-19
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 1995-06-01 2004-03-31
HORNBLOWER FISCHER CAPITAL MANAGEMENT CORP. SHAREHOLDER direct 2002-11-01 2004-08-10
CLAYMORE FUND MANAGEMENT COMPANY LLC INDIRECT SHAREHOLDER direct 2001-05-01 2004-08-11
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF APPLICANT direct 1999-03-01 2004-10-12
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 5 direct 1986-02-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 4 direct 1986-02-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 2 direct 1986-11-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER direct 1986-11-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 3 direct 1986-12-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 1 direct 1991-03-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 8 direct 1995-03-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 9 direct 1995-07-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 10 direct 1995-07-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 6 direct 2001-05-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 7 direct 2001-05-01 2004-12-13
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2003-10-01 2005-03-02
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 1986-02-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 9: SHAREHOLDER OF 8 direct 1995-03-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 10: SHAREHOLDER OF 9 direct 1995-07-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 11: SHAREHOLDER OF 10 direct 1995-07-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC GENERAL MEMBER indirect 2000-03-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC OWNER indirect 2001-04-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 direct 2001-05-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 8: SHAREHOLDER OF 7 direct 2001-05-01 2005-03-29
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC GENERAL MEMBER indirect 2000-03-01 2005-03-30
LAZARD ALTERNATIVES, LLC GENERAL MEMBER indirect 2000-03-01 2005-03-30
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF APPLICANT direct 2003-12-01 2005-03-30
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF THE COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 1999-04-01 2005-06-07
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL HOLDING COMPANY (NO.2) PTY LIMITED indirect 1999-04-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF THE COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 1999-04-01 2005-10-03
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL HOLDING COMPANY PTY LIMITED indirect 1999-04-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 2000-06-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2000-06-01 2005-10-03
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2006-03-31
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY (NO.2) PTY LIMITED indirect 1999-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY LIMITED indirect 1999-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC ULTIMATE HOLDING COMPANY indirect 2000-06-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2000-06-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 2005-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 2005-04-01 2006-04-10
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01 2006-06-02
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01 2006-06-07
DAISHIN INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER direct 1999-08-01 2006-06-28
STANDARD PACIFIC CAPITAL LLC MEMBER indirect 2006-01-01 2006-07-20
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2004-11-01 2006-12-04
AGF PRIVATE INVESTMENT ADVISORS INC. 100% OWNER PARENT indirect 2001-07-01 2007-02-05
CYPRESS CAPITAL MANAGEMENT US LIMITED 100% OWNER PARENT indirect 2004-06-01 2007-02-09
FIRST STATE (HONG KONG) LLC MEMBER/HOLDING COMPANY OF MANAGING MEMBER direct 1999-04-01 2007-03-07
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2005-02-01 2007-03-24
MARTIN CURRIE INC INDIRECT OWNER indirect 2001-12-01 2007-03-29
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2007-03-30
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 1986-02-01 2007-08-09
FAIRFIELD GREENWICH ADVISORS LLC SHAREHOLDER indirect 2001-10-01 2008-03-26
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 direct 1986-02-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 1986-02-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 direct 1986-11-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 indirect 1986-11-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 indirect 1986-12-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 direct 1986-12-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 2005-03-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 indirect 2005-03-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 direct 2006-01-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 indirect 2006-01-01 2008-03-27
JUNO MOTHER EARTH ASSET MANAGEMENT, LLC MEMBER direct 2007-01-01 2008-04-30
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 3: SHAREHOLDER OF 2 direct 2006-01-01 2008-06-10
HAMON US INVESTMENT ADVISORS LTD CORPORATION direct 1989-07-01 2008-07-10
HAMON U.S. INVESTMENT ADVISORS LIMITED CORPORATION indirect 1992-03-01 2008-07-10
HAMON US INVESTMENT ADVISORS LTD CORPORATION indirect 1995-12-01 2008-07-10
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. SHAREHOLDER indirect 2007-10-01 2009-06-09
AGF ASSET MANAGEMENT GROUP US LIMITED SHAREHOLDER direct 2007-10-01 2009-06-09
YORK ASSET MANAGEMENT INC. OWNER indirect 2001-05-01 2010-01-12
YORK ASSET MANAGEMENT INC. TRUSTEE indirect 2001-12-01 2010-01-12
YORK ASSET MANAGEMENT INC. OWNER direct 2009-12-01 2010-01-12
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2010-03-26
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2010-03-26
TETRAGON FINANCIAL MANAGEMENT L.P. MEMBER indirect 2005-05-01 2010-12-22
TETRAGON FINANCIAL MANAGEMENT L.P. LIMITED PARTNER direct 2005-07-01 2010-12-22
TETRAGON FINANCIAL MANAGEMENT L.P. LIMITED PARTNER indirect 2007-12-01 2010-12-22
POLYGON MANAGEMENT L.P. GENERAL PARTNER direct 2009-06-01 2010-12-22
POLYGON MANAGEMENT L.P. GENERAL PARTNER indirect 2010-06-01 2010-12-22
POLYGON MANAGEMENT L.P. LIMITED PARTNER direct 2010-06-01 2010-12-22
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 4: SHAREHOLDER OF SHAREHOLDER 3 indirect 2006-01-01 2011-03-31
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-04-01
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2011-06-30
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2010-10-01 2011-06-30
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-08-05
HIM MONEGY, INC. SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-08-08
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER direct 1989-07-01 2012-03-28
HIM MONEGY, INC. SOLE SHAREHOLDER OF HARRIS INVESTMENT MANAGEMENT, INC. indirect 1989-09-01 2012-03-30
BISCAYNEAMERICAS ADVISERS L.L.C. MEMBER OF V-HENRIQUEZ HOLDINGS, LLC indirect 2005-12-01 2012-03-30
BISCAYNEAMERICAS ADVISERS L.L.C. SHAREHOLDER OF LW INVESTMENT MANAGEMENT, LTD. indirect 2007-12-01 2012-03-30
SALLFORT ADVISORS LTD. SHAREHOLDER direct 2009-12-01 2012-04-24
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 direct 1986-02-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 2: SHAREHOLDER OF 1 direct 1991-03-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 direct 2005-03-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 2006-01-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 direct 2008-06-01 2012-07-16
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS HOLDINGS indirect 1999-04-01 2012-08-16
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER indirect 1999-04-01 2012-08-16
HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-12-01 2012-12-13
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 1997-12-01 2013-01-04
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2004-11-01 2013-01-04
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2013-01-04
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01 2013-01-18
MARTIN CURRIE INC INDIRECT SHAREHOLDER indirect 2007-11-01 2014-07-30
KYOBO LIFE ASSET MANAGEMENT (AMERICA) CO., LTD. DIRECT OWNER direct 1996-07-01 2015-01-12
CABEZON INVESTMENT GROUP, LLC OWNER indirect 2001-08-01 2015-03-31
CABEZON INVESTMENT GROUP, LLC OWNER indirect 2003-03-01 2015-03-31
GUGGENHEIM PARTNERS LATIN AMERICA, INC. MEMBER indirect 2012-10-01 2015-03-31
UBS AGRIVEST LLC SHAREHOLDER indirect 2015-08-01 2015-09-01
UBS REALTY INVESTORS LLC SHAREHOLDER indirect 2015-08-01 2015-09-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED indirect 1999-04-01 2015-09-29
RESOLVE ASSET MANAGEMENT INC. OWNER direct 2015-02-01 2015-12-11
THREESIXTY ELEMENTS S.A. OWNER direct 2015-07-01 2016-01-12
HERITAGE INSTITUTIONAL SERVICES, LLC OWNER indirect 2010-12-01 2016-04-19
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2005-01-01 2016-06-15
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01 2016-07-25
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2005-01-01 2016-10-14
SUN CAPITAL ADVISERS LLC SOLE SHAREHOLDER indirect 2004-12-01 2016-12-21
DEVERE USA INC. SHAREHOLDER indirect 2012-02-01 2017-04-26
DEVERE USA INC. SHAREHOLDER indirect 2012-02-01 2017-05-31
COSGROVE, RICHARD, T. CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP CHIEF COMPLIANCE OFFICER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2012-03-01
SOLUS GP LLC GENERAL PARTNER 04/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER direct 2007-04-01
MARTIN, SCOTT LIMITED PARTNER, EVP AND PORTFOLIO MANAGER 03/01/2012 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP EVP & PORTFOLIO MANAGER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND PORTFOLIO MANAGER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP & PORTFOLIO MANAGER direct 2012-03-01
YEAGER, GORDON LIMITED PARTNER, EVP, CHIEF RISK OFFICER AND CHIEF OPERATING OFFICER 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP MANAGING DIRECTOR, CHIEF RISK AND OPERATIONS OFFICER direct 2007-07-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP, CHIEF RISK OFFICER AND CHIEF OPERATING OFFICER direct 2010-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP, CHIEF RISK AND OPERATIONS OFFICER direct 2010-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP, CHIEF OPERATIONS AND RISK OFFICER direct 2010-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP EVP, CHIEF OPERATIONS AND RISK OFFICER direct 2010-01-01
CHASE, RICHARD, DENNIS CHIEF FINANCIAL OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAVIDSON KEMPNER ADVISERS INC CHIEF FINANCIAL OFFICER direct 2007-10-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP CHIEF FINANCIAL OFFICER direct 2016-03-01
DAVIDSON KEMPNER CAPITAL MANAGEMENT LP CHIEF FINANCIAL OFFICER direct 2007-10-01
MARTINDALE, WIGHT LIMITED PARTNER, EVP AND DIRECTOR OF BUSINESS DEVELOPMENT 03/01/2012 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP & DIRECTOR OF INVESTOR RELATIONS direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND DIRECTOR OF BUSINESS DEVELOPMENT direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND DIRECTOR OF INVESTOR RELATIONS direct 2012-03-01
BSCH A INTERMEDIATE L.P. LIMITED PARTNER BSCH MASTER I L.P. 01/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2014-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP LIMITED PARTNER indirect 2014-01-01
BSCH MASTER I L.P. LIMITED PARTNER BSCH MASTER I SUB (SOL-MGR) L.P. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2015-03-01
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2016-06-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP LIMITED PARTNER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP CLASS B PARTNER direct 2014-02-01
BSCH A (SOL-MGR) L.L.C. LIMITED PARTNER BSCH A INTERMEDIATE L.P. 03/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2015-03-01
PUCILLO, CHRISTOPHER, ANTHONY MEMBER SOLUS GP LLC 04/01/2007 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP MEMBER indirect 2007-04-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2007-04-01
STANFIELD CAPITAL PARTNERS LLC MANAGEING DIRECTOR; HEAD OF TRADING direct 2000-03-01 2001-03-26
STANFIELD CAPITAL PARTNERS LLC PARTNER; HEAD OF TRADING direct 2000-03-01 2003-02-19
STANFIELD CAPITAL PARTNERS LLC PARTNER direct 2000-03-01 2007-03-30
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2007-04-01 2007-05-15
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2007-04-01 2012-04-24
BLACKSTONE STRATEGIC CAPITAL HOLDINGS L.P. LIMITED PARTNER BSCH MASTER I L.P. 01/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2014-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP LIMITED PARTNER indirect 2014-01-01
ASF POLLOCK, L.P. LIMITED PARTNER BLACKSTONE STRATEGIC CAPITAL HOLDINGS L.P. 04/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2018-04-01
BLACKSTONE STRATEGIC CAPITAL ASSOCIATES L.L.C. GENERAL PARTNER BSCH MASTER I SUB (SOL-MGR) L.P.; BSCH MASTER I L.P.; BLACKSTONE STRATEGIC CAPITAL HOLDINGS L.P.; BSCH A INTERMEDIATE L.P. 03/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2013-10-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2014-01-01
BLACKSTONE STRATEGIC CAPITAL ASSOCIATES L.L.C. GENERAL PARTNER BLACKSTONE STRATEGIC CAPITAL HOLDINGS (CAYMAN) L.P. 03/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2013-10-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2014-01-01
BLACKSTONE STRATEGIC CAPITAL HOLDINGS (CAYMAN) L.P. SOLE MEMBER BSCH A (SOL-MGR) L.L.C. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. SOLE MEMBER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP SOLE MEMBER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP SOLE MEMBER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP SHAREHOLDER indirect 2014-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SOLUS OPPORTUNITIES FUND 4 LP United States 805-4984796535 Hedge Fund 381,065,056 500,000 Master Fund
SOLUS OPPORTUNITIES FUND 2 LP United States 805-1148011926 Hedge Fund 48,008,948 0
SOLUS OPPORTUNITIES FUND 5 LP United States 805-7960083028 Hedge Fund 363,083,834 0 Master Fund
ULTRA NB LLC United States 805-8066568221 Hedge Fund 78,356,992 0
SOLUS LONG-TERM OPPORTUNITIES FUND MASTER LP Cayman Islands 805-1154600121 Hedge Fund 928,584,464 250,000 Master Fund
SOLUS SPC MASTER FUND LTD Cayman Islands 805-1777941915 Hedge Fund 21,381,256 500,000 Master Fund
SOLUS CORE OPPORTUNITIES LP United States 805-6011339915 Hedge Fund 136,589,157 0
SOLUS SENIOR HIGH INCOME FUND LP United States 805-2179791096 Hedge Fund 599,417,930 150,000 Master Fund
SOLA LTD Cayman Islands 805-4270875258 Hedge Fund 1,384,130,102 1,000,000 Master Fund
SOLUS OPPORTUNITIES FUND 3 LP United States 805-3943933427 Hedge Fund 87,900,357 0
SOLUS OPPORTUNITIES FUND 1 LP United States 805-8353070676 Hedge Fund 100,610,364 0
ULTRA MASTER LTD Cayman Islands 805-5606372491 Hedge Fund 54,751,677 250,000 Master Fund

SOLUS ALTERNATIVE ASSET MANAGEMENT LP

ownership team - last updated 2020-11-20
Name Title Start Date Direct/Indirect % Ownership
PUCILLO, CHRISTOPHER, ANTHONY LIMITED PARTNER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER 04/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP MEMBER indirect 2007-04-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2007-04-01
STANFIELD CAPITAL PARTNERS LLC MANAGEING DIRECTOR; HEAD OF TRADING direct 2000-03-01 2001-03-26
STANFIELD CAPITAL PARTNERS LLC PARTNER; HEAD OF TRADING direct 2000-03-01 2003-02-19
STANFIELD CAPITAL PARTNERS LLC PARTNER direct 2000-03-01 2007-03-30
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2007-04-01 2007-05-15
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2007-04-01 2012-04-24
BSCH MASTER I SUB (SOL-MGR) L.P. LIMITED PARTNER 03/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LAJU (CAYMAN) LIMITED LISTED COMPANY indirect 1969-07-01
MARTIN CURRIE INC PARENT COMPANY direct 1978-10-01
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED PARENT COMPANY direct 1978-10-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1979-06-01
ALPHA INVESTMENT MANAGEMENT LLC SOLE SHAREHOLDER indirect 1984-05-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. SHAREHOLDER indirect 1985-06-01
CYPRESS CAPITAL MANAGEMENT US LIMITED SHAREHOLDER indirect 1985-06-01
AGF PRIVATE INVESTMENT ADVISORS INC. SHAREHOLDER indirect 1985-06-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 indirect 1986-02-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 1: SHAREHOLDER OF APPLICANT direct 1986-11-01
DAISHIN INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER direct 1988-03-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1989-07-01
BMO ASSET MANAGEMENT CORP. SOLE SHAREHOLDER OF BMO FINANCIAL CORP. indirect 1989-09-01
MONEGY, INC. SOLE SHAREHOLDER OF BMO FINANCIAL CORP. indirect 1989-09-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 2: SHAREHOLDER OF 1 indirect 1991-03-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1992-03-01
FUJI-LORD ABBETT INTERNATIONAL, LTD SHAREHOLDER direct 1992-06-01
EDINBURGH FUND MANAGERS PLC SHAREHOLDER direct 1995-04-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1995-12-01
PALADIN INVESTMENT ASSOCIATES, LLC SHAREHOLDER indirect 1995-12-01
ABERDEEN AMERICA INC. MINORITY SHAREHOLDER direct 1996-05-01
KYOBO LIFE ASSET MANAGEMENT (AMERICA) CO., LTD. SOLE MEMBER direct 1996-07-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01
MCLEAN BUDDEN LIMITED. SHAREHOLDER indirect 1997-12-01
INDOCAM INTERNATIONAL INVESTMENT SERVICES PARENT direct 1998-01-01
ASHMORE INVESTMENT MANAGEMENT LTD PARENT COMPANY direct 1999-02-01
ASHMORE INVESTMENT MANAGEMENT LTD ULTIMATE PARENT COMPANY indirect 1999-02-01
ASHMORE INVESTMENT ADVISORS LIMITED PARENT COMPANY direct 1999-02-01
ASHMORE INVESTMENT ADVISORS LIMITED ULTIMATE PARENT COMPANY indirect 1999-02-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS SINGAPORE direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED direct 1999-04-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE (HONG KONG) LLC MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FSIB LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS HOLDINGS (SINGAPORE) indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MEMBER/HOLDING COMPANY OF MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 1999-04-01
ACKER FINLEY ASSET MANAGEMENT USA INC. SHAREHOLDER direct 1999-07-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP SHAREHOLDER indirect 2000-01-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER direct 2000-02-01
LAZARD PENSION MANAGEMENT INC GENERAL MEMBER indirect 2000-03-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC GENERAL MEMBER indirect 2000-03-01
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 2000-06-01
PANGAEA ASSET MANAGEMENT, LLC MEMBER indirect 2000-06-01
ACCESS INVESTMENT ADVISORS LLC SHAREHOLDER indirect 2000-08-01
MARTIN CURRIE GLOBAL INVESTORS LIMITED PARENT COMPANY direct 2000-08-01
KOBRICK FUNDS LLC SHAREHOLDER indirect 2000-10-01
KOBRICK FUNDS LLC SUPERVISOR indirect 2000-10-01
KOBRICK FUNDS LLC SHAREHOLDER indirect 2000-10-01
LAZARD DEBT RECOVERY MANAGEMENT OWNER indirect 2001-04-01
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 2001-05-01
YORK ASSET MANAGEMENT LIMITED OWNER indirect 2001-05-01
LADENBURG THALMANN FUND MANAGEMENT LLC SHAREHOLDER indirect 2001-05-01
YORK ASSET MANAGEMENT LIMITED OWNER direct 2001-05-01
AGF PRIVATE INVESTMENT ADVISORS INC. PARENT COMPANY direct 2001-07-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP SHAREHOLDER indirect 2001-09-01
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2001-10-01
SUTRO & CO. INCORPORATED INDIRECT OWNER indirect 2001-10-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
YORK ASSET MANAGEMENT LIMITED TRUSTEE indirect 2001-12-01
BTC CAPITAL MANAGEMENT, INC. CONTROL PERSON indirect 2002-03-01
POLYGON INVESTMENTS LTD. EQUITYHOLDER direct 2002-11-01
REAL ESTATE CAPITAL PARTNERS LP OWNER indirect 2002-12-01
ALPHA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2003-01-01
ALPHA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2003-01-01
THUNDER BAY CAPITAL MANAGEMENT, LP NON - VOTING LIMITED PARTNER direct 2003-02-01
THUNDER BAY CAPITAL MANAGEMENT, LP TRUSTEE- AB 2003 TRUST direct 2003-02-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP TRUSTEE indirect 2003-05-01
AEON CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2003-07-01
BIOPHARMA CAPITAL LIMITED SHAREHOLDER direct 2003-11-01
ALPHA INVESTMENT MANAGEMENT LLC MEMBER direct 2004-01-01
REAL ESTATE CAPITAL PARTNERS LP OWNER indirect 2004-07-01
MCLEAN BUDDEN LIMITED. SHAREHOLDER indirect 2004-11-01
RYAN LABS ASSET MANAGEMENT INC. SOLE SHAREHOLDER indirect 2004-12-01
SUN LIFE INSTITUTIONAL INVESTMENTS (U.S.) LLC SOLE SHAREHOLDER indirect 2004-12-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 2005-03-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP DESIGNATED MEMBER direct 2005-03-01
BLACKSQUARE CAPITAL LLP OWNER indirect 2005-06-01
POLYGON CREDIT HOLDINGS LTD. EQUITYHOLDER direct 2005-07-01
CYPRESS CAPITAL MANAGEMENT US LIMITED PARENT COMPANY direct 2005-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 indirect 2006-01-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 3: SHAREHOLDER OF SHAREHOLDER 2 indirect 2006-01-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 2006-04-01
BOSTON ADVISORS, LLC MEMBER direct 2006-04-01
FIRST STATE (HONG KONG) LLC ULTIMATE HOLDING COMPANY indirect 2006-04-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2006-04-01
K.J. HARRISON & PARTNERS (USA) INC. CORPORATION direct 2006-12-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED indirect 2007-06-01
HIGHSTREET ASSET MANAGEMENT U.S. INC. PARENT COMPANY indirect 2007-09-01
CYPRESS CAPITAL MANAGEMENT US LIMITED 100% OWNER PARENT indirect 2007-10-01
LASAIR CAPITAL LLC CLASS B MEMBER indirect 2007-10-01
AGF PRIVATE INVESTMENT ADVISORS INC. SHAREHOLDER indirect 2007-10-01
LASAIR CAPITAL LLC MANAGING MEMBER direct 2007-10-01
CYPRESS CAPITAL MANAGEMENT US LIMITED SHAREHOLDER indirect 2007-10-01
AGF PRIVATE INVESTMENT ADVISORS INC. 100% OWNER PARENT indirect 2007-10-01
HIGHSTREET ASSET MANAGEMENT U.S. INC. PARENT COMPANY indirect 2007-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 indirect 2008-06-01
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01
HIGHSTREET U.S. ASSET MANAGEMENT INC. PARENT COMPANY direct 2009-02-01
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. DIRECT OWNER direct 2009-06-01
KESTREL PARTNERS LLP SHAREHOLDER indirect 2009-06-01
HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-12-01
FINANCIALADVICE4ME, LLC MEMBER direct 2009-12-01
HANWHA ASSET MANAGEMENT (USA) LTD. DIRECT OWNER indirect 2010-06-01
INSTITUTIONAL SHAREHOLDER SERVICES INC. GENERAL PARTNER indirect 2010-08-01
CICC INVESTMENT MANAGEMENT (USA), INC. SOLE SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SOLE SHAREHOLDER indirect 2010-11-01
NEPHILA CAPITAL LTD. SHAREHOLDER indirect 2010-12-01
NEPHILA ADVISORS LLC SHAREHOLDER indirect 2010-12-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 6: SHAREHOLDER OF SHAREHOLDER 5 indirect 2012-02-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER direct 2012-06-01
SWISS AMERICAN ADVISORS LTD. SHAREHOLDER direct 2012-06-01
ELEVAR EQUITY MANAGEMENT LIMITED OWNER direct 2012-11-01
FORTIS ADVISORS, LLC GENERAL PARTNER indirect 2013-09-01
ARGO INFRASTRUCTURE PARTNERS LLC GENERAL PARTNER indirect 2013-12-01
F&C MANAGEMENT LIMITED INDIRECT SHAREHOLDER indirect 2014-01-01
INSTITUTIONAL SHAREHOLDER SERVICES INC. OWNER indirect 2014-04-01
AQM CAPITAL LLC MEMBER direct 2014-06-01
RESOLVE ASSET MANAGEMENT INC. OWNER direct 2014-11-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2014-11-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2014-11-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2015-03-01
RYAN LABS ASSET MANAGEMENT INC. SOLE SHAREHOLDER indirect 2015-04-01
PRIME ADVISORS INC SOLE SHAREHOLDER indirect 2015-07-01
UBS OCONNOR LLC HOLDING COMPANY direct 2015-08-01
UBS ASSET MANAGEMENT (AMERICAS) INC. SHAREHOLDER indirect 2015-08-01
UBS HEDGE FUND SOLUTIONS LLC HOLDING COMPANY direct 2015-08-01
FFCM LLC MEMBER direct 2015-11-01
FFCM LLC MEMBER indirect 2015-11-01
THREESIXTY ELEMENTS S.A. SHAREHOLDER direct 2016-02-01
MAXIMAI INVESTMENT PARTNERS, LLC MANAGING MEMBER direct 2016-09-01
TILLRIDGE CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2016-12-01
BROOKFIELD SOUNDVEST CAPITAL MANAGEMENT LTD. OWNER direct 2017-01-01
HANWHA ASSET MANAGEMENT (USA) LTD. DIRECT OWNER direct 2017-02-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01 2001-01-31
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01 2001-01-31
LAZARD ASSET MANAGEMENT CANADA INC SHAREHOLDER indirect 1984-06-01 2001-02-22
LAZARD ASSET MANAGEMENT CANADA INC SHAREHOLDER indirect 1984-06-01 2001-02-22
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1979-06-01 2001-02-28
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1997-05-01 2001-02-28
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-03-28
LADENBURG THALMANN ASSET MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-03-28
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2001-03-28
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LIMITED indirect 2000-06-01 2001-03-29
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-05-11
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2001-05-11
CLAY FINLAY INC 100% SHAREHOLDER OF CLAY FINLAY INC. direct 2001-04-01 2001-05-16
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF UNITED ASSET MANAGEMENT direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL (SOUTH AFRICA) LTD. direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 8.71% SHAREHOLDER OF OLD MUTUAL PLC direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL (NETHERLANDS) B.V. direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL LIFE ASSURANCE CO. (SOUTH AFRICA) LIMITED direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100 SHAREHOLDER OF OM GROUP (UK) LIMITED direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL LIFE HOLDINGS (SOUTH AFRICA) LIMITED direct 2000-09-01 2001-05-17
RS GROWTH GROUP LLC LIMITED PARTNER indirect 1999-03-01 2001-05-22
RS VALUE GROUP LLC LIMITED PARTNER indirect 1999-02-01 2001-05-25
RS INVESTMENT MANAGEMENT LP LLC direct 1999-03-01 2001-05-25
RS INVESTMENT MANAGEMENT INC LLC direct 1999-03-01 2001-05-25
ACADIAN ASSET MANAGEMENT INC 100% SHAREHOLDER OF REGISTRANT direct 2001-04-01 2001-06-06
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 1993-03-01 2001-06-12
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 1999-10-01 2001-06-12
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 2000-04-01 2001-06-12
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LTD indirect 1999-04-01 2001-09-25
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1996-07-01 2001-11-28
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1996-07-01 2001-11-28
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01 2001-11-28
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1997-05-01 2001-11-28
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF CMG FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01 2001-12-03
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF CMG FIRST STATE INVESTMENTS GROUP LIMITED indirect 2000-06-01 2001-12-03
AMERICAN SKANDIA ADVISORY SERVICES, INC. INDIRECT PARENT OF APPLICANT indirect 2000-10-01 2001-12-14
JURIKA & VOYLES LP SHAREHOLDER indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP SUPERVISOR indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP SHAREHOLDER indirect 2000-10-01 2002-01-15
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 13% OF LADENBURG THALMANN FINANACIAL SERVICES direct 1999-12-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2002-01-28
REICH & TANG ASSET MANAGEMENT LP SHAREHOLDER indirect 2000-10-01 2002-01-28
REICH & TANG ASSET MANAGEMENT,LLC SHAREHOLDER indirect 2000-10-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 16.3% OF LADENBURG THALMANN FINANCIAL SERVICES direct 2001-05-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 57.6% OF LADENBURG THALMANN FINANACIAL SERVICES direct 2001-05-01 2002-01-28
RREEF AMERICA LLC AFFILIATE indirect 1998-01-01 2002-03-27
AGF PRIVATE INVESTMENT ADVISORS INC. PARENT COMPANY direct 1971-03-01 2002-05-02
BIOPHARMA CAPITAL LIMITED SHAREHOLDER indirect 2001-04-01 2002-06-17
BIOPHARMA CAPITAL LIMITED TRUST indirect 2001-04-01 2002-06-17
PROEQUITIES INC PARENT direct 1984-08-01 2002-06-25
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF CMG FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01 2002-09-25
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LTD indirect 1999-04-01 2002-09-25
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2000-06-01 2003-01-13
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2000-12-01 2003-01-13
AMERICAN SKANDIA ADVISORY SERVICES, INC. INDIRECT PARENT OF APPLICANT indirect 2000-10-01 2003-03-26
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 6 direct 1986-02-01 2003-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 7 direct 1995-03-01 2003-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 8 direct 1995-07-01 2003-03-27
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2003-03-31
BIOPHARMA CAPITAL LIMITED SHAREHOLDER direct 2001-04-01 2003-05-20
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF BANKMONT FINANCIAL CORP. indirect 1989-09-01 2003-07-31
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF ROBECO INTERNATIONAL B.V. indirect 1997-02-01 2003-09-02
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF ROBECO GROUP N.V. indirect 1997-02-01 2003-09-02
HIM MONEGY, INC. SOLE SHAREHOLDER OF BANKMONT FINANCIAL CORP. indirect 1989-09-01 2003-10-09
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2003-12-04
NEEDELMAN ASSET MANAGEMENT INC MEMBER indirect 2002-08-01 2003-12-09
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY PTY LIMITED indirect 1999-04-01 2004-01-27
THUNDER BAY CAPITAL MANAGEMENT, LP NON-VOTING LIMITED PARTNER - CALEDONIAN BANK & TRUST LIMITED TRUSTEE indirect 2003-02-01 2004-03-19
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 1995-06-01 2004-03-31
HORNBLOWER FISCHER CAPITAL MANAGEMENT CORP. SHAREHOLDER direct 2002-11-01 2004-08-10
CLAYMORE FUND MANAGEMENT COMPANY LLC INDIRECT SHAREHOLDER direct 2001-05-01 2004-08-11
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF APPLICANT direct 1999-03-01 2004-10-12
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 5 direct 1986-02-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 4 direct 1986-02-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 2 direct 1986-11-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER direct 1986-11-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 3 direct 1986-12-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 1 direct 1991-03-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 8 direct 1995-03-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 9 direct 1995-07-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 10 direct 1995-07-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 6 direct 2001-05-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 7 direct 2001-05-01 2004-12-13
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2003-10-01 2005-03-02
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 1986-02-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 9: SHAREHOLDER OF 8 direct 1995-03-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 10: SHAREHOLDER OF 9 direct 1995-07-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 11: SHAREHOLDER OF 10 direct 1995-07-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC GENERAL MEMBER indirect 2000-03-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC OWNER indirect 2001-04-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 direct 2001-05-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 8: SHAREHOLDER OF 7 direct 2001-05-01 2005-03-29
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC GENERAL MEMBER indirect 2000-03-01 2005-03-30
LAZARD ALTERNATIVES, LLC GENERAL MEMBER indirect 2000-03-01 2005-03-30
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF APPLICANT direct 2003-12-01 2005-03-30
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF THE COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 1999-04-01 2005-06-07
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL HOLDING COMPANY (NO.2) PTY LIMITED indirect 1999-04-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF THE COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 1999-04-01 2005-10-03
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL HOLDING COMPANY PTY LIMITED indirect 1999-04-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 2000-06-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2000-06-01 2005-10-03
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2006-03-31
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY (NO.2) PTY LIMITED indirect 1999-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY LIMITED indirect 1999-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC ULTIMATE HOLDING COMPANY indirect 2000-06-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2000-06-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 2005-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 2005-04-01 2006-04-10
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01 2006-06-02
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01 2006-06-07
DAISHIN INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER direct 1999-08-01 2006-06-28
STANDARD PACIFIC CAPITAL LLC MEMBER indirect 2006-01-01 2006-07-20
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2004-11-01 2006-12-04
AGF PRIVATE INVESTMENT ADVISORS INC. 100% OWNER PARENT indirect 2001-07-01 2007-02-05
CYPRESS CAPITAL MANAGEMENT US LIMITED 100% OWNER PARENT indirect 2004-06-01 2007-02-09
FIRST STATE (HONG KONG) LLC MEMBER/HOLDING COMPANY OF MANAGING MEMBER direct 1999-04-01 2007-03-07
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2005-02-01 2007-03-24
MARTIN CURRIE INC INDIRECT OWNER indirect 2001-12-01 2007-03-29
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2007-03-30
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 1986-02-01 2007-08-09
FAIRFIELD GREENWICH ADVISORS LLC SHAREHOLDER indirect 2001-10-01 2008-03-26
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 direct 1986-02-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 1986-02-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 direct 1986-11-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 indirect 1986-11-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 indirect 1986-12-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 direct 1986-12-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 2005-03-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 indirect 2005-03-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 direct 2006-01-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 indirect 2006-01-01 2008-03-27
JUNO MOTHER EARTH ASSET MANAGEMENT, LLC MEMBER direct 2007-01-01 2008-04-30
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 3: SHAREHOLDER OF 2 direct 2006-01-01 2008-06-10
HAMON US INVESTMENT ADVISORS LTD CORPORATION direct 1989-07-01 2008-07-10
HAMON U.S. INVESTMENT ADVISORS LIMITED CORPORATION indirect 1992-03-01 2008-07-10
HAMON US INVESTMENT ADVISORS LTD CORPORATION indirect 1995-12-01 2008-07-10
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. SHAREHOLDER indirect 2007-10-01 2009-06-09
AGF ASSET MANAGEMENT GROUP US LIMITED SHAREHOLDER direct 2007-10-01 2009-06-09
YORK ASSET MANAGEMENT INC. OWNER indirect 2001-05-01 2010-01-12
YORK ASSET MANAGEMENT INC. TRUSTEE indirect 2001-12-01 2010-01-12
YORK ASSET MANAGEMENT INC. OWNER direct 2009-12-01 2010-01-12
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2010-03-26
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2010-03-26
TETRAGON FINANCIAL MANAGEMENT L.P. MEMBER indirect 2005-05-01 2010-12-22
TETRAGON FINANCIAL MANAGEMENT L.P. LIMITED PARTNER direct 2005-07-01 2010-12-22
TETRAGON FINANCIAL MANAGEMENT L.P. LIMITED PARTNER indirect 2007-12-01 2010-12-22
POLYGON MANAGEMENT L.P. GENERAL PARTNER direct 2009-06-01 2010-12-22
POLYGON MANAGEMENT L.P. GENERAL PARTNER indirect 2010-06-01 2010-12-22
POLYGON MANAGEMENT L.P. LIMITED PARTNER direct 2010-06-01 2010-12-22
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 4: SHAREHOLDER OF SHAREHOLDER 3 indirect 2006-01-01 2011-03-31
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-04-01
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2011-06-30
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2010-10-01 2011-06-30
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-08-05
HIM MONEGY, INC. SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-08-08
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER direct 1989-07-01 2012-03-28
HIM MONEGY, INC. SOLE SHAREHOLDER OF HARRIS INVESTMENT MANAGEMENT, INC. indirect 1989-09-01 2012-03-30
BISCAYNEAMERICAS ADVISERS L.L.C. MEMBER OF V-HENRIQUEZ HOLDINGS, LLC indirect 2005-12-01 2012-03-30
BISCAYNEAMERICAS ADVISERS L.L.C. SHAREHOLDER OF LW INVESTMENT MANAGEMENT, LTD. indirect 2007-12-01 2012-03-30
SALLFORT ADVISORS LTD. SHAREHOLDER direct 2009-12-01 2012-04-24
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 direct 1986-02-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 2: SHAREHOLDER OF 1 direct 1991-03-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 direct 2005-03-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 2006-01-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 direct 2008-06-01 2012-07-16
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS HOLDINGS indirect 1999-04-01 2012-08-16
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER indirect 1999-04-01 2012-08-16
HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-12-01 2012-12-13
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 1997-12-01 2013-01-04
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2004-11-01 2013-01-04
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2013-01-04
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01 2013-01-18
MARTIN CURRIE INC INDIRECT SHAREHOLDER indirect 2007-11-01 2014-07-30
KYOBO LIFE ASSET MANAGEMENT (AMERICA) CO., LTD. DIRECT OWNER direct 1996-07-01 2015-01-12
CABEZON INVESTMENT GROUP, LLC OWNER indirect 2001-08-01 2015-03-31
CABEZON INVESTMENT GROUP, LLC OWNER indirect 2003-03-01 2015-03-31
GUGGENHEIM PARTNERS LATIN AMERICA, INC. MEMBER indirect 2012-10-01 2015-03-31
UBS AGRIVEST LLC SHAREHOLDER indirect 2015-08-01 2015-09-01
UBS REALTY INVESTORS LLC SHAREHOLDER indirect 2015-08-01 2015-09-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED indirect 1999-04-01 2015-09-29
RESOLVE ASSET MANAGEMENT INC. OWNER direct 2015-02-01 2015-12-11
THREESIXTY ELEMENTS S.A. OWNER direct 2015-07-01 2016-01-12
HERITAGE INSTITUTIONAL SERVICES, LLC OWNER indirect 2010-12-01 2016-04-19
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2005-01-01 2016-06-15
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01 2016-07-25
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2005-01-01 2016-10-14
SUN CAPITAL ADVISERS LLC SOLE SHAREHOLDER indirect 2004-12-01 2016-12-21
DEVERE USA INC. SHAREHOLDER indirect 2012-02-01 2017-04-26
DEVERE USA INC. SHAREHOLDER indirect 2012-02-01 2017-05-31
COSGROVE, RICHARD, T. CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP CHIEF COMPLIANCE OFFICER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2012-03-01
SOLUS GP LLC GENERAL PARTNER 04/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER direct 2007-04-01
MARTIN, SCOTT LIMITED PARTNER, EVP AND PORTFOLIO MANAGER 03/01/2012 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP EVP & PORTFOLIO MANAGER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND PORTFOLIO MANAGER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP & PORTFOLIO MANAGER direct 2012-03-01
YEAGER, GORDON LIMITED PARTNER, EVP, CHIEF RISK OFFICER AND CHIEF OPERATING OFFICER 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP MANAGING DIRECTOR, CHIEF RISK AND OPERATIONS OFFICER direct 2007-07-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP, CHIEF RISK OFFICER AND CHIEF OPERATING OFFICER direct 2010-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP, CHIEF RISK AND OPERATIONS OFFICER direct 2010-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP, CHIEF OPERATIONS AND RISK OFFICER direct 2010-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP EVP, CHIEF OPERATIONS AND RISK OFFICER direct 2010-01-01
CHASE, RICHARD, DENNIS CHIEF FINANCIAL OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAVIDSON KEMPNER ADVISERS INC CHIEF FINANCIAL OFFICER direct 2007-10-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP CHIEF FINANCIAL OFFICER direct 2016-03-01
DAVIDSON KEMPNER CAPITAL MANAGEMENT LP CHIEF FINANCIAL OFFICER direct 2007-10-01
MARTINDALE, WIGHT LIMITED PARTNER, EVP AND DIRECTOR OF BUSINESS DEVELOPMENT 03/01/2012 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP & DIRECTOR OF INVESTOR RELATIONS direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND DIRECTOR OF BUSINESS DEVELOPMENT direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND DIRECTOR OF INVESTOR RELATIONS direct 2012-03-01
BSCH A INTERMEDIATE L.P. LIMITED PARTNER BSCH MASTER I L.P. 01/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2014-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP LIMITED PARTNER indirect 2014-01-01
BSCH MASTER I L.P. LIMITED PARTNER BSCH MASTER I SUB (SOL-MGR) L.P. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2015-03-01
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2016-06-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP LIMITED PARTNER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP CLASS B PARTNER direct 2014-02-01
BSCH A (SOL-MGR) L.L.C. LIMITED PARTNER BSCH A INTERMEDIATE L.P. 03/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2015-03-01
PUCILLO, CHRISTOPHER, ANTHONY MEMBER SOLUS GP LLC 04/01/2007 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP MEMBER indirect 2007-04-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2007-04-01
STANFIELD CAPITAL PARTNERS LLC MANAGEING DIRECTOR; HEAD OF TRADING direct 2000-03-01 2001-03-26
STANFIELD CAPITAL PARTNERS LLC PARTNER; HEAD OF TRADING direct 2000-03-01 2003-02-19
STANFIELD CAPITAL PARTNERS LLC PARTNER direct 2000-03-01 2007-03-30
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2007-04-01 2007-05-15
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2007-04-01 2012-04-24
BLACKSTONE STRATEGIC CAPITAL HOLDINGS L.P. LIMITED PARTNER BSCH MASTER I L.P. 01/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2014-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP LIMITED PARTNER indirect 2014-01-01
ASF POLLOCK, L.P. LIMITED PARTNER BLACKSTONE STRATEGIC CAPITAL HOLDINGS L.P. 04/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2018-04-01
BLACKSTONE STRATEGIC CAPITAL ASSOCIATES L.L.C. GENERAL PARTNER BSCH MASTER I SUB (SOL-MGR) L.P.; BSCH MASTER I L.P.; BLACKSTONE STRATEGIC CAPITAL HOLDINGS L.P.; BSCH A INTERMEDIATE L.P. 03/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2013-10-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2014-01-01
BLACKSTONE STRATEGIC CAPITAL ASSOCIATES L.L.C. GENERAL PARTNER BLACKSTONE STRATEGIC CAPITAL HOLDINGS (CAYMAN) L.P. 03/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2013-10-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2014-01-01
BLACKSTONE STRATEGIC CAPITAL HOLDINGS (CAYMAN) L.P. SOLE MEMBER BSCH A (SOL-MGR) L.L.C. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. SOLE MEMBER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP SOLE MEMBER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP SOLE MEMBER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP SHAREHOLDER indirect 2014-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SOLA LTD Cayman Islands 805-4270875258 Hedge Fund 2,674,406,689 1,000,000 Master Fund
ULTRA MASTER LTD Cayman Islands 805-5606372491 Hedge Fund 67,571,658 250,000 Master Fund
SOLUS OPPORTUNITIES FUND 5 LP United States 805-7960083028 Hedge Fund 381,333,593 0 Master Fund
ULTRA NB LLC United States 805-8066568221 Hedge Fund 78,675,139 0
SOLUS LONG-TERM OPPORTUNITIES FUND MASTER LP Cayman Islands 805-1154600121 Hedge Fund 322,807,995 250,000 Master Fund
SOLUS SPC MASTER FUND LTD Cayman Islands 805-1777941915 Hedge Fund 41,184,351 500,000 Master Fund
SOLUS SENIOR HIGH INCOME FUND LP United States 805-2179791096 Hedge Fund 560,669,101 150,000 Master Fund
SOLUS OPPORTUNITIES FUND 3 LP United States 805-3943933427 Hedge Fund 86,295,550 0
SOLUS OPPORTUNITIES FUND 1 LP United States 805-8353070676 Hedge Fund 121,789,251 0
SOLUS OPPORTUNITIES FUND 4 LP United States 805-4984796535 Hedge Fund 214,236,065 500,000 Master Fund
SOLUS OPPORTUNITIES FUND 2 LP United States 805-1148011926 Hedge Fund 30,000,430 0

SOLUS ALTERNATIVE ASSET MANAGEMENT LP

ownership team - last updated 2020-04-01
Name Title Start Date Direct/Indirect % Ownership
LANKTREE, CHARLES LIMITED PARTNER, EVP AND PORTFOLIO MANAGER 03/01/2012 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP EVP & PORTFOLIO MANAGER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND PORTFOLIO MANAGER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP & PORTFOLIO MANAGER direct 2012-03-01
BSCH MASTER I SUB (SOL-MGR) L.P. LIMITED PARTNER 03/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LAJU (CAYMAN) LIMITED LISTED COMPANY indirect 1969-07-01
MARTIN CURRIE INC PARENT COMPANY direct 1978-10-01
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED PARENT COMPANY direct 1978-10-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1979-06-01
ALPHA INVESTMENT MANAGEMENT LLC SOLE SHAREHOLDER indirect 1984-05-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. SHAREHOLDER indirect 1985-06-01
CYPRESS CAPITAL MANAGEMENT US LIMITED SHAREHOLDER indirect 1985-06-01
AGF PRIVATE INVESTMENT ADVISORS INC. SHAREHOLDER indirect 1985-06-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 indirect 1986-02-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 1: SHAREHOLDER OF APPLICANT direct 1986-11-01
DAISHIN INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER direct 1988-03-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1989-07-01
BMO ASSET MANAGEMENT CORP. SOLE SHAREHOLDER OF BMO FINANCIAL CORP. indirect 1989-09-01
MONEGY, INC. SOLE SHAREHOLDER OF BMO FINANCIAL CORP. indirect 1989-09-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 2: SHAREHOLDER OF 1 indirect 1991-03-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1992-03-01
FUJI-LORD ABBETT INTERNATIONAL, LTD SHAREHOLDER direct 1992-06-01
EDINBURGH FUND MANAGERS PLC SHAREHOLDER direct 1995-04-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1995-12-01
PALADIN INVESTMENT ASSOCIATES, LLC SHAREHOLDER indirect 1995-12-01
ABERDEEN AMERICA INC. MINORITY SHAREHOLDER direct 1996-05-01
KYOBO LIFE ASSET MANAGEMENT (AMERICA) CO., LTD. SOLE MEMBER direct 1996-07-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01
MCLEAN BUDDEN LIMITED. SHAREHOLDER indirect 1997-12-01
INDOCAM INTERNATIONAL INVESTMENT SERVICES PARENT direct 1998-01-01
ASHMORE INVESTMENT MANAGEMENT LTD PARENT COMPANY direct 1999-02-01
ASHMORE INVESTMENT MANAGEMENT LTD ULTIMATE PARENT COMPANY indirect 1999-02-01
ASHMORE INVESTMENT ADVISORS LIMITED PARENT COMPANY direct 1999-02-01
ASHMORE INVESTMENT ADVISORS LIMITED ULTIMATE PARENT COMPANY indirect 1999-02-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS SINGAPORE direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED direct 1999-04-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE (HONG KONG) LLC MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FSIB LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS HOLDINGS (SINGAPORE) indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MEMBER/HOLDING COMPANY OF MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 1999-04-01
ACKER FINLEY ASSET MANAGEMENT USA INC. SHAREHOLDER direct 1999-07-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP SHAREHOLDER indirect 2000-01-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER direct 2000-02-01
LAZARD PENSION MANAGEMENT INC GENERAL MEMBER indirect 2000-03-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC GENERAL MEMBER indirect 2000-03-01
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 2000-06-01
PANGAEA ASSET MANAGEMENT, LLC MEMBER indirect 2000-06-01
ACCESS INVESTMENT ADVISORS LLC SHAREHOLDER indirect 2000-08-01
MARTIN CURRIE GLOBAL INVESTORS LIMITED PARENT COMPANY direct 2000-08-01
KOBRICK FUNDS LLC SHAREHOLDER indirect 2000-10-01
KOBRICK FUNDS LLC SUPERVISOR indirect 2000-10-01
KOBRICK FUNDS LLC SHAREHOLDER indirect 2000-10-01
LAZARD DEBT RECOVERY MANAGEMENT OWNER indirect 2001-04-01
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 2001-05-01
YORK ASSET MANAGEMENT LIMITED OWNER indirect 2001-05-01
LADENBURG THALMANN FUND MANAGEMENT LLC SHAREHOLDER indirect 2001-05-01
YORK ASSET MANAGEMENT LIMITED OWNER direct 2001-05-01
AGF PRIVATE INVESTMENT ADVISORS INC. PARENT COMPANY direct 2001-07-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP SHAREHOLDER indirect 2001-09-01
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2001-10-01
SUTRO & CO. INCORPORATED INDIRECT OWNER indirect 2001-10-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
YORK ASSET MANAGEMENT LIMITED TRUSTEE indirect 2001-12-01
BTC CAPITAL MANAGEMENT, INC. CONTROL PERSON indirect 2002-03-01
POLYGON INVESTMENTS LTD. EQUITYHOLDER direct 2002-11-01
REAL ESTATE CAPITAL PARTNERS LP OWNER indirect 2002-12-01
ALPHA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2003-01-01
ALPHA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2003-01-01
THUNDER BAY CAPITAL MANAGEMENT, LP NON - VOTING LIMITED PARTNER direct 2003-02-01
THUNDER BAY CAPITAL MANAGEMENT, LP TRUSTEE- AB 2003 TRUST direct 2003-02-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP TRUSTEE indirect 2003-05-01
AEON CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2003-07-01
BIOPHARMA CAPITAL LIMITED SHAREHOLDER direct 2003-11-01
ALPHA INVESTMENT MANAGEMENT LLC MEMBER direct 2004-01-01
REAL ESTATE CAPITAL PARTNERS LP OWNER indirect 2004-07-01
MCLEAN BUDDEN LIMITED. SHAREHOLDER indirect 2004-11-01
RYAN LABS ASSET MANAGEMENT INC. SOLE SHAREHOLDER indirect 2004-12-01
SUN LIFE INSTITUTIONAL INVESTMENTS (U.S.) LLC SOLE SHAREHOLDER indirect 2004-12-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 2005-03-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP DESIGNATED MEMBER direct 2005-03-01
BLACKSQUARE CAPITAL LLP OWNER indirect 2005-06-01
POLYGON CREDIT HOLDINGS LTD. EQUITYHOLDER direct 2005-07-01
CYPRESS CAPITAL MANAGEMENT US LIMITED PARENT COMPANY direct 2005-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 indirect 2006-01-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 3: SHAREHOLDER OF SHAREHOLDER 2 indirect 2006-01-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 2006-04-01
BOSTON ADVISORS, LLC MEMBER direct 2006-04-01
FIRST STATE (HONG KONG) LLC ULTIMATE HOLDING COMPANY indirect 2006-04-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2006-04-01
K.J. HARRISON & PARTNERS (USA) INC. CORPORATION direct 2006-12-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED indirect 2007-06-01
HIGHSTREET ASSET MANAGEMENT U.S. INC. PARENT COMPANY indirect 2007-09-01
CYPRESS CAPITAL MANAGEMENT US LIMITED 100% OWNER PARENT indirect 2007-10-01
LASAIR CAPITAL LLC CLASS B MEMBER indirect 2007-10-01
AGF PRIVATE INVESTMENT ADVISORS INC. SHAREHOLDER indirect 2007-10-01
LASAIR CAPITAL LLC MANAGING MEMBER direct 2007-10-01
CYPRESS CAPITAL MANAGEMENT US LIMITED SHAREHOLDER indirect 2007-10-01
AGF PRIVATE INVESTMENT ADVISORS INC. 100% OWNER PARENT indirect 2007-10-01
HIGHSTREET ASSET MANAGEMENT U.S. INC. PARENT COMPANY indirect 2007-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 indirect 2008-06-01
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01
HIGHSTREET U.S. ASSET MANAGEMENT INC. PARENT COMPANY direct 2009-02-01
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. DIRECT OWNER direct 2009-06-01
KESTREL PARTNERS LLP SHAREHOLDER indirect 2009-06-01
HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-12-01
FINANCIALADVICE4ME, LLC MEMBER direct 2009-12-01
HANWHA ASSET MANAGEMENT (USA) LTD. DIRECT OWNER indirect 2010-06-01
INSTITUTIONAL SHAREHOLDER SERVICES INC. GENERAL PARTNER indirect 2010-08-01
CICC INVESTMENT MANAGEMENT (USA), INC. SOLE SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SOLE SHAREHOLDER indirect 2010-11-01
NEPHILA CAPITAL LTD. SHAREHOLDER indirect 2010-12-01
NEPHILA ADVISORS LLC SHAREHOLDER indirect 2010-12-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 6: SHAREHOLDER OF SHAREHOLDER 5 indirect 2012-02-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER direct 2012-06-01
SWISS AMERICAN ADVISORS LTD. SHAREHOLDER direct 2012-06-01
ELEVAR EQUITY MANAGEMENT LIMITED OWNER direct 2012-11-01
FORTIS ADVISORS, LLC GENERAL PARTNER indirect 2013-09-01
ARGO INFRASTRUCTURE PARTNERS LLC GENERAL PARTNER indirect 2013-12-01
F&C MANAGEMENT LIMITED INDIRECT SHAREHOLDER indirect 2014-01-01
INSTITUTIONAL SHAREHOLDER SERVICES INC. OWNER indirect 2014-04-01
AQM CAPITAL LLC MEMBER direct 2014-06-01
RESOLVE ASSET MANAGEMENT INC. OWNER direct 2014-11-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2014-11-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2014-11-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2015-03-01
RYAN LABS ASSET MANAGEMENT INC. SOLE SHAREHOLDER indirect 2015-04-01
PRIME ADVISORS INC SOLE SHAREHOLDER indirect 2015-07-01
UBS OCONNOR LLC HOLDING COMPANY direct 2015-08-01
UBS ASSET MANAGEMENT (AMERICAS) INC. SHAREHOLDER indirect 2015-08-01
UBS HEDGE FUND SOLUTIONS LLC HOLDING COMPANY direct 2015-08-01
FFCM LLC MEMBER direct 2015-11-01
FFCM LLC MEMBER indirect 2015-11-01
THREESIXTY ELEMENTS S.A. SHAREHOLDER direct 2016-02-01
MAXIMAI INVESTMENT PARTNERS, LLC MANAGING MEMBER direct 2016-09-01
TILLRIDGE CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2016-12-01
BROOKFIELD SOUNDVEST CAPITAL MANAGEMENT LTD. OWNER direct 2017-01-01
HANWHA ASSET MANAGEMENT (USA) LTD. DIRECT OWNER direct 2017-02-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01 2001-01-31
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01 2001-01-31
LAZARD ASSET MANAGEMENT CANADA INC SHAREHOLDER indirect 1984-06-01 2001-02-22
LAZARD ASSET MANAGEMENT CANADA INC SHAREHOLDER indirect 1984-06-01 2001-02-22
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1979-06-01 2001-02-28
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1997-05-01 2001-02-28
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-03-28
LADENBURG THALMANN ASSET MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-03-28
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2001-03-28
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LIMITED indirect 2000-06-01 2001-03-29
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-05-11
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2001-05-11
CLAY FINLAY INC 100% SHAREHOLDER OF CLAY FINLAY INC. direct 2001-04-01 2001-05-16
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF UNITED ASSET MANAGEMENT direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL (SOUTH AFRICA) LTD. direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 8.71% SHAREHOLDER OF OLD MUTUAL PLC direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL (NETHERLANDS) B.V. direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL LIFE ASSURANCE CO. (SOUTH AFRICA) LIMITED direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100 SHAREHOLDER OF OM GROUP (UK) LIMITED direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL LIFE HOLDINGS (SOUTH AFRICA) LIMITED direct 2000-09-01 2001-05-17
RS GROWTH GROUP LLC LIMITED PARTNER indirect 1999-03-01 2001-05-22
RS VALUE GROUP LLC LIMITED PARTNER indirect 1999-02-01 2001-05-25
RS INVESTMENT MANAGEMENT LP LLC direct 1999-03-01 2001-05-25
RS INVESTMENT MANAGEMENT INC LLC direct 1999-03-01 2001-05-25
ACADIAN ASSET MANAGEMENT INC 100% SHAREHOLDER OF REGISTRANT direct 2001-04-01 2001-06-06
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 1993-03-01 2001-06-12
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 1999-10-01 2001-06-12
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 2000-04-01 2001-06-12
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LTD indirect 1999-04-01 2001-09-25
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1996-07-01 2001-11-28
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1996-07-01 2001-11-28
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01 2001-11-28
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1997-05-01 2001-11-28
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF CMG FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01 2001-12-03
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF CMG FIRST STATE INVESTMENTS GROUP LIMITED indirect 2000-06-01 2001-12-03
AMERICAN SKANDIA ADVISORY SERVICES, INC. INDIRECT PARENT OF APPLICANT indirect 2000-10-01 2001-12-14
JURIKA & VOYLES LP SHAREHOLDER indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP SUPERVISOR indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP SHAREHOLDER indirect 2000-10-01 2002-01-15
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 13% OF LADENBURG THALMANN FINANACIAL SERVICES direct 1999-12-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2002-01-28
REICH & TANG ASSET MANAGEMENT LP SHAREHOLDER indirect 2000-10-01 2002-01-28
REICH & TANG ASSET MANAGEMENT,LLC SHAREHOLDER indirect 2000-10-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 16.3% OF LADENBURG THALMANN FINANCIAL SERVICES direct 2001-05-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 57.6% OF LADENBURG THALMANN FINANACIAL SERVICES direct 2001-05-01 2002-01-28
RREEF AMERICA LLC AFFILIATE indirect 1998-01-01 2002-03-27
AGF PRIVATE INVESTMENT ADVISORS INC. PARENT COMPANY direct 1971-03-01 2002-05-02
BIOPHARMA CAPITAL LIMITED SHAREHOLDER indirect 2001-04-01 2002-06-17
BIOPHARMA CAPITAL LIMITED TRUST indirect 2001-04-01 2002-06-17
PROEQUITIES INC PARENT direct 1984-08-01 2002-06-25
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF CMG FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01 2002-09-25
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LTD indirect 1999-04-01 2002-09-25
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2000-06-01 2003-01-13
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2000-12-01 2003-01-13
AMERICAN SKANDIA ADVISORY SERVICES, INC. INDIRECT PARENT OF APPLICANT indirect 2000-10-01 2003-03-26
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 6 direct 1986-02-01 2003-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 7 direct 1995-03-01 2003-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 8 direct 1995-07-01 2003-03-27
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2003-03-31
BIOPHARMA CAPITAL LIMITED SHAREHOLDER direct 2001-04-01 2003-05-20
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF BANKMONT FINANCIAL CORP. indirect 1989-09-01 2003-07-31
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF ROBECO INTERNATIONAL B.V. indirect 1997-02-01 2003-09-02
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF ROBECO GROUP N.V. indirect 1997-02-01 2003-09-02
HIM MONEGY, INC. SOLE SHAREHOLDER OF BANKMONT FINANCIAL CORP. indirect 1989-09-01 2003-10-09
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2003-12-04
NEEDELMAN ASSET MANAGEMENT INC MEMBER indirect 2002-08-01 2003-12-09
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY PTY LIMITED indirect 1999-04-01 2004-01-27
THUNDER BAY CAPITAL MANAGEMENT, LP NON-VOTING LIMITED PARTNER - CALEDONIAN BANK & TRUST LIMITED TRUSTEE indirect 2003-02-01 2004-03-19
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 1995-06-01 2004-03-31
HORNBLOWER FISCHER CAPITAL MANAGEMENT CORP. SHAREHOLDER direct 2002-11-01 2004-08-10
CLAYMORE FUND MANAGEMENT COMPANY LLC INDIRECT SHAREHOLDER direct 2001-05-01 2004-08-11
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF APPLICANT direct 1999-03-01 2004-10-12
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 5 direct 1986-02-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 4 direct 1986-02-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 2 direct 1986-11-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER direct 1986-11-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 3 direct 1986-12-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 1 direct 1991-03-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 8 direct 1995-03-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 9 direct 1995-07-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 10 direct 1995-07-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 6 direct 2001-05-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 7 direct 2001-05-01 2004-12-13
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2003-10-01 2005-03-02
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 1986-02-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 9: SHAREHOLDER OF 8 direct 1995-03-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 10: SHAREHOLDER OF 9 direct 1995-07-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 11: SHAREHOLDER OF 10 direct 1995-07-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC GENERAL MEMBER indirect 2000-03-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC OWNER indirect 2001-04-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 direct 2001-05-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 8: SHAREHOLDER OF 7 direct 2001-05-01 2005-03-29
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC GENERAL MEMBER indirect 2000-03-01 2005-03-30
LAZARD ALTERNATIVES, LLC GENERAL MEMBER indirect 2000-03-01 2005-03-30
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF APPLICANT direct 2003-12-01 2005-03-30
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF THE COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 1999-04-01 2005-06-07
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL HOLDING COMPANY (NO.2) PTY LIMITED indirect 1999-04-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF THE COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 1999-04-01 2005-10-03
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL HOLDING COMPANY PTY LIMITED indirect 1999-04-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 2000-06-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2000-06-01 2005-10-03
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2006-03-31
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY (NO.2) PTY LIMITED indirect 1999-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY LIMITED indirect 1999-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC ULTIMATE HOLDING COMPANY indirect 2000-06-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2000-06-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 2005-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 2005-04-01 2006-04-10
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01 2006-06-02
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01 2006-06-07
DAISHIN INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER direct 1999-08-01 2006-06-28
STANDARD PACIFIC CAPITAL LLC MEMBER indirect 2006-01-01 2006-07-20
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2004-11-01 2006-12-04
AGF PRIVATE INVESTMENT ADVISORS INC. 100% OWNER PARENT indirect 2001-07-01 2007-02-05
CYPRESS CAPITAL MANAGEMENT US LIMITED 100% OWNER PARENT indirect 2004-06-01 2007-02-09
FIRST STATE (HONG KONG) LLC MEMBER/HOLDING COMPANY OF MANAGING MEMBER direct 1999-04-01 2007-03-07
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2005-02-01 2007-03-24
MARTIN CURRIE INC INDIRECT OWNER indirect 2001-12-01 2007-03-29
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2007-03-30
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 1986-02-01 2007-08-09
FAIRFIELD GREENWICH ADVISORS LLC SHAREHOLDER indirect 2001-10-01 2008-03-26
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 direct 1986-02-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 1986-02-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 direct 1986-11-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 indirect 1986-11-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 indirect 1986-12-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 direct 1986-12-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 2005-03-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 indirect 2005-03-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 direct 2006-01-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 indirect 2006-01-01 2008-03-27
JUNO MOTHER EARTH ASSET MANAGEMENT, LLC MEMBER direct 2007-01-01 2008-04-30
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 3: SHAREHOLDER OF 2 direct 2006-01-01 2008-06-10
HAMON US INVESTMENT ADVISORS LTD CORPORATION direct 1989-07-01 2008-07-10
HAMON U.S. INVESTMENT ADVISORS LIMITED CORPORATION indirect 1992-03-01 2008-07-10
HAMON US INVESTMENT ADVISORS LTD CORPORATION indirect 1995-12-01 2008-07-10
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. SHAREHOLDER indirect 2007-10-01 2009-06-09
AGF ASSET MANAGEMENT GROUP US LIMITED SHAREHOLDER direct 2007-10-01 2009-06-09
YORK ASSET MANAGEMENT INC. OWNER indirect 2001-05-01 2010-01-12
YORK ASSET MANAGEMENT INC. TRUSTEE indirect 2001-12-01 2010-01-12
YORK ASSET MANAGEMENT INC. OWNER direct 2009-12-01 2010-01-12
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2010-03-26
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2010-03-26
TETRAGON FINANCIAL MANAGEMENT L.P. MEMBER indirect 2005-05-01 2010-12-22
TETRAGON FINANCIAL MANAGEMENT L.P. LIMITED PARTNER direct 2005-07-01 2010-12-22
TETRAGON FINANCIAL MANAGEMENT L.P. LIMITED PARTNER indirect 2007-12-01 2010-12-22
POLYGON MANAGEMENT L.P. GENERAL PARTNER direct 2009-06-01 2010-12-22
POLYGON MANAGEMENT L.P. GENERAL PARTNER indirect 2010-06-01 2010-12-22
POLYGON MANAGEMENT L.P. LIMITED PARTNER direct 2010-06-01 2010-12-22
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 4: SHAREHOLDER OF SHAREHOLDER 3 indirect 2006-01-01 2011-03-31
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-04-01
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2011-06-30
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2010-10-01 2011-06-30
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-08-05
HIM MONEGY, INC. SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-08-08
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER direct 1989-07-01 2012-03-28
HIM MONEGY, INC. SOLE SHAREHOLDER OF HARRIS INVESTMENT MANAGEMENT, INC. indirect 1989-09-01 2012-03-30
BISCAYNEAMERICAS ADVISERS L.L.C. MEMBER OF V-HENRIQUEZ HOLDINGS, LLC indirect 2005-12-01 2012-03-30
BISCAYNEAMERICAS ADVISERS L.L.C. SHAREHOLDER OF LW INVESTMENT MANAGEMENT, LTD. indirect 2007-12-01 2012-03-30
SALLFORT ADVISORS LTD. SHAREHOLDER direct 2009-12-01 2012-04-24
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 direct 1986-02-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 2: SHAREHOLDER OF 1 direct 1991-03-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 direct 2005-03-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 2006-01-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 direct 2008-06-01 2012-07-16
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS HOLDINGS indirect 1999-04-01 2012-08-16
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER indirect 1999-04-01 2012-08-16
HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-12-01 2012-12-13
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 1997-12-01 2013-01-04
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2004-11-01 2013-01-04
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2013-01-04
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01 2013-01-18
MARTIN CURRIE INC INDIRECT SHAREHOLDER indirect 2007-11-01 2014-07-30
KYOBO LIFE ASSET MANAGEMENT (AMERICA) CO., LTD. DIRECT OWNER direct 1996-07-01 2015-01-12
CABEZON INVESTMENT GROUP, LLC OWNER indirect 2001-08-01 2015-03-31
CABEZON INVESTMENT GROUP, LLC OWNER indirect 2003-03-01 2015-03-31
GUGGENHEIM PARTNERS LATIN AMERICA, INC. MEMBER indirect 2012-10-01 2015-03-31
UBS AGRIVEST LLC SHAREHOLDER indirect 2015-08-01 2015-09-01
UBS REALTY INVESTORS LLC SHAREHOLDER indirect 2015-08-01 2015-09-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED indirect 1999-04-01 2015-09-29
RESOLVE ASSET MANAGEMENT INC. OWNER direct 2015-02-01 2015-12-11
THREESIXTY ELEMENTS S.A. OWNER direct 2015-07-01 2016-01-12
HERITAGE INSTITUTIONAL SERVICES, LLC OWNER indirect 2010-12-01 2016-04-19
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2005-01-01 2016-06-15
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01 2016-07-25
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2005-01-01 2016-10-14
SUN CAPITAL ADVISERS LLC SOLE SHAREHOLDER indirect 2004-12-01 2016-12-21
DEVERE USA INC. SHAREHOLDER indirect 2012-02-01 2017-04-26
DEVERE USA INC. SHAREHOLDER indirect 2012-02-01 2017-05-31
COSGROVE, RICHARD, T. CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP CHIEF COMPLIANCE OFFICER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL direct 2012-03-01
MARTINDALE, WIGHT LIMITED PARTNER, EVP AND DIRECTOR OF BUSINESS DEVELOPMENT 03/01/2012 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP & DIRECTOR OF INVESTOR RELATIONS direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND DIRECTOR OF BUSINESS DEVELOPMENT direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND DIRECTOR OF INVESTOR RELATIONS direct 2012-03-01
SOLUS GP LLC GENERAL PARTNER 04/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER direct 2007-04-01
MARTIN, SCOTT LIMITED PARTNER, EVP AND PORTFOLIO MANAGER 03/01/2012 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP EVP & PORTFOLIO MANAGER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND PORTFOLIO MANAGER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP & PORTFOLIO MANAGER direct 2012-03-01
YEAGER, GORDON LIMITED PARTNER, EVP, CHIEF RISK OFFICER AND CHIEF OPERATING OFFICER 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP MANAGING DIRECTOR, CHIEF RISK AND OPERATIONS OFFICER direct 2007-07-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP, CHIEF RISK OFFICER AND CHIEF OPERATING OFFICER direct 2010-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP, CHIEF RISK AND OPERATIONS OFFICER direct 2010-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP, CHIEF OPERATIONS AND RISK OFFICER direct 2010-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP EVP, CHIEF OPERATIONS AND RISK OFFICER direct 2010-01-01
CHASE, RICHARD, DENNIS CHIEF FINANCIAL OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAVIDSON KEMPNER ADVISERS INC CHIEF FINANCIAL OFFICER direct 2007-10-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP CHIEF FINANCIAL OFFICER direct 2016-03-01
DAVIDSON KEMPNER CAPITAL MANAGEMENT LP CHIEF FINANCIAL OFFICER direct 2007-10-01
PUCILLO, CHRISTOPHER, ANTHONY LIMITED PARTNER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER 04/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP MEMBER indirect 2007-04-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2007-04-01
STANFIELD CAPITAL PARTNERS LLC MANAGEING DIRECTOR; HEAD OF TRADING direct 2000-03-01 2001-03-26
STANFIELD CAPITAL PARTNERS LLC PARTNER; HEAD OF TRADING direct 2000-03-01 2003-02-19
STANFIELD CAPITAL PARTNERS LLC PARTNER direct 2000-03-01 2007-03-30
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2007-04-01 2007-05-15
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2007-04-01 2012-04-24
BSCH A INTERMEDIATE L.P. LIMITED PARTNER BSCH MASTER I L.P. 01/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2014-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP LIMITED PARTNER indirect 2014-01-01
BSCH MASTER I L.P. LIMITED PARTNER BSCH MASTER I SUB (SOL-MGR) L.P. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2015-03-01
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2016-06-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP LIMITED PARTNER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP CLASS B PARTNER direct 2014-02-01
BSCH A (SOL-MGR) L.L.C. LIMITED PARTNER BSCH A INTERMEDIATE L.P. 03/01/2015 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2015-03-01
PUCILLO, CHRISTOPHER, ANTHONY MEMBER SOLUS GP LLC 04/01/2007 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP MEMBER indirect 2007-04-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2007-04-01
STANFIELD CAPITAL PARTNERS LLC MANAGEING DIRECTOR; HEAD OF TRADING direct 2000-03-01 2001-03-26
STANFIELD CAPITAL PARTNERS LLC PARTNER; HEAD OF TRADING direct 2000-03-01 2003-02-19
STANFIELD CAPITAL PARTNERS LLC PARTNER direct 2000-03-01 2007-03-30
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2007-04-01 2007-05-15
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2007-04-01 2012-04-24
BLACKSTONE STRATEGIC CAPITAL HOLDINGS L.P. LIMITED PARTNER BSCH MASTER I L.P. 01/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. LIMITED PARTNER indirect 2014-01-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP LIMITED PARTNER indirect 2014-01-01
ASF POLLOCK, L.P. LIMITED PARTNER BLACKSTONE STRATEGIC CAPITAL HOLDINGS L.P. 04/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER indirect 2018-04-01
BLACKSTONE STRATEGIC CAPITAL ASSOCIATES L.L.C. GENERAL PARTNER BSCH MASTER I SUB (SOL-MGR) L.P.; BSCH MASTER I L.P.; BLACKSTONE STRATEGIC CAPITAL HOLDINGS L.P.; BSCH A INTERMEDIATE L.P. 03/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2013-10-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2014-01-01
BLACKSTONE STRATEGIC CAPITAL ASSOCIATES L.L.C. GENERAL PARTNER BLACKSTONE STRATEGIC CAPITAL HOLDINGS (CAYMAN) L.P. 03/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
MARATHON ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP GENERAL PARTNER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2013-10-01
SENATOR INVESTMENT GROUP LP GENERAL PARTNER indirect 2014-01-01
BLACKSTONE STRATEGIC CAPITAL HOLDINGS (CAYMAN) L.P. SOLE MEMBER BSCH A (SOL-MGR) L.L.C. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MARATHON ASSET MANAGEMENT, L.P. SOLE MEMBER indirect 2015-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP SOLE MEMBER indirect 2015-03-01
SENATOR INVESTMENT GROUP LP SOLE MEMBER indirect 2014-01-01
SENATOR INVESTMENT GROUP LP SHAREHOLDER indirect 2014-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SOLA LTD Cayman Islands 805-4270875258 Hedge Fund 2,674,406,689 1,000,000 Master Fund
ULTRA MASTER LTD Cayman Islands 805-5606372491 Hedge Fund 67,571,658 250,000 Master Fund
SOLUS OPPORTUNITIES FUND 5 LP United States 805-7960083028 Hedge Fund 381,333,593 0 Master Fund
ULTRA NB LLC United States 805-8066568221 Hedge Fund 78,675,139 0
SOLUS LONG-TERM OPPORTUNITIES FUND MASTER LP Cayman Islands 805-1154600121 Hedge Fund 322,807,995 250,000 Master Fund
SOLUS SPC MASTER FUND LTD Cayman Islands 805-1777941915 Hedge Fund 41,184,351 500,000 Master Fund
SOLUS SENIOR HIGH INCOME FUND LP United States 805-2179791096 Hedge Fund 560,669,101 150,000 Master Fund
SOLUS OPPORTUNITIES FUND 3 LP United States 805-3943933427 Hedge Fund 86,295,550 0
SOLUS OPPORTUNITIES FUND 1 LP United States 805-8353070676 Hedge Fund 121,789,251 0
SOLUS OPPORTUNITIES FUND 4 LP United States 805-4984796535 Hedge Fund 214,236,065 500,000 Master Fund
SOLUS OPPORTUNITIES FUND 2 LP United States 805-1148011926 Hedge Fund 30,000,430 0

SOLUS ALTERNATIVE ASSET MANAGEMENT LP

ownership team - last updated 2020-03-30
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SOLA LTD Cayman Islands 805-4270875258 Hedge Fund 2,674,406,689 1,000,000 Master Fund
ULTRA MASTER LTD Cayman Islands 805-5606372491 Hedge Fund 67,571,658 250,000 Master Fund
SOLUS OPPORTUNITIES FUND 5 LP United States 805-7960083028 Hedge Fund 381,333,593 0 Master Fund
ULTRA NB LLC United States 805-8066568221 Hedge Fund 78,675,139 0
SOLUS LONG-TERM OPPORTUNITIES FUND MASTER LP Cayman Islands 805-1154600121 Hedge Fund 322,807,995 250,000 Master Fund
SOLUS SPC MASTER FUND LTD Cayman Islands 805-1777941915 Hedge Fund 41,184,351 500,000 Master Fund
SOLUS SENIOR HIGH INCOME FUND LP United States 805-2179791096 Hedge Fund 560,669,101 150,000 Master Fund
SOLUS OPPORTUNITIES FUND 3 LP United States 805-3943933427 Hedge Fund 86,295,550 0
SOLUS OPPORTUNITIES FUND 1 LP United States 805-8353070676 Hedge Fund 121,789,251 0
SOLUS OPPORTUNITIES FUND 2 LP United States 805-1148011926 Hedge Fund 30,000,430 0
SOLUS OPPORTUNITIES FUND 4 LP United States 805-4984796535 Hedge Fund 214,236,065 500,000 Master Fund

SOLUS ALTERNATIVE ASSET MANAGEMENT LP

ownership team - last updated 2019-05-01
Name Title Start Date Direct/Indirect % Ownership
LANKTREE, CHARLES LIMITED PARTNER, EVP AND PORTFOLIO MANAGER 03/01/2012 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SOLUS ALTERNATIVE ASSET MANAGEMENT LP EVP & PORTFOLIO MANAGER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP AND PORTFOLIO MANAGER direct 2012-03-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER, EVP & PORTFOLIO MANAGER direct 2012-03-01
BSCH MASTER I SUB (SOL-MGR) L.P. LIMITED PARTNER 03/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LAJU (CAYMAN) LIMITED LISTED COMPANY indirect 1969-07-01
MARTIN CURRIE INC PARENT COMPANY direct 1978-10-01
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED PARENT COMPANY direct 1978-10-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1979-06-01
ALPHA INVESTMENT MANAGEMENT LLC SOLE SHAREHOLDER indirect 1984-05-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. SHAREHOLDER indirect 1985-06-01
CYPRESS CAPITAL MANAGEMENT US LIMITED SHAREHOLDER indirect 1985-06-01
AGF PRIVATE INVESTMENT ADVISORS INC. SHAREHOLDER indirect 1985-06-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 indirect 1986-02-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 1: SHAREHOLDER OF APPLICANT direct 1986-11-01
DAISHIN INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER direct 1988-03-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1989-07-01
BMO ASSET MANAGEMENT CORP. SOLE SHAREHOLDER OF BMO FINANCIAL CORP. indirect 1989-09-01
MONEGY, INC. SOLE SHAREHOLDER OF BMO FINANCIAL CORP. indirect 1989-09-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 2: SHAREHOLDER OF 1 indirect 1991-03-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1992-03-01
FUJI-LORD ABBETT INTERNATIONAL, LTD SHAREHOLDER direct 1992-06-01
EDINBURGH FUND MANAGERS PLC SHAREHOLDER direct 1995-04-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1995-12-01
PALADIN INVESTMENT ASSOCIATES, LLC SHAREHOLDER indirect 1995-12-01
ABERDEEN AMERICA INC. MINORITY SHAREHOLDER direct 1996-05-01
KYOBO LIFE ASSET MANAGEMENT (AMERICA) CO., LTD. SOLE MEMBER direct 1996-07-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01
MCLEAN BUDDEN LIMITED. SHAREHOLDER indirect 1997-12-01
INDOCAM INTERNATIONAL INVESTMENT SERVICES PARENT direct 1998-01-01
ASHMORE INVESTMENT MANAGEMENT LTD PARENT COMPANY direct 1999-02-01
ASHMORE INVESTMENT MANAGEMENT LTD ULTIMATE PARENT COMPANY indirect 1999-02-01
ASHMORE INVESTMENT ADVISORS LIMITED PARENT COMPANY direct 1999-02-01
ASHMORE INVESTMENT ADVISORS LIMITED ULTIMATE PARENT COMPANY indirect 1999-02-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS SINGAPORE direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED direct 1999-04-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE (HONG KONG) LLC MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FSIB LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS HOLDINGS (SINGAPORE) indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MEMBER/HOLDING COMPANY OF MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 1999-04-01
ACKER FINLEY ASSET MANAGEMENT USA INC. SHAREHOLDER direct 1999-07-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP SHAREHOLDER indirect 2000-01-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER direct 2000-02-01
LAZARD PENSION MANAGEMENT INC GENERAL MEMBER indirect 2000-03-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC GENERAL MEMBER indirect 2000-03-01
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 2000-06-01
PANGAEA ASSET MANAGEMENT, LLC MEMBER indirect 2000-06-01
ACCESS INVESTMENT ADVISORS LLC SHAREHOLDER indirect 2000-08-01
MARTIN CURRIE GLOBAL INVESTORS LIMITED PARENT COMPANY direct 2000-08-01
KOBRICK FUNDS LLC SHAREHOLDER indirect 2000-10-01
KOBRICK FUNDS LLC SUPERVISOR indirect 2000-10-01
KOBRICK FUNDS LLC SHAREHOLDER indirect 2000-10-01
LAZARD DEBT RECOVERY MANAGEMENT OWNER indirect 2001-04-01
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 2001-05-01
YORK ASSET MANAGEMENT LIMITED OWNER indirect 2001-05-01
LADENBURG THALMANN FUND MANAGEMENT LLC SHAREHOLDER indirect 2001-05-01
YORK ASSET MANAGEMENT LIMITED OWNER direct 2001-05-01
AGF PRIVATE INVESTMENT ADVISORS INC. PARENT COMPANY direct 2001-07-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP SHAREHOLDER indirect 2001-09-01
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2001-10-01
SUTRO & CO. INCORPORATED INDIRECT OWNER indirect 2001-10-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
YORK ASSET MANAGEMENT LIMITED TRUSTEE indirect 2001-12-01
BTC CAPITAL MANAGEMENT, INC. CONTROL PERSON indirect 2002-03-01
POLYGON INVESTMENTS LTD. EQUITYHOLDER direct 2002-11-01
REAL ESTATE CAPITAL PARTNERS LP OWNER indirect 2002-12-01
ALPHA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2003-01-01
ALPHA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2003-01-01
THUNDER BAY CAPITAL MANAGEMENT, LP NON - VOTING LIMITED PARTNER direct 2003-02-01
THUNDER BAY CAPITAL MANAGEMENT, LP TRUSTEE- AB 2003 TRUST direct 2003-02-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP TRUSTEE indirect 2003-05-01
AEON CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2003-07-01
BIOPHARMA CAPITAL LIMITED SHAREHOLDER direct 2003-11-01
ALPHA INVESTMENT MANAGEMENT LLC MEMBER direct 2004-01-01
REAL ESTATE CAPITAL PARTNERS LP OWNER indirect 2004-07-01
MCLEAN BUDDEN LIMITED. SHAREHOLDER indirect 2004-11-01
RYAN LABS ASSET MANAGEMENT INC. SOLE SHAREHOLDER indirect 2004-12-01
SUN LIFE INSTITUTIONAL INVESTMENTS (U.S.) LLC SOLE SHAREHOLDER indirect 2004-12-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 2005-03-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP DESIGNATED MEMBER direct 2005-03-01
BLACKSQUARE CAPITAL LLP OWNER indirect 2005-06-01
POLYGON CREDIT HOLDINGS LTD. EQUITYHOLDER direct 2005-07-01
CYPRESS CAPITAL MANAGEMENT US LIMITED PARENT COMPANY direct 2005-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 indirect 2006-01-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 3: SHAREHOLDER OF SHAREHOLDER 2 indirect 2006-01-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 2006-04-01
BOSTON ADVISORS, LLC MEMBER direct 2006-04-01
FIRST STATE (HONG KONG) LLC ULTIMATE HOLDING COMPANY indirect 2006-04-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2006-04-01
K.J. HARRISON & PARTNERS (USA) INC. CORPORATION direct 2006-12-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED indirect 2007-06-01
HIGHSTREET ASSET MANAGEMENT U.S. INC. PARENT COMPANY indirect 2007-09-01
CYPRESS CAPITAL MANAGEMENT US LIMITED 100% OWNER PARENT indirect 2007-10-01
LASAIR CAPITAL LLC CLASS B MEMBER indirect 2007-10-01
AGF PRIVATE INVESTMENT ADVISORS INC. SHAREHOLDER indirect 2007-10-01
LASAIR CAPITAL LLC MANAGING MEMBER direct 2007-10-01
CYPRESS CAPITAL MANAGEMENT US LIMITED SHAREHOLDER indirect 2007-10-01
AGF PRIVATE INVESTMENT ADVISORS INC. 100% OWNER PARENT indirect 2007-10-01
HIGHSTREET ASSET MANAGEMENT U.S. INC. PARENT COMPANY indirect 2007-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 indirect 2008-06-01
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01
HIGHSTREET U.S. ASSET MANAGEMENT INC. PARENT COMPANY direct 2009-02-01
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. DIRECT OWNER direct 2009-06-01
KESTREL PARTNERS LLP SHAREHOLDER indirect 2009-06-01
HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-12-01
FINANCIALADVICE4ME, LLC MEMBER direct 2009-12-01
HANWHA ASSET MANAGEMENT (USA) LTD. DIRECT OWNER indirect 2010-06-01
INSTITUTIONAL SHAREHOLDER SERVICES INC. GENERAL PARTNER indirect 2010-08-01
CICC INVESTMENT MANAGEMENT (USA), INC. SOLE SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SOLE SHAREHOLDER indirect 2010-11-01
NEPHILA CAPITAL LTD. SHAREHOLDER indirect 2010-12-01
NEPHILA ADVISORS LLC SHAREHOLDER indirect 2010-12-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 6: SHAREHOLDER OF SHAREHOLDER 5 indirect 2012-02-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER direct 2012-06-01
SWISS AMERICAN ADVISORS LTD. SHAREHOLDER direct 2012-06-01
ELEVAR EQUITY MANAGEMENT LIMITED OWNER direct 2012-11-01
FORTIS ADVISORS, LLC GENERAL PARTNER indirect 2013-09-01
ARGO INFRASTRUCTURE PARTNERS LLC GENERAL PARTNER indirect 2013-12-01
F&C MANAGEMENT LIMITED INDIRECT SHAREHOLDER indirect 2014-01-01
INSTITUTIONAL SHAREHOLDER SERVICES INC. OWNER indirect 2014-04-01
AQM CAPITAL LLC MEMBER direct 2014-06-01
RESOLVE ASSET MANAGEMENT INC. OWNER direct 2014-11-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2014-11-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2014-11-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2015-03-01
RYAN LABS ASSET MANAGEMENT INC. SOLE SHAREHOLDER indirect 2015-04-01
PRIME ADVISORS INC SOLE SHAREHOLDER indirect 2015-07-01
UBS OCONNOR LLC HOLDING COMPANY direct 2015-08-01
UBS ASSET MANAGEMENT (AMERICAS) INC. SHAREHOLDER indirect 2015-08-01
UBS HEDGE FUND SOLUTIONS LLC HOLDING COMPANY direct 2015-08-01
FFCM LLC MEMBER direct 2015-11-01
FFCM LLC MEMBER indirect 2015-11-01
THREESIXTY ELEMENTS S.A. SHAREHOLDER direct 2016-02-01
MAXIMAI INVESTMENT PARTNERS, LLC MANAGING MEMBER direct 2016-09-01
TILLRIDGE CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2016-12-01
BROOKFIELD SOUNDVEST CAPITAL MANAGEMENT LTD. OWNER direct 2017-01-01
HANWHA ASSET MANAGEMENT (USA) LTD. DIRECT OWNER direct 2017-02-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01 2001-01-31
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01 2001-01-31
LAZARD ASSET MANAGEMENT CANADA INC SHAREHOLDER indirect 1984-06-01 2001-02-22
LAZARD ASSET MANAGEMENT CANADA INC SHAREHOLDER indirect 1984-06-01 2001-02-22
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1979-06-01 2001-02-28
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1997-05-01 2001-02-28
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-03-28
LADENBURG THALMANN ASSET MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-03-28
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2001-03-28
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LIMITED indirect 2000-06-01 2001-03-29
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-05-11
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2001-05-11
CLAY FINLAY INC 100% SHAREHOLDER OF CLAY FINLAY INC. direct 2001-04-01 2001-05-16
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF UNITED ASSET MANAGEMENT direct 2000-09-01 2001-05-17