SOUND POINT CAPITAL MANAGEMENT, LP

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

Sound Point Capital Management is based out of New York. Sound Point Capital Management is a large advisory firm with 40 clients and discretionary assets under management (AUM) of $18,443,880,663 (Form ADV from 2019-01-01). Their last reported 13F filing for Q2 2019 included $152,134,000 in managed 13F securities and a top 10 holdings concentration of 89.32%. Sound Point Capital Management's largest holding is iShares Russell 2000 ETF with shares held of 188,500. Whalewisdom has at least 17 13F filings, and 1 Form 4 filings

Download 13F Summary to Excel Create Email Alert

06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $152.134 Million
  • Prior Market Value $252.011 Million
  • New Purchases3 stocks
  • Additional Purchases2 stocks
  • Sold out of5 stocks
  • Reduced holdings in10 stocks
  • Top 10 Holdings % 89.32 %
  • Turnover % [1]:42.11%
  • Turnover Alt % [2]: 90.23 %
  • Time Held Top20:3.42 quarters
  • Time Held Top10:1.60 quarters
  • Time Held All:5.89 quarters

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

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

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -11.89%
Performance Last 4 Quarters: -32.05%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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

Security Types:

Refresh
*Shares are split adjusted
Click here to report any possible errors with this listing.
13F Filings Available:
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR/A (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR/A (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

SOUND POINT CAPITAL MANAGEMENT, LP
Classified as Hedge Fund
375 PARK AVENUE 33RD FLOOR
NEW YORK NY    10152
Country: United States

Business Phone: (212) 895-2280
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Partnership
Organized in: DE
Number of employees: 60
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees,REDEMPTION FEES MAY BE CHARGED FOR EARLY REDEMPTIONS.
Amount of client funds and securities:
Total Number of Clients: 40
Amount of client funds and securities by related persons: 2,884,080,000
Total Number of clients from related persons: 8
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

Sign in to see

Form 4 - Recent Insider Transactions

Loading...

SOUND POINT CAPITAL MANAGEMENT, LP

ownership team - last updated 2019-05-23
Name Title Start Date Direct/Indirect % Ownership
KETCHUM, STEPHEN, JEROME MANAGING PARTNER 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2008-09-01
SOUND POINT CAPITAL MANAGEMENT, LP CEO direct 2009-09-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-09-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2009-09-01
GERLITZ, KEVIN, PETER CHIEF FINANCIAL OFFICER 04/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAVEN ASSET MANAGEMENT, LLC CFO direct 2005-04-01
RAVEN ASSET MANAGEMENT, LLC CCO direct 2005-04-01
RAVEN ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-04-01
SOUND POINT CAPITAL MANAGEMENT, LP CHIEF FINANCIAL OFFICER direct 2010-04-01
SOUND POINT CAPITAL MANAGEMENT, LP CFO direct 2010-04-01
SOUND POINT CAPITAL MANAGEMENT, LP CHIEF COMPLIANCE OFFICER direct 2010-04-01
SPC PARTNERS GP, LLC GENERAL PARTNER 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER direct 2009-09-01
DAVIS, CHARLES, ARTHUR LIMITED PARTNER 10/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC MANAGING MEMBER indirect 2006-12-01
LANCASTER POLLARD ASSET MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
PRIMA CAPITAL ADVISORS LLC MANAGING MEMBER indirect 2008-12-01
CASTLE POINT CAPITAL MANAGEMENT, LLC DIRECTOR direct 2006-03-01
AMHERST ADVISORY & MANAGEMENT LLC MANAGING MEMBER indirect 2003-10-01
STONE POINT CAPITAL LLC CHIEF EXECUTIVE OFFICER AND MEMBER OF SPC FIELD PARTNERS LLC direct 2005-05-01
STONE POINT CAPITAL LLC CHIEF EXECUTIVE OFFICER, MEMBER direct 2005-05-01
STONE POINT CAPITAL LLC CHIEF EXECUTIVE OFFICER OF SPC MANAGEMENT HOLDINGS LLC direct 2012-12-01
STONE POINT CAPITAL LLC MEMBER OF SPC FIELD PARTNERS LLC indirect 2013-12-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-11-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER indirect 2009-11-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2014-10-01
SKY HARBOR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2008-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MANAGING MEMBER indirect 2003-10-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MANAGING MEMBER indirect 2008-12-01
BROADSTONE REAL ESTATE, LLC MEMBER indirect 2013-12-01
EAGLE POINT CREDIT MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
ENHANCED CAPITAL PARTNERS, LLC MANAGING MEMBER indirect 2008-12-01
TREE LINE CAPITAL PARTNERS, LLC MANAGING MEMBER indirect 2011-12-01
AMHERST CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2003-10-01
BROADSTONE ASSET MANAGEMENT, LLC MEMBER indirect 2013-12-01
MARBLE POINT CREDIT MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
FRIEDMAN, STEPHEN, NMN LIMITED PARTNER 10/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CASTLE POINT CAPITAL MANAGEMENT, LLC DIRECTOR direct 2009-01-01
STONE POINT CAPITAL LLC CHAIRMAN AND MEMBER OF SPC FIELD PARTNERS LLC direct 2005-05-01
STONE POINT CAPITAL LLC CHAIRMAN, MEMBER direct 2005-05-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-11-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER indirect 2009-11-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2014-10-01
BROADSTONE REAL ESTATE, LLC MEMBER indirect 2013-12-01
BROADSTONE ASSET MANAGEMENT, LLC MEMBER indirect 2013-12-01
CAREY, JAMES, DAWSON MEMBER, BOARD OF MANAGERS 11/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC MANAGING MEMBER indirect 2006-12-01
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC DIRECTOR direct 2007-12-01
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC DIRECTOR, MEMBER direct 2007-12-01
LANCASTER POLLARD ASSET MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
PRIMA CAPITAL ADVISORS LLC MANAGING MEMBER indirect 2008-12-01
AMHERST ADVISORY & MANAGEMENT LLC MANAGING MEMBER indirect 2005-03-01
STONE POINT CAPITAL LLC SENIOR PRINCIPAL, MEMBER direct 2005-05-01
STONE POINT CAPITAL LLC SENIOR PRINCIPAL AND MEMBER OF SPC FIELD PARTNERS LLC direct 2005-05-01
STONE POINT CAPITAL LLC SENIOR PRINCIPAL OF SPC MANAGEMENT HOLDINGS LLC direct 2012-12-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER, BOARD OF MANAGERS direct 2009-11-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-11-01
SKY HARBOR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2008-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MANAGING MEMBER indirect 2005-03-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MANAGING MEMBER indirect 2008-12-01
BROADSTONE REAL ESTATE, LLC MEMBER indirect 2005-03-01
EAGLE POINT CREDIT MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
EAGLE POINT CREDIT MANAGEMENT LLC DIRECTOR indirect 2012-11-01
EAGLE POINT CREDIT MANAGEMENT LLC BOARD OF MANAGERS direct 2012-12-01
EAGLE POINT CREDIT MANAGEMENT LLC BOARD OF MANAGERS (ELECTED MANAGER) direct 2012-12-01
ENHANCED CAPITAL PARTNERS, LLC MANAGING MEMBER indirect 2008-12-01
TREE LINE CAPITAL PARTNERS, LLC MANAGING MEMBER indirect 2008-12-01
AMHERST CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2005-03-01
BROADSTONE ASSET MANAGEMENT, LLC MEMBER indirect 2005-03-01
MARBLE POINT CREDIT MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
MARBLE POINT CREDIT MANAGEMENT LLC BOARD OF MANAGERS indirect 2012-12-01
RUBERTI, WENDY, RAPP GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLINTON GROUP, LLC CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER direct 2004-08-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2017-02-01
CLINTON GROUP, INC CLO, CCO direct 1998-04-01 2003-04-11
CLINTON GROUP, INC CLO direct 1998-04-01 2004-04-01
CLINTON GROUP, INC CLO/CCO direct 1998-04-01 2006-03-22
CLINTON GROUP, INC CHIEF COMPLIANCE OFFICER direct 1998-04-01 2008-03-31
CLAREN ROAD ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2009-07-01 2011-10-18
CLAREN ROAD ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER - CLAREN ROAD ASSET MANAGEMENT, LLC AND CLAREN ROAD ASIA LIMITED (RELYING ADVISER) direct 2009-07-01 2014-12-22
CLAREN ROAD ASSET MANAGEMENT, LLC GENERAL COUNSEL- CLAREN ROAD ASSET MANAGEMENT, LLC AND CLAREN ROAD ASIA LIMITED (RELYING ADVISER) direct 2009-07-01 2016-01-12
CLAREN ROAD ASSET MANAGEMENT, LLC CHIEF LEGAL OFFICER - CLAREN ROAD ASSET MANAGEMENT, LLC AND CLAREN ROAD ASIA LIMITED (RELYING ADVISER) direct 2015-03-01 2016-06-15
DYAL CAPITAL PARTNERS II (A) LP LIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LP 03/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
JANA PARTNERS LLC NON-MANAGING MEMBER OF JANA PARTNERS LLC direct 2015-03-01
JANA PARTNERS LLC DIRECT OWNER OF RELYING ADVISER direct 2015-03-01
ATALAYA CAPITAL MANAGEMENT LP LIMITED PARTNER OF ATALAYA CAPITAL MANAGEMENT LP direct 2017-07-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LP direct 2017-03-01
KETCHUM PARTNERS LLC LIMITED PARTNER 09/01/2009 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2009-09-01
SEELAUS, SARAH, ZELLER CHIEF OPERATING OFFICER 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUND POINT CLO C-MOA, LLC CHIEF OPERATING OFFICER direct 2018-09-01
SOUND POINT CLO C-MOA, LLC CHIEF OPERATING OFFICER indirect 2018-09-01
SOUND POINT CAPITAL MANAGEMENT, LP CHIEF OPERATING OFFICER direct 2018-09-01
WERMUTH, DAVID, JAY LIMITED PARTNER 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC MANAGING MEMBER indirect 2006-12-01
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC DIRECTOR direct 2007-12-01
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC DIRECTOR, MEMBER direct 2007-12-01
LANCASTER POLLARD ASSET MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
PRIMA CAPITAL ADVISORS LLC MANAGING MEMBER indirect 2008-12-01
AMHERST ADVISORY & MANAGEMENT LLC MANAGING MEMBER indirect 2005-03-01
STONE POINT CAPITAL LLC GENERAL COUNSEL, SENIOR PRINCIPAL AND MEMBER OF SPC FIELD PARTNERS LLC direct 2005-05-01
STONE POINT CAPITAL LLC GENERAL COUNSEL, SENIOR PRINCIPAL, SECRETARY, MEMBER direct 2005-05-01
STONE POINT CAPITAL LLC GENERAL COUNSEL, SENIOR PRINCIPAL AND SECRETARY OF SPC MANAGEMENT HOLDINGS LLC direct 2012-12-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-11-01
SKY HARBOR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2008-12-01
SKY HARBOR CAPITAL MANAGEMENT, LLC ELECTED MANAGER indirect 2011-08-01
SKY HARBOR CAPITAL MANAGEMENT LLC MANAGER indirect 2011-08-01
SKY HARBOR CAPITAL MANAGEMENT, LLC ELECTED MANAGER direct 2011-09-01
SKY HARBOR CAPITAL MANAGEMENT, LLC ELECTED MANAGER direct 2011-11-01
SKY HARBOR CAPITAL MANAGEMENT, LLC ELECTED MEMBER direct 2011-11-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MANAGING MEMBER indirect 2005-03-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MANAGING MEMBER indirect 2008-12-01
BROADSTONE REAL ESTATE, LLC MEMBER indirect 2013-12-01
EAGLE POINT CREDIT MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
ENHANCED CAPITAL PARTNERS, LLC MANAGING MEMBER indirect 2008-12-01
TREE LINE CAPITAL PARTNERS, LLC MANAGING MEMBER indirect 2008-12-01
AMHERST CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2005-03-01
BROADSTONE ASSET MANAGEMENT, LLC MEMBER indirect 2013-12-01
MARBLE POINT CREDIT MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
ZERBIB, NICOLAS, DAVID LIMITED PARTNER 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC MANAGING MEMBER indirect 2006-12-01
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC DIRECTOR direct 2007-12-01
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC DIRECTOR, MEMBER direct 2007-12-01
LANCASTER POLLARD ASSET MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
PRIMA CAPITAL ADVISORS LLC MANAGING MEMBER indirect 2008-12-01
CASTLE POINT CAPITAL MANAGEMENT, LLC DIRECTOR direct 2010-01-01
CASTLE POINT CAPITAL MANAGEMENT, LLC CO-CEO & DIRECTOR direct 2010-11-01
AMHERST ADVISORY & MANAGEMENT LLC MANAGING MEMBER indirect 2006-11-01
STONE POINT CAPITAL LLC SENIOR PRINCIPAL, MEMBER direct 2005-05-01
STONE POINT CAPITAL LLC SENIOR PRINCIPAL AND MEMBER OF SPC FIELD PARTNERS LLC direct 2005-05-01
STONE POINT CAPITAL LLC SENIOR PRINCIPAL OF SPC MANAGEMENT HOLDINGS LLC direct 2012-12-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-11-01
SKY HARBOR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2008-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MANAGING MEMBER indirect 2006-11-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MANAGING MEMBER indirect 2008-12-01
BROADSTONE REAL ESTATE, LLC MEMBER indirect 2013-12-01
EAGLE POINT CREDIT MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
ENHANCED CAPITAL PARTNERS, LLC MANAGING MEMBER indirect 2008-12-01
TREE LINE CAPITAL PARTNERS, LLC MANAGING MEMBER indirect 2008-12-01
AMHERST CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2006-12-01
BROADSTONE ASSET MANAGEMENT, LLC MEMBER indirect 2013-12-01
MARBLE POINT CREDIT MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
KETCHUM, STEPHEN, JEROME MANAGING MEMBER SPC PARTNERS GP, LLC AND KETCHUM PARTNERS LLC 09/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2008-09-01
SOUND POINT CAPITAL MANAGEMENT, LP CEO direct 2009-09-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-09-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2009-09-01
NB DYAL ASSOCIATES II LP GENERAL PARTNER DYAL CAPITAL PARTNERS II (A) LP AND DYAL CAPITAL PARTNERS II (B) LP 09/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2013-09-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2013-09-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-09-01
NB DYAL GP HOLDINGS LLC GENERAL PARTNER NB DYAL ASSOCIATES II LP 08/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2015-04-01
BLUE HARBOUR GROUP, L.P. GENERAL PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2013-08-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
HALCYON CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2010-02-01
NB ALTERNATIVES GP HOLDINGS LLC MANAGING MEMBER NB DYAL GP HOLDINGS LLC 02/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2010-02-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
NEUBERGER BERMAN GROUP LLC MANAGING MEMBER NB ALTERNATIVES HOLDINGS LLC 02/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN INVESTMENT ADVISERS LLC MEMBER indirect 2009-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC HOLDING COMPANY indirect 2009-02-01
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED HOLDING COMPANY indirect 2009-05-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-02-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01
NB ALTERNATIVES HOLDINGS LLC MANAGING MEMBER NB ALTERNATIVES GP HOLDINGS LLC 02/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER direct 2009-05-01
SCOPIA FUND MANAGEMENT LLC MANAGING MEMBER indirect 2009-05-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-02-01
NB ALTERNATIVES ADVISERS LLC HOLDING COMPANY direct 2009-02-01
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER direct 2009-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-02-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-05-01
NBSH ACQUISITION LLC MEMBER NEUBERGER BERMAN GROUP LLC 02/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-05-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SOUND POINT CLO XVIII, LTD Cayman Islands 805-8202415952 Securitized Asset Fund 765,813,731 250,000
SOUND POINT CLO VII-R, LTD Cayman Islands 805-7641306032 Securitized Asset Fund 478,379,617 250,000
SOUND POINT CLO VIII, LTD. Cayman Islands 805-8557298838 Securitized Asset Fund 565,641,922 250,000
SOUND POINT CLO XVII, LTD Cayman Islands 805-8145428519 Securitized Asset Fund 766,579,004 250,000
SOUND POINT CLO XII, LTD Cayman Islands 805-2268687138 Securitized Asset Fund 669,937,656 250,000
SOUND POINT CLO XVI, LTD Cayman Islands 805-2155981056 Securitized Asset Fund 763,737,916 250,000
SOUND POINT CLO XV, LTD Cayman Islands 805-8334643761 Securitized Asset Fund 621,085,624 250,000
SOUND POINT BEACON MASTER FUND, LP Cayman Islands 805-5877495801 Hedge Fund 345,755,772 1,000,000 Master Fund
SOUND POINT CLO IX, LTD Cayman Islands 805-9942464119 Securitized Asset Fund 479,308,957 250,000
SOUND POINT CLO XIV, LTD Cayman Islands 805-6709297868 Securitized Asset Fund 667,535,305 250,000
SOUND POINT CLO XI, LTD Cayman Islands 805-1519970190 Securitized Asset Fund 479,685,917 250,000
SOUND POINT CLO X, LTD Cayman Islands 805-8024863849 Securitized Asset Fund 435,022,400 250,000
SOUND POINT CLO MASTER FUND, LP United States 805-1925541873 Hedge Fund 412,934,830 250,000 Master Fund
SOUND POINT CLO III-R, LTD Cayman Islands 805-6135236439 Securitized Asset Fund 475,110,817 250,000
SOUND POINT CLO IV-R, LTD Cayman Islands 805-6797566693 Securitized Asset Fund 570,907,797 250,000
SOUND POINT STRATEGIC CAPITAL FUND, LP United States 805-1880817641 Hedge Fund 346,506,554 5,000,000
SOUND POINT SENIOR FLOATING RATE MASTER FUND, LP Cayman Islands 805-8382177829 Other Private Fund LONG ONLY FUND 1,583,935,160 250,000 Master Fund
SP CO-INVEST FUND, LLC United States 805-5128428683 Hedge Fund 44,841,334 32,250
SOUND POINT MONTAUK FUND, LP Cayman Islands 805-2140790947 Hedge Fund 43,819,892 5,000,000
SOUND POINT CLO V-R, LTD Cayman Islands 805-8090434209 Securitized Asset Fund 571,653,201 250,000
SOUND POINT CLO VI-R, LTD Cayman Islands 805-5951962525 Securitized Asset Fund 572,880,827 250,000
SOUND POINT CREDIT OPPORTUNITIES MASTER FUND, LP Cayman Islands 805-4813685734 Hedge Fund 1,012,982,115 1,000,000 Master Fund
SOUND POINT CLO II, LTD. Cayman Islands 805-8591049681 Securitized Asset Fund 525,375,606 250,000
SOUND POINT CLO XX, LTD Cayman Islands 805-3071122568 Securitized Asset Fund 767,020,540 250,000
SOUND POINT CLO XIX, LTD Cayman Islands 805-4778989513 Securitized Asset Fund 476,868,164 250,000
SOUND POINT CLO XXI, LTD. Cayman Islands 805-3462938222 Securitized Asset Fund 482,331,675 250,000

SOUND POINT CAPITAL MANAGEMENT, LP

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
KETCHUM, STEPHEN, JEROME MANAGING PARTNER 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2008-09-01
SOUND POINT CAPITAL MANAGEMENT, LP CEO direct 2009-09-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-09-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2009-09-01
GERLITZ, KEVIN, PETER CHIEF FINANCIAL OFFICER 04/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAVEN ASSET MANAGEMENT, LLC CFO direct 2005-04-01
RAVEN ASSET MANAGEMENT, LLC CCO direct 2005-04-01
RAVEN ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-04-01
SOUND POINT CAPITAL MANAGEMENT, LP CHIEF FINANCIAL OFFICER direct 2010-04-01
SOUND POINT CAPITAL MANAGEMENT, LP CFO direct 2010-04-01
SOUND POINT CAPITAL MANAGEMENT, LP CHIEF COMPLIANCE OFFICER direct 2010-04-01
SPC PARTNERS GP, LLC GENERAL PARTNER 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER direct 2009-09-01
DAVIS, CHARLES, ARTHUR LIMITED PARTNER 10/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC MANAGING MEMBER indirect 2006-12-01
LANCASTER POLLARD ASSET MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
PRIMA CAPITAL ADVISORS LLC MANAGING MEMBER indirect 2008-12-01
CASTLE POINT CAPITAL MANAGEMENT, LLC DIRECTOR direct 2006-03-01
AMHERST ADVISORY & MANAGEMENT LLC MANAGING MEMBER indirect 2003-10-01
STONE POINT CAPITAL LLC CHIEF EXECUTIVE OFFICER AND MEMBER OF SPC FIELD PARTNERS LLC direct 2005-05-01
STONE POINT CAPITAL LLC CHIEF EXECUTIVE OFFICER, MEMBER direct 2005-05-01
STONE POINT CAPITAL LLC CHIEF EXECUTIVE OFFICER OF SPC MANAGEMENT HOLDINGS LLC direct 2012-12-01
STONE POINT CAPITAL LLC MEMBER OF SPC FIELD PARTNERS LLC indirect 2013-12-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-11-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER indirect 2009-11-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2014-10-01
SKY HARBOR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2008-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MANAGING MEMBER indirect 2003-10-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MANAGING MEMBER indirect 2008-12-01
BROADSTONE REAL ESTATE, LLC MEMBER indirect 2013-12-01
EAGLE POINT CREDIT MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
ENHANCED CAPITAL PARTNERS, LLC MANAGING MEMBER indirect 2008-12-01
TREE LINE CAPITAL PARTNERS, LLC MANAGING MEMBER indirect 2011-12-01
AMHERST CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2003-10-01
BROADSTONE ASSET MANAGEMENT, LLC MEMBER indirect 2013-12-01
MARBLE POINT CREDIT MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
FRIEDMAN, STEPHEN, NMN LIMITED PARTNER 10/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CASTLE POINT CAPITAL MANAGEMENT, LLC DIRECTOR direct 2009-01-01
STONE POINT CAPITAL LLC CHAIRMAN AND MEMBER OF SPC FIELD PARTNERS LLC direct 2005-05-01
STONE POINT CAPITAL LLC CHAIRMAN, MEMBER direct 2005-05-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-11-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER indirect 2009-11-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2014-10-01
BROADSTONE REAL ESTATE, LLC MEMBER indirect 2013-12-01
BROADSTONE ASSET MANAGEMENT, LLC MEMBER indirect 2013-12-01
CAREY, JAMES, DAWSON MEMBER, BOARD OF MANAGERS 11/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC MANAGING MEMBER indirect 2006-12-01
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC DIRECTOR direct 2007-12-01
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC DIRECTOR, MEMBER direct 2007-12-01
LANCASTER POLLARD ASSET MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
PRIMA CAPITAL ADVISORS LLC MANAGING MEMBER indirect 2008-12-01
AMHERST ADVISORY & MANAGEMENT LLC MANAGING MEMBER indirect 2005-03-01
STONE POINT CAPITAL LLC SENIOR PRINCIPAL, MEMBER direct 2005-05-01
STONE POINT CAPITAL LLC SENIOR PRINCIPAL AND MEMBER OF SPC FIELD PARTNERS LLC direct 2005-05-01
STONE POINT CAPITAL LLC SENIOR PRINCIPAL OF SPC MANAGEMENT HOLDINGS LLC direct 2012-12-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER, BOARD OF MANAGERS direct 2009-11-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-11-01
SKY HARBOR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2008-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MANAGING MEMBER indirect 2005-03-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MANAGING MEMBER indirect 2008-12-01
BROADSTONE REAL ESTATE, LLC MEMBER indirect 2005-03-01
EAGLE POINT CREDIT MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
EAGLE POINT CREDIT MANAGEMENT LLC DIRECTOR indirect 2012-11-01
EAGLE POINT CREDIT MANAGEMENT LLC BOARD OF MANAGERS direct 2012-12-01
EAGLE POINT CREDIT MANAGEMENT LLC BOARD OF MANAGERS (ELECTED MANAGER) direct 2012-12-01
ENHANCED CAPITAL PARTNERS, LLC MANAGING MEMBER indirect 2008-12-01
TREE LINE CAPITAL PARTNERS, LLC MANAGING MEMBER indirect 2008-12-01
AMHERST CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2005-03-01
BROADSTONE ASSET MANAGEMENT, LLC MEMBER indirect 2005-03-01
MARBLE POINT CREDIT MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
MARBLE POINT CREDIT MANAGEMENT LLC BOARD OF MANAGERS indirect 2012-12-01
RUBERTI, WENDY, RAPP GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLINTON GROUP, LLC CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER direct 2004-08-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2017-02-01
CLINTON GROUP, INC CLO, CCO direct 1998-04-01 2003-04-11
CLINTON GROUP, INC CLO direct 1998-04-01 2004-04-01
CLINTON GROUP, INC CLO/CCO direct 1998-04-01 2006-03-22
CLINTON GROUP, INC CHIEF COMPLIANCE OFFICER direct 1998-04-01 2008-03-31
CLAREN ROAD ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2009-07-01 2011-10-18
CLAREN ROAD ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER - CLAREN ROAD ASSET MANAGEMENT, LLC AND CLAREN ROAD ASIA LIMITED (RELYING ADVISER) direct 2009-07-01 2014-12-22
CLAREN ROAD ASSET MANAGEMENT, LLC GENERAL COUNSEL- CLAREN ROAD ASSET MANAGEMENT, LLC AND CLAREN ROAD ASIA LIMITED (RELYING ADVISER) direct 2009-07-01 2016-01-12
CLAREN ROAD ASSET MANAGEMENT, LLC CHIEF LEGAL OFFICER - CLAREN ROAD ASSET MANAGEMENT, LLC AND CLAREN ROAD ASIA LIMITED (RELYING ADVISER) direct 2015-03-01 2016-06-15
DYAL CAPITAL PARTNERS II (A) LP LIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LP 03/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
JANA PARTNERS LLC NON-MANAGING MEMBER OF JANA PARTNERS LLC direct 2015-03-01
JANA PARTNERS LLC DIRECT OWNER OF RELYING ADVISER direct 2015-03-01
ATALAYA CAPITAL MANAGEMENT LP LIMITED PARTNER OF ATALAYA CAPITAL MANAGEMENT LP direct 2017-07-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LP direct 2017-03-01
KETCHUM PARTNERS LLC LIMITED PARTNER 09/01/2009 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2009-09-01
SEELAUS, SARAH, ZELLER CHIEF OPERATING OFFICER 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUND POINT CLO C-MOA, LLC CHIEF OPERATING OFFICER direct 2018-09-01
SOUND POINT CLO C-MOA, LLC CHIEF OPERATING OFFICER indirect 2018-09-01
SOUND POINT CAPITAL MANAGEMENT, LP CHIEF OPERATING OFFICER direct 2018-09-01
WERMUTH, DAVID, JAY LIMITED PARTNER 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC MANAGING MEMBER indirect 2006-12-01
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC DIRECTOR direct 2007-12-01
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC DIRECTOR, MEMBER direct 2007-12-01
LANCASTER POLLARD ASSET MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
PRIMA CAPITAL ADVISORS LLC MANAGING MEMBER indirect 2008-12-01
AMHERST ADVISORY & MANAGEMENT LLC MANAGING MEMBER indirect 2005-03-01
STONE POINT CAPITAL LLC GENERAL COUNSEL, SENIOR PRINCIPAL AND MEMBER OF SPC FIELD PARTNERS LLC direct 2005-05-01
STONE POINT CAPITAL LLC GENERAL COUNSEL, SENIOR PRINCIPAL, SECRETARY, MEMBER direct 2005-05-01
STONE POINT CAPITAL LLC GENERAL COUNSEL, SENIOR PRINCIPAL AND SECRETARY OF SPC MANAGEMENT HOLDINGS LLC direct 2012-12-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-11-01
SKY HARBOR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2008-12-01
SKY HARBOR CAPITAL MANAGEMENT, LLC ELECTED MANAGER indirect 2011-08-01
SKY HARBOR CAPITAL MANAGEMENT LLC MANAGER indirect 2011-08-01
SKY HARBOR CAPITAL MANAGEMENT, LLC ELECTED MANAGER direct 2011-09-01
SKY HARBOR CAPITAL MANAGEMENT, LLC ELECTED MANAGER direct 2011-11-01
SKY HARBOR CAPITAL MANAGEMENT, LLC ELECTED MEMBER direct 2011-11-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MANAGING MEMBER indirect 2005-03-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MANAGING MEMBER indirect 2008-12-01
BROADSTONE REAL ESTATE, LLC MEMBER indirect 2013-12-01
EAGLE POINT CREDIT MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
ENHANCED CAPITAL PARTNERS, LLC MANAGING MEMBER indirect 2008-12-01
TREE LINE CAPITAL PARTNERS, LLC MANAGING MEMBER indirect 2008-12-01
AMHERST CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2005-03-01
BROADSTONE ASSET MANAGEMENT, LLC MEMBER indirect 2013-12-01
MARBLE POINT CREDIT MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
ZERBIB, NICOLAS, DAVID LIMITED PARTNER 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC MANAGING MEMBER indirect 2006-12-01
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC DIRECTOR direct 2007-12-01
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC DIRECTOR, MEMBER direct 2007-12-01
LANCASTER POLLARD ASSET MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
PRIMA CAPITAL ADVISORS LLC MANAGING MEMBER indirect 2008-12-01
CASTLE POINT CAPITAL MANAGEMENT, LLC DIRECTOR direct 2010-01-01
CASTLE POINT CAPITAL MANAGEMENT, LLC CO-CEO & DIRECTOR direct 2010-11-01
AMHERST ADVISORY & MANAGEMENT LLC MANAGING MEMBER indirect 2006-11-01
STONE POINT CAPITAL LLC SENIOR PRINCIPAL, MEMBER direct 2005-05-01
STONE POINT CAPITAL LLC SENIOR PRINCIPAL AND MEMBER OF SPC FIELD PARTNERS LLC direct 2005-05-01
STONE POINT CAPITAL LLC SENIOR PRINCIPAL OF SPC MANAGEMENT HOLDINGS LLC direct 2012-12-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-11-01
SKY HARBOR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2008-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MANAGING MEMBER indirect 2006-11-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MANAGING MEMBER indirect 2008-12-01
BROADSTONE REAL ESTATE, LLC MEMBER indirect 2013-12-01
EAGLE POINT CREDIT MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
ENHANCED CAPITAL PARTNERS, LLC MANAGING MEMBER indirect 2008-12-01
TREE LINE CAPITAL PARTNERS, LLC MANAGING MEMBER indirect 2008-12-01
AMHERST CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2006-12-01
BROADSTONE ASSET MANAGEMENT, LLC MEMBER indirect 2013-12-01
MARBLE POINT CREDIT MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
KETCHUM, STEPHEN, JEROME MANAGING MEMBER SPC PARTNERS GP, LLC AND KETCHUM PARTNERS LLC 09/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2008-09-01
SOUND POINT CAPITAL MANAGEMENT, LP CEO direct 2009-09-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-09-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2009-09-01
NB DYAL ASSOCIATES II LP GENERAL PARTNER DYAL CAPITAL PARTNERS II (A) LP AND DYAL CAPITAL PARTNERS II (B) LP 09/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2013-09-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2013-09-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-09-01
NB DYAL GP HOLDINGS LLC GENERAL PARTNER NB DYAL ASSOCIATES II LP 08/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2015-04-01
BLUE HARBOUR GROUP, L.P. GENERAL PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2013-08-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
HALCYON CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2010-02-01
NB ALTERNATIVES GP HOLDINGS LLC MANAGING MEMBER NB DYAL GP HOLDINGS LLC 02/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2010-02-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
NEUBERGER BERMAN GROUP LLC MANAGING MEMBER NB ALTERNATIVES HOLDINGS LLC 02/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN INVESTMENT ADVISERS LLC MEMBER indirect 2009-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC HOLDING COMPANY indirect 2009-02-01
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED HOLDING COMPANY indirect 2009-05-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-02-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01
NB ALTERNATIVES HOLDINGS LLC MANAGING MEMBER NB ALTERNATIVES GP HOLDINGS LLC 02/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER direct 2009-05-01
SCOPIA FUND MANAGEMENT LLC MANAGING MEMBER indirect 2009-05-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-02-01
NB ALTERNATIVES ADVISERS LLC HOLDING COMPANY direct 2009-02-01
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER direct 2009-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-02-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-05-01
NBSH ACQUISITION LLC MEMBER NEUBERGER BERMAN GROUP LLC 02/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-05-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SOUND POINT CLO XX, LTD Cayman Islands 805-3071122568 Securitized Asset Fund 767,020,540 250,000
SOUND POINT CLO XIX, LTD Cayman Islands 805-4778989513 Securitized Asset Fund 476,868,164 250,000
SOUND POINT CLO XXI, LTD. Cayman Islands 805-3462938222 Securitized Asset Fund 482,331,675 250,000
SOUND POINT CLO II, LTD. Cayman Islands 805-8591049681 Securitized Asset Fund 525,375,606 250,000
SOUND POINT BEACON MASTER FUND, LP Cayman Islands 805-5877495801 Hedge Fund 345,755,772 1,000,000 Master Fund
SOUND POINT CLO XII, LTD Cayman Islands 805-2268687138 Securitized Asset Fund 669,937,656 250,000
SOUND POINT CLO XIV, LTD Cayman Islands 805-6709297868 Securitized Asset Fund 667,535,305 250,000
SOUND POINT CLO XI, LTD Cayman Islands 805-1519970190 Securitized Asset Fund 479,685,917 250,000
SOUND POINT CLO X, LTD Cayman Islands 805-8024863849 Securitized Asset Fund 435,022,400 250,000
SOUND POINT CLO IX, LTD Cayman Islands 805-9942464119 Securitized Asset Fund 479,308,957 250,000
SOUND POINT CLO MASTER FUND, LP United States 805-1925541873 Hedge Fund 412,934,830 250,000 Master Fund
SOUND POINT CLO III-R, LTD Cayman Islands 805-6135236439 Securitized Asset Fund 475,110,817 250,000
SOUND POINT CLO IV-R, LTD Cayman Islands 805-6797566693 Securitized Asset Fund 570,907,797 250,000
SOUND POINT STRATEGIC CAPITAL FUND, LP United States 805-1880817641 Hedge Fund 346,506,554 5,000,000
SOUND POINT SENIOR FLOATING RATE MASTER FUND, LP Cayman Islands 805-8382177829 Other Private Fund LONG ONLY FUND 1,583,935,160 250,000 Master Fund
SP CO-INVEST FUND, LLC United States 805-5128428683 Hedge Fund 44,841,334 32,250
SOUND POINT MONTAUK FUND, LP Cayman Islands 805-2140790947 Hedge Fund 43,819,892 5,000,000
SOUND POINT CLO V-R, LTD Cayman Islands 805-8090434209 Securitized Asset Fund 571,653,201 250,000
SOUND POINT CLO VI-R, LTD Cayman Islands 805-5951962525 Securitized Asset Fund 572,880,827 250,000
SOUND POINT CREDIT OPPORTUNITIES MASTER FUND, LP Cayman Islands 805-4813685734 Hedge Fund 1,012,982,115 1,000,000 Master Fund
SOUND POINT CLO XVI, LTD Cayman Islands 805-2155981056 Securitized Asset Fund 763,737,916 250,000
SOUND POINT CLO XV, LTD Cayman Islands 805-8334643761 Securitized Asset Fund 621,085,624 250,000
SOUND POINT CLO XVII, LTD Cayman Islands 805-8145428519 Securitized Asset Fund 766,579,004 250,000
SOUND POINT CLO XVIII, LTD Cayman Islands 805-8202415952 Securitized Asset Fund 765,813,731 250,000
SOUND POINT CLO VII-R, LTD Cayman Islands 805-7641306032 Securitized Asset Fund 478,379,617 250,000
SOUND POINT CLO VIII, LTD. Cayman Islands 805-8557298838 Securitized Asset Fund 565,641,922 250,000

SOUND POINT CAPITAL MANAGEMENT, LP

ownership team - last updated 2018-04-03
Name Title Start Date Direct/Indirect % Ownership
KETCHUM, STEPHEN, JEROME MANAGING PARTNER 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2008-09-01
SOUND POINT CAPITAL MANAGEMENT, LP CEO direct 2009-09-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-09-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2009-09-01
GERLITZ, KEVIN, PETER CHIEF FINANCIAL OFFICER 04/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAVEN ASSET MANAGEMENT, LLC CFO direct 2005-04-01
RAVEN ASSET MANAGEMENT, LLC CCO direct 2005-04-01
RAVEN ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-04-01
SOUND POINT CAPITAL MANAGEMENT, LP CHIEF FINANCIAL OFFICER direct 2010-04-01
SOUND POINT CAPITAL MANAGEMENT, LP CFO direct 2010-04-01
SOUND POINT CAPITAL MANAGEMENT, LP CHIEF COMPLIANCE OFFICER direct 2010-04-01
SPC PARTNERS GP, LLC GENERAL PARTNER 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER direct 2009-09-01
DAVIS, CHARLES, ARTHUR LIMITED PARTNER 10/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC MANAGING MEMBER indirect 2006-12-01
LANCASTER POLLARD ASSET MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
PRIMA CAPITAL ADVISORS LLC MANAGING MEMBER indirect 2008-12-01
CASTLE POINT CAPITAL MANAGEMENT, LLC DIRECTOR direct 2006-03-01
AMHERST ADVISORY & MANAGEMENT LLC MANAGING MEMBER indirect 2003-10-01
STONE POINT CAPITAL LLC CHIEF EXECUTIVE OFFICER AND MEMBER OF SPC FIELD PARTNERS LLC direct 2005-05-01
STONE POINT CAPITAL LLC CHIEF EXECUTIVE OFFICER, MEMBER direct 2005-05-01
STONE POINT CAPITAL LLC CHIEF EXECUTIVE OFFICER OF SPC MANAGEMENT HOLDINGS LLC direct 2012-12-01
STONE POINT CAPITAL LLC MEMBER OF SPC FIELD PARTNERS LLC indirect 2013-12-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-11-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER indirect 2009-11-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2014-10-01
SKY HARBOR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2008-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MANAGING MEMBER indirect 2003-10-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MANAGING MEMBER indirect 2008-12-01
BROADSTONE REAL ESTATE, LLC MEMBER indirect 2013-12-01
EAGLE POINT CREDIT MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
ENHANCED CAPITAL PARTNERS, LLC MANAGING MEMBER indirect 2008-12-01
TREE LINE CAPITAL PARTNERS, LLC MANAGING MEMBER indirect 2011-12-01
AMHERST CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2003-10-01
BROADSTONE ASSET MANAGEMENT, LLC MEMBER indirect 2013-12-01
MARBLE POINT CREDIT MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
FRIEDMAN, STEPHEN, NMN LIMITED PARTNER 10/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CASTLE POINT CAPITAL MANAGEMENT, LLC DIRECTOR direct 2009-01-01
STONE POINT CAPITAL LLC CHAIRMAN AND MEMBER OF SPC FIELD PARTNERS LLC direct 2005-05-01
STONE POINT CAPITAL LLC CHAIRMAN, MEMBER direct 2005-05-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-11-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER indirect 2009-11-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2014-10-01
BROADSTONE REAL ESTATE, LLC MEMBER indirect 2013-12-01
BROADSTONE ASSET MANAGEMENT, LLC MEMBER indirect 2013-12-01
CAREY, JAMES, DAWSON MEMBER, BOARD OF MANAGERS 11/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC MANAGING MEMBER indirect 2006-12-01
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC DIRECTOR direct 2007-12-01
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC DIRECTOR, MEMBER direct 2007-12-01
LANCASTER POLLARD ASSET MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
PRIMA CAPITAL ADVISORS LLC MANAGING MEMBER indirect 2008-12-01
AMHERST ADVISORY & MANAGEMENT LLC MANAGING MEMBER indirect 2005-03-01
STONE POINT CAPITAL LLC SENIOR PRINCIPAL, MEMBER direct 2005-05-01
STONE POINT CAPITAL LLC SENIOR PRINCIPAL AND MEMBER OF SPC FIELD PARTNERS LLC direct 2005-05-01
STONE POINT CAPITAL LLC SENIOR PRINCIPAL OF SPC MANAGEMENT HOLDINGS LLC direct 2012-12-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER, BOARD OF MANAGERS direct 2009-11-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-11-01
SKY HARBOR CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2008-12-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MANAGING MEMBER indirect 2005-03-01
NXT CAPITAL INVESTMENT ADVISERS, LLC MANAGING MEMBER indirect 2008-12-01
BROADSTONE REAL ESTATE, LLC MEMBER indirect 2005-03-01
EAGLE POINT CREDIT MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
EAGLE POINT CREDIT MANAGEMENT LLC DIRECTOR indirect 2012-11-01
EAGLE POINT CREDIT MANAGEMENT LLC BOARD OF MANAGERS direct 2012-12-01
EAGLE POINT CREDIT MANAGEMENT LLC BOARD OF MANAGERS (ELECTED MANAGER) direct 2012-12-01
ENHANCED CAPITAL PARTNERS, LLC MANAGING MEMBER indirect 2008-12-01
TREE LINE CAPITAL PARTNERS, LLC MANAGING MEMBER indirect 2008-12-01
AMHERST CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2005-03-01
BROADSTONE ASSET MANAGEMENT, LLC MEMBER indirect 2005-03-01
MARBLE POINT CREDIT MANAGEMENT LLC MANAGING MEMBER indirect 2008-12-01
MARBLE POINT CREDIT MANAGEMENT LLC BOARD OF MANAGERS indirect 2012-12-01
RUBERTI, WENDY, RAPP GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLINTON GROUP, LLC CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER direct 2004-08-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2017-02-01
CLINTON GROUP, INC CLO, CCO direct 1998-04-01 2003-04-11
CLINTON GROUP, INC CLO direct 1998-04-01 2004-04-01
CLINTON GROUP, INC CLO/CCO direct 1998-04-01 2006-03-22
CLINTON GROUP, INC CHIEF COMPLIANCE OFFICER direct 1998-04-01 2008-03-31
CLAREN ROAD ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2009-07-01 2011-10-18
CLAREN ROAD ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER - CLAREN ROAD ASSET MANAGEMENT, LLC AND CLAREN ROAD ASIA LIMITED (RELYING ADVISER) direct 2009-07-01 2014-12-22
CLAREN ROAD ASSET MANAGEMENT, LLC GENERAL COUNSEL- CLAREN ROAD ASSET MANAGEMENT, LLC AND CLAREN ROAD ASIA LIMITED (RELYING ADVISER) direct 2009-07-01 2016-01-12
CLAREN ROAD ASSET MANAGEMENT, LLC CHIEF LEGAL OFFICER - CLAREN ROAD ASSET MANAGEMENT, LLC AND CLAREN ROAD ASIA LIMITED (RELYING ADVISER) direct 2015-03-01 2016-06-15
DYAL CAPITAL PARTNERS II (A) LP LIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LP 03/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
JANA PARTNERS LLC NON-MANAGING MEMBER OF JANA PARTNERS LLC direct 2015-03-01
JANA PARTNERS LLC DIRECT OWNER OF RELYING ADVISER direct 2015-03-01
ATALAYA CAPITAL MANAGEMENT LP LIMITED PARTNER OF ATALAYA CAPITAL MANAGEMENT LP direct 2017-07-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LP direct 2017-03-01
KETCHUM PARTNERS LLC LIMITED PARTNER 09/01/2009 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER direct 2009-09-01
KETCHUM, STEPHEN, JEROME MANAGING MEMBER SPC PARTNERS GP, LLC AND KETCHUM PARTNERS LLC 09/01/2008 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2008-09-01
SOUND POINT CAPITAL MANAGEMENT, LP CEO direct 2009-09-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-09-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING PARTNER direct 2009-09-01
NB DYAL ASSOCIATES II LP GENERAL PARTNER DYAL CAPITAL PARTNERS II (A) LP AND DYAL CAPITAL PARTNERS II (B) LP 09/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2013-09-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2013-09-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-09-01
NB DYAL GP HOLDINGS LLC GENERAL PARTNER NB DYAL ASSOCIATES II LP 08/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2015-04-01
BLUE HARBOUR GROUP, L.P. GENERAL PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2013-08-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
HALCYON CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2010-02-01
NB ALTERNATIVES GP HOLDINGS LLC MANAGING MEMBER NB DYAL GP HOLDINGS LLC 02/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2010-02-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
NEUBERGER BERMAN GROUP LLC MANAGING MEMBER NB ALTERNATIVES HOLDINGS LLC 02/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN INVESTMENT ADVISERS LLC MEMBER indirect 2009-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC HOLDING COMPANY indirect 2009-02-01
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED HOLDING COMPANY indirect 2009-05-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-02-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01
NB ALTERNATIVES HOLDINGS LLC MANAGING MEMBER NB ALTERNATIVES GP HOLDINGS LLC 02/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER direct 2009-05-01
SCOPIA FUND MANAGEMENT LLC MANAGING MEMBER indirect 2009-05-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-02-01
NB ALTERNATIVES ADVISERS LLC HOLDING COMPANY direct 2009-02-01
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER direct 2009-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-02-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-05-01
NBSH ACQUISITION LLC MEMBER NEUBERGER BERMAN GROUP LLC 02/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-05-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SOUND POINT CLO VII, LTD Cayman Islands 805-7641306032 Securitized Asset Fund 497,918,752 250,000
SOUND POINT CLO VIII, LTD. Cayman Islands 805-8557298838 Securitized Asset Fund 595,514,515 250,000
SOUND POINT SENIOR FLOATING RATE MASTER FUND, LP Cayman Islands 805-8382177829 Other Private Fund LONG ONLY FUND 1,249,772,789 250,000 Master Fund
SOUND POINT CLO II, LTD. Cayman Islands 805-8591049681 Securitized Asset Fund 315,599,108 250,000
SOUND POINT BEACON MASTER FUND, LP Cayman Islands 805-5877495801 Hedge Fund 361,981,128 1,000,000 Master Fund
SOUND POINT CLO XII, LTD Cayman Islands 805-2268687138 Securitized Asset Fund 706,751,561 250,000
SOUND POINT CLO XIV, LTD Cayman Islands 805-6709297868 Securitized Asset Fund 704,373,777 250,000
SOUND POINT CLO XI, LTD Cayman Islands 805-1519970190 Securitized Asset Fund 506,854,734 250,000
SOUND POINT CLO X, LTD Cayman Islands 805-8024863849 Securitized Asset Fund 459,513,590 250,000
SOUND POINT CLO IX, LTD Cayman Islands 805-9942464119 Securitized Asset Fund 509,651,672 250,000
SOUND POINT CLO MASTER FUND, LP United States 805-1925541873 Hedge Fund 298,755,618 250,000 Master Fund
SOUND POINT CLO III, LTD Cayman Islands 805-6135236439 Securitized Asset Fund 478,312,508 250,000
SOUND POINT CLO IV, LTD Cayman Islands 805-6797566693 Securitized Asset Fund 595,092,600 250,000
SOUND POINT MONTAUK FUND, LP Cayman Islands 805-2140790947 Hedge Fund 43,086,901 5,000,000
SOUND POINT CLO V, LTD Cayman Islands 805-8090434209 Securitized Asset Fund 596,241,751 250,000
SOUND POINT CLO VI, LTD Cayman Islands 805-5951962525 Securitized Asset Fund 597,859,823 250,000
SOUND POINT CREDIT OPPORTUNITIES MASTER FUND, LP Cayman Islands 805-4813685734 Hedge Fund 1,262,118,727 1,000,000 Master Fund
SOUND POINT CLO XVI, LTD Cayman Islands 805-2155981056 Securitized Asset Fund 811,533,881 250,000
SOUND POINT CLO XV, LTD Cayman Islands 805-8334643761 Securitized Asset Fund 651,281,096 250,000
SOUND POINT CLO XVII, LTD Cayman Islands 805-8145428519 Securitized Asset Fund 813,785,604 250,000
SOUND POINT CLO XVIII, LTD Cayman Islands 805-8202415952 Securitized Asset Fund 554,130,872 250,000

Elevate your investments