TENNENBAUM CAPITAL PARTNERS LLC

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Tennenbaum Capital Partners is based out of Santa Monica. Tennenbaum Capital Partners is a hedge fund with 35 clients and discretionary assets under management (AUM) of $8,468,868,378 (Form ADV from 2021-05-07). Whalewisdom has at least 30 13F filings, 61 13D filings, 17 13G filings, and 1 Form 4 filings

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03/31/2021

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13F Holdings Summary

TENNENBAUM CAPITAL PARTNERS LLC filed under a combined 13F through BLACKROCK INC. for 03/31/2021

03/31/2021

13F Sector Allocation Over Time


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TENNENBAUM CAPITAL PARTNERS, LLC
Classified as Hedge Fund
2951 28TH STREET SUITE 1000
SANTA MONICA CA    90405
Country: United States

Business Phone: 310-566-1000
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to a company which as elected to be a business development company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 26
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees,FUND ADMINSTRATION
Amount of client funds and securities: 644,578,000
Total Number of Clients: 35
Amount of client funds and securities by related persons: 3,648,130,000
Total Number of clients from related persons: 15
Disclosures: 11.C (1),11.C (2),11.C (3),11.C (4),11.C (5),11.D (2)
Data above was derived from SEC filings.

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TENNENBAUM CAPITAL PARTNERS, LLC

ownership team - last updated 2021-03-25
Name Title Start Date Direct/Indirect % Ownership
LEVKOWITZ, HOWARD, MARSHALL MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 1999-05-01
SVIM / MSM, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 1999-07-01
SVIM / MSM II, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 2000-06-01
SVAR/MM, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 2001-10-01
SVOF/MM, LLC MANAGING PARTNER direct 2004-07-01
SPECIAL VALUE INVESTMENT MANAGEMENT, LLC PORTFOLIO MANAGER direct 1999-05-01 2004-07-14
SVIM / MSM, LLC CHIEF ADMINISTRATIVE OFFICER direct 1999-07-01 2004-07-14
SVIM / MSM II, LLC CHIEF ADMINISTRATIVE OFFICER direct 2000-06-01 2004-07-14
SVAR/MM, LLC PRINCIPAL MEMBER direct 2001-10-01 2004-07-14
SVOF/MM, LLC PRINCIPAL MEMBER direct 2004-07-01 2004-08-23
SVOF/MM, LLC AUTHORIZED REPRESENTATIVE direct 2004-07-01 2016-03-30
DAVIS, PAUL, LESLIE MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER AND VP, FINANCE direct 2004-09-01
TENNENBAUM CAPITAL PARTNERS, LLC VP, FINANCE direct 2004-09-01
TENNENBAUM CAPITAL PARTNERS, LLC CHIEF FINANCIAL OFFICER direct 2010-01-01
SVIM / MSM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVIM / MSM II, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVAR/MM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVOF/MM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVOF/MM, LLC CHIEF FINANCIAL OFFICER direct 2016-06-01
LEITNER, MICHAEL, ERIC MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC PARTNER direct 2007-01-01
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2007-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
GREENWOOD, ELIZABETH, ALICE MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2008-01-01
TENNENBAUM CAPITAL PARTNERS, LLC GENERAL COUNSEL direct 2008-01-01
STROME INVESTMENT MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2005-10-01
SVIM / MSM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVIM / MSM II, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVAR/MM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVOF/MM, LLC SECRETARY AND CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVOF/MM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
VIG, RAJNEESH MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2011-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
TSENG, PHILIP, M MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2013-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC MEMBER 08/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MEMBER direct 2018-08-01
SVOF/MM, LLC MEMBER indirect 2018-08-01
LANDRUM, LEE, ROBERT MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING DIRECTOR direct 2018-08-01
SVOF/MM, LLC MANAGING DIRECTOR direct 2018-08-01
Keenan, James, Edward MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING DIRECTOR direct 2018-08-01
SVOF/MM, LLC MANAGING DIRECTOR direct 2018-09-01
PARK, CHARLES, CHOON SIK CHIEF COMPLIANCE OFFICER 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BLACKROCK FUND ADVISORS CHIEF COMPLIANCE OFFICER direct 2006-08-01
BLACKROCK FUND ADVISORS CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR direct 2006-08-01
AMERICAN CENTURY INVESTMENT MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2005-03-01
BLACKROCK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-06-01
BLACKROCK FINANCIAL MANAGEMENT, INC CHIEF COMPLIANCE OFFICER direct 2016-09-01
BLACKROCK CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2016-09-01
BLACKROCK INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2016-09-01
AMERICAN CENTURY ADVISORY SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2005-03-01
AMERICAN CENTURY GLOBAL INVESTMENT MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-03-01
BLACKROCK ALTERNATIVES MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2017-03-01
BLACKROCK ADVISORS, LLC MEMBER BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC 09/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLACKROCK KELSO CAPITAL ADVISORS LLC MEMBER- CLASS B INTERESTS direct 2005-04-01
JMML MEZZANINE ADVISORS, LLC MEMBER - CLASS B INTERESTS indirect 2015-03-01
BLACKROCK CAPITAL HOLDINGS, INC. MEMBER BLACKROCK ADVISORS, LLC 09/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLACKROCK KELSO CAPITAL ADVISORS LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK FINANCIAL MANAGEMENT, INC SOLE SHAREHOLDER BLACKROCK CAPITAL HOLDINGS, INC. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
STATE STREET RESEARCH & MANAGEMENT COMPANY SOLE SHAREHOLDER indirect 2005-01-01
BLACKROCK INTERNATIONAL, LTD. MAJORITY SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK CAPITAL MANAGEMENT, INC. SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK REALTY ADVISORS INC SOLE SHAREHOLDER indirect 2005-01-01
BLACKROCK REALTY ADVISORS INC STOCKHOLDER direct 2011-07-01
BLACKROCK HPB MANAGEMENT, LLC MAJORITY SHAREHOLDER OF APPLICANT direct 2003-04-01
BLACKROCK HPB MANAGEMENT, LLC WHOLE SHAREHOLDER direct 2007-12-01
BKCA MEZZANINE ADVISORS, LLC SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK PRIVATE EQUITY PARTNERS AG SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG SOLE SHAREHOLDER indirect 2015-09-01
BLACKROCK (HONG KONG) LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK (SINGAPORE) LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK (SINGAPORE) LIMITED SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED SOLE SHAREHOLDER indirect 2015-03-01
GALLATIN POINT CAPITAL LLC MEMBER indirect 2017-01-01
BLACKROCK HOLDCO 2, INC. SOLE SHAREHOLDER BLACKROCK FINANCIAL MANAGEMENT, INC 09/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INC. SOLE SHAREHOLDER BLACKROCK HOLDCO 2, INC. 09/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ADVISORS, LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK FINANCIAL MANAGEMENT, INC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK CAPITAL MANAGEMENT, INC. SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INVESTMENT MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-09-01
XULU INC SOLE SHAREHOLDER direct 2015-10-01
JMML MEZZANINE ADVISORS, LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT (SCHWEIZ) AG SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK (SINGAPORE) LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED SOLE SHAREHOLDER indirect 2006-09-01
GALLATIN POINT CAPITAL LLC SHAREHOLDER indirect 2017-01-01
BLACKROCK ALTERNATIVES MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TENNENBAUM SENIOR LOAN FUNDING III, LLC United States 805-9098638214 Private Equity Fund 58,793,129 0 Master Fund
TENNENBAUM SENIOR LOAN FUND IV-B, LP United States 805-6010123719 Private Equity Fund 25,710,000 10,000,000
TENNENBAUM ENERGY OPPORTUNITIES FUND, LP United States 805-9441942290 Private Equity Fund 82,132,115 1,000,000 Feeder Fund
SPECIAL VALUE EXPANSION FUND, LLC United States 805-8634563958 Private Equity Fund 134,550,000 1,000,000
TENNENBAUM SPECIAL SITUATIONS FUND IX-A, LLC United States 805-4572245817 Private Equity Fund 68,500,000 1,000,000
TCP DIRECT LENDING FUND VIII-S, LLC United States 805-3813529077 Hedge Fund 180,054,410 1,000,000
TENNENBAUM OPPORTUNITIES PARTNERS V, LP United States 805-4524231156 Private Equity Fund 222,162,385 0 Master Fund
TCP WATERMAN CLO, LLC United States 805-2570129506 Securitized Asset Fund 347,556,039 0 Master Fund
TENNENBAUM ENERGY OPPORTUNITIES CO., LLC United States 805-1735809497 Private Equity Fund 98,500,000 0
TCP DIRECT LENDING FUND VIII-L, LLC United States 805-6404448330 Hedge Fund 666,261,748 10,000,000 Feeder Fund
TCP DIRECT LENDING FUND VIII-T, LLC United States 805-6948366630 Hedge Fund 359,649,996 1,000,000
TENNENBAUM OPPORTUNITIES FUND V, LLC United States 805-3209844763 Private Equity Fund 656,510,350 1,000,000 Feeder Fund
TCP WATERMAN FUND, LP United States 805-1877958276 Securitized Asset Fund 347,556,039 10,000,000 Feeder Fund
TENNENBAUM SENIOR LOAN FUND II, LP United States 805-4603339981 Private Equity Fund 630,046,907 10,000,000 Fund of Funds
TENNENBAUM SPECIAL SITUATIONS IX-C, L.P. Cayman Islands 805-1559258707 Private Equity Fund 58,868,000 1,000,000
TENNENBAUM ENHANCED YIELD FUND I, LLC United States 805-8433592531 Private Equity Fund 108,453,852 1,000,000 Feeder Fund
TENNENBAUM OPPORTUNITIES FUND VI, LLC United States 805-4298586404 Private Equity Fund 278,500,000 1,000,000 Master Fund
TENNENBAUM SENIOR LOAN FUND IV-A, LP United States 805-2653365238 Private Equity Fund 30,350,000 10,000,000 Feeder Fund
TENNENBAUM ENHANCED YIELD OPERATING I, LLC United States 805-1200785960 Private Equity Fund 50,524,947 0 Master Fund Feeder Fund
TENNENBAUM SPECIAL SITUATIONS FUND IX, LLC United States 805-2339633789 Private Equity Fund 326,953,000 1,000,000
TCP DIRECT LENDING FUND VIII, LLC United States 805-1632657233 Private Equity Fund 454,004,595 10,000,000 Feeder Fund
TCP ENHANCED YIELD FUNDING I, LLC United States 805-8371761615 Private Equity Fund 59,901,713 0 Master Fund
SPECIAL VALUE OPPORTUNITIES FEEDER FUND United States 805-3652004212 Private Equity Fund 624,944 1,000,000 Feeder Fund
TCP DIRECT LENDING FEEDER VIII-U (IRELAND) Ireland 805-4555078431 Private Equity Fund 454,004,595 10,000,000 Feeder Fund
TCP DIRECT LENDING FEEDER VIII-L (IRELAND) Ireland 805-6758117886 Hedge Fund 666,261,748 10,000,000 Feeder Fund
TCP DIRECT LENDING FUND VIII-L (IRELAND) Ireland 805-8848373214 Hedge Fund 666,261,748 1,000,000 Master Fund
TENNENBAUM SENIOR LOAN SPV IV-A, LLC United States 805-8050484314 Private Equity Fund 11,578,264 0 Master Fund
TENNENBAUM SENIOR LOAN FUND III, LP United States 805-6686670868 Private Equity Fund 88,094,810 10,000,000 Feeder Fund
TENNENBAUM SENIOR LOAN OPERATING III, LLC United States 805-8069243468 Private Equity Fund 30,099,724 0 Master Fund Feeder Fund
SPECIAL VALUE OPPORTUNITIES FUND, LLC United States 805-6674145392 Private Equity Fund 325,703,704 1,000,000 Master Fund
TCP DIRECT LENDING FUND VIII-A, LLC United States 805-2626129767 Private Equity Fund 352,791,211 10,000,000
TENNENBAUM SPECIAL SITUATIONS FUND IX-S, L.P. Cayman Islands 805-7911465971 Private Equity Fund 28,123,033 1,000,000
TENNENBAUM SPECIAL SITUATIONS IX-O, L.P. Cayman Islands 805-7755178625 Private Equity Fund 79,725,000 1,000,000
TENNENBAUM SENIOR LOAN FUND V, LLC United States 805-8895571978 Private Equity Fund 594,109,192 10,000,000
TCP DIRECT LENDING FUND VIII-U (IRELAND) Ireland 805-7054034683 Private Equity Fund 454,004,595 10,000,000 Master Fund
TENNENBAUM HEARTLAND CO-INVEST, LP United States 805-3210070733 Private Equity Fund 90,925,000 1,000,000

TENNENBAUM CAPITAL PARTNERS, LLC

ownership team - last updated 2020-12-18
Name Title Start Date Direct/Indirect % Ownership
LEVKOWITZ, HOWARD, MARSHALL MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 1999-05-01
SVIM / MSM, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 1999-07-01
SVIM / MSM II, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 2000-06-01
SVAR/MM, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 2001-10-01
SVOF/MM, LLC MANAGING PARTNER direct 2004-07-01
SPECIAL VALUE INVESTMENT MANAGEMENT, LLC PORTFOLIO MANAGER direct 1999-05-01 2004-07-14
SVIM / MSM, LLC CHIEF ADMINISTRATIVE OFFICER direct 1999-07-01 2004-07-14
SVIM / MSM II, LLC CHIEF ADMINISTRATIVE OFFICER direct 2000-06-01 2004-07-14
SVAR/MM, LLC PRINCIPAL MEMBER direct 2001-10-01 2004-07-14
SVOF/MM, LLC PRINCIPAL MEMBER direct 2004-07-01 2004-08-23
SVOF/MM, LLC AUTHORIZED REPRESENTATIVE direct 2004-07-01 2016-03-30
DAVIS, PAUL, LESLIE MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER AND VP, FINANCE direct 2004-09-01
TENNENBAUM CAPITAL PARTNERS, LLC VP, FINANCE direct 2004-09-01
TENNENBAUM CAPITAL PARTNERS, LLC CHIEF FINANCIAL OFFICER direct 2010-01-01
SVIM / MSM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVIM / MSM II, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVAR/MM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVOF/MM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVOF/MM, LLC CHIEF FINANCIAL OFFICER direct 2016-06-01
LEITNER, MICHAEL, ERIC MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC PARTNER direct 2007-01-01
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2007-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
GREENWOOD, ELIZABETH, ALICE MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2008-01-01
TENNENBAUM CAPITAL PARTNERS, LLC GENERAL COUNSEL direct 2008-01-01
STROME INVESTMENT MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2005-10-01
SVIM / MSM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVIM / MSM II, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVAR/MM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVOF/MM, LLC SECRETARY AND CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVOF/MM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
VIG, RAJNEESH MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2011-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
TSENG, PHILIP, M MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2013-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC MEMBER 08/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MEMBER direct 2018-08-01
SVOF/MM, LLC MEMBER indirect 2018-08-01
LANDRUM, LEE, ROBERT MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING DIRECTOR direct 2018-08-01
SVOF/MM, LLC MANAGING DIRECTOR direct 2018-08-01
Keenan, James, Edward MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING DIRECTOR direct 2018-08-01
SVOF/MM, LLC MANAGING DIRECTOR direct 2018-09-01
PARK, CHARLES, CHOON SIK CHIEF COMPLIANCE OFFICER 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BLACKROCK FUND ADVISORS CHIEF COMPLIANCE OFFICER direct 2006-08-01
BLACKROCK FUND ADVISORS CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR direct 2006-08-01
AMERICAN CENTURY INVESTMENT MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2005-03-01
BLACKROCK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-06-01
BLACKROCK FINANCIAL MANAGEMENT, INC CHIEF COMPLIANCE OFFICER direct 2016-09-01
BLACKROCK CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2016-09-01
BLACKROCK INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2016-09-01
AMERICAN CENTURY ADVISORY SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2005-03-01
AMERICAN CENTURY GLOBAL INVESTMENT MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-03-01
BLACKROCK ALTERNATIVES MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2017-03-01
BLACKROCK ADVISORS, LLC MEMBER BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC 09/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLACKROCK KELSO CAPITAL ADVISORS LLC MEMBER- CLASS B INTERESTS direct 2005-04-01
JMML MEZZANINE ADVISORS, LLC MEMBER - CLASS B INTERESTS indirect 2015-03-01
BLACKROCK CAPITAL HOLDINGS, INC. MEMBER BLACKROCK ADVISORS, LLC 09/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLACKROCK KELSO CAPITAL ADVISORS LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK FINANCIAL MANAGEMENT, INC SOLE SHAREHOLDER BLACKROCK CAPITAL HOLDINGS, INC. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
STATE STREET RESEARCH & MANAGEMENT COMPANY SOLE SHAREHOLDER indirect 2005-01-01
BLACKROCK INTERNATIONAL, LTD. MAJORITY SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK CAPITAL MANAGEMENT, INC. SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK REALTY ADVISORS INC SOLE SHAREHOLDER indirect 2005-01-01
BLACKROCK REALTY ADVISORS INC STOCKHOLDER direct 2011-07-01
BLACKROCK HPB MANAGEMENT, LLC MAJORITY SHAREHOLDER OF APPLICANT direct 2003-04-01
BLACKROCK HPB MANAGEMENT, LLC WHOLE SHAREHOLDER direct 2007-12-01
BKCA MEZZANINE ADVISORS, LLC SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK PRIVATE EQUITY PARTNERS AG SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG SOLE SHAREHOLDER indirect 2015-09-01
BLACKROCK (HONG KONG) LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK (SINGAPORE) LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK (SINGAPORE) LIMITED SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED SOLE SHAREHOLDER indirect 2015-03-01
GALLATIN POINT CAPITAL LLC MEMBER indirect 2017-01-01
BLACKROCK HOLDCO 2, INC. SOLE SHAREHOLDER BLACKROCK FINANCIAL MANAGEMENT, INC 09/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INC. SOLE SHAREHOLDER BLACKROCK HOLDCO 2, INC. 09/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ADVISORS, LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK FINANCIAL MANAGEMENT, INC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK CAPITAL MANAGEMENT, INC. SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INVESTMENT MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-09-01
XULU INC SOLE SHAREHOLDER direct 2015-10-01
JMML MEZZANINE ADVISORS, LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT (SCHWEIZ) AG SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK (SINGAPORE) LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED SOLE SHAREHOLDER indirect 2006-09-01
GALLATIN POINT CAPITAL LLC SHAREHOLDER indirect 2017-01-01
BLACKROCK ALTERNATIVES MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TENNENBAUM OPPORTUNITIES FUND VI, LLC United States 805-4298586404 Private Equity Fund 188,501,144 1,000,000 Master Fund
TENNENBAUM SENIOR LOAN FUND IV-A, LP United States 805-2653365238 Private Equity Fund 13,176,598 10,000,000 Feeder Fund
TENNENBAUM ENHANCED YIELD OPERATING I, LLC United States 805-1200785960 Private Equity Fund 0 0 Master Fund Feeder Fund
TCP DIRECT LENDING FUND VIII, LLC United States 805-1632657233 Private Equity Fund 0 10,000,000 Feeder Fund
TCP DIRECT LENDING FUND VIII-L (IRELAND) Ireland 805-8848373214 Hedge Fund 768,796,546 1,000,000 Master Fund
TENNENBAUM SENIOR LOAN FUND IV-B, LP United States 805-6010123719 Private Equity Fund 27,270,979 10,000,000
TENNENBAUM ENERGY OPPORTUNITIES FUND, LP United States 805-9441942290 Private Equity Fund 111,997,884 1,000,000 Feeder Fund
TENNENBAUM SPECIAL SITUATIONS FUND IX, LLC United States 805-2339633789 Private Equity Fund 410,773,185 1,000,000
TCP ENHANCED YIELD FUNDING I, LLC United States 805-8371761615 Private Equity Fund 0 0 Master Fund
SPECIAL VALUE OPPORTUNITIES FEEDER FUND United States 805-3652004212 Private Equity Fund 0 1,000,000 Feeder Fund
TCP DIRECT LENDING FEEDER VIII-U (IRELAND) Ireland 805-4555078431 Private Equity Fund 0 10,000,000 Feeder Fund
TCP DIRECT LENDING FEEDER VIII-L (IRELAND) Ireland 805-6758117886 Hedge Fund 0 10,000,000 Feeder Fund
SEB DIP INVESTOR, LP United States 805-2406448869 Private Equity Fund 0 0 Feeder Fund
TENNENBAUM SENIOR LOAN SPV IV-A, LLC United States 805-8050484314 Private Equity Fund 13,176,598 0 Master Fund
TENNENBAUM SENIOR LOAN FUND III, LP United States 805-6686670868 Private Equity Fund 121,731,350 10,000,000 Feeder Fund
TENNENBAUM SENIOR LOAN OPERATING III, LLC United States 805-8069243468 Private Equity Fund 0 0 Master Fund Feeder Fund
SPECIAL VALUE OPPORTUNITIES FUND, LLC United States 805-6674145392 Private Equity Fund 16,645,986 1,000,000 Master Fund
TCP DIRECT LENDING FUND VIII-A, LLC United States 805-2626129767 Private Equity Fund 352,735,637 10,000,000
TENNENBAUM SPECIAL SITUATIONS FUND IX-S, L.P. Cayman Islands 805-7911465971 Private Equity Fund 32,390,217 1,000,000
TENNENBAUM SPECIAL SITUATIONS IX-O, L.P. Cayman Islands 805-7755178625 Private Equity Fund 101,041,454 1,000,000
TENNENBAUM SENIOR LOAN FUND V, LLC United States 805-8895571978 Private Equity Fund 559,787,798 10,000,000
TCP DIRECT LENDING FUND VIII-U (IRELAND) Ireland 805-7054034683 Private Equity Fund 483,799,897 10,000,000 Master Fund
TENNENBAUM HEARTLAND CO-INVEST, LP United States 805-3210070733 Private Equity Fund 89,901,884 1,000,000
SPECIAL VALUE EXPANSION FUND, LLC United States 805-8634563958 Private Equity Fund 11,318,886 1,000,000
TENNENBAUM SPECIAL SITUATIONS FUND IX-A, LLC United States 805-4572245817 Private Equity Fund 87,604,693 1,000,000
TCP DIRECT LENDING FUND VIII-N, LLC United States 805-9585251087 Private Equity Fund 0 1,000,000
TCP DIRECT LENDING FUND VIII-S, LLC United States 805-3813529077 Hedge Fund 199,748,549 1,000,000
TENNENBAUM DIP OPPORTUNITY FEEDER, LP United States 805-7727113964 Private Equity Fund 0 0 Feeder Fund
TENNENBAUM OPPORTUNITIES PARTNERS V, LP United States 805-4524231156 Private Equity Fund 0 0 Master Fund
TCP WATERMAN CLO, LLC United States 805-2570129506 Securitized Asset Fund 347,945,741 0 Master Fund
TENNENBAUM ENERGY OPPORTUNITIES CO., LLC United States 805-1735809497 Private Equity Fund 0 0
TCP DIRECT LENDING FUND VIII-L, LLC United States 805-6404448330 Hedge Fund 0 10,000,000 Feeder Fund
TCP DIRECT LENDING FUND VIII-T, LLC United States 805-6948366630 Hedge Fund 399,717,616 1,000,000
TENNENBAUM OPPORTUNITIES FUND V, LLC United States 805-3209844763 Private Equity Fund 187,042,620 1,000,000 Feeder Fund
TCP WATERMAN FUND, LP United States 805-1877958276 Securitized Asset Fund 347,945,741 10,000,000 Feeder Fund
TENNENBAUM SENIOR LOAN FUND II, LP United States 805-4603339981 Private Equity Fund 588,728,002 10,000,000 Fund of Funds
TENNENBAUM SPECIAL SITUATIONS IX-C, L.P. Cayman Islands 805-1559258707 Private Equity Fund 75,884,321 1,000,000
TENNENBAUM ENHANCED YIELD FUND I, LLC United States 805-8433592531 Private Equity Fund 176,574,987 1,000,000 Feeder Fund

TENNENBAUM CAPITAL PARTNERS, LLC

ownership team - last updated 2020-08-20
Name Title Start Date Direct/Indirect % Ownership
LEVKOWITZ, HOWARD, MARSHALL MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 1999-05-01
SVIM / MSM, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 1999-07-01
SVIM / MSM II, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 2000-06-01
SVAR/MM, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 2001-10-01
SVOF/MM, LLC MANAGING PARTNER direct 2004-07-01
SPECIAL VALUE INVESTMENT MANAGEMENT, LLC PORTFOLIO MANAGER direct 1999-05-01 2004-07-14
SVIM / MSM, LLC CHIEF ADMINISTRATIVE OFFICER direct 1999-07-01 2004-07-14
SVIM / MSM II, LLC CHIEF ADMINISTRATIVE OFFICER direct 2000-06-01 2004-07-14
SVAR/MM, LLC PRINCIPAL MEMBER direct 2001-10-01 2004-07-14
SVOF/MM, LLC PRINCIPAL MEMBER direct 2004-07-01 2004-08-23
SVOF/MM, LLC AUTHORIZED REPRESENTATIVE direct 2004-07-01 2016-03-30
DAVIS, PAUL, LESLIE MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER AND VP, FINANCE direct 2004-09-01
TENNENBAUM CAPITAL PARTNERS, LLC VP, FINANCE direct 2004-09-01
TENNENBAUM CAPITAL PARTNERS, LLC CHIEF FINANCIAL OFFICER direct 2010-01-01
SVIM / MSM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVIM / MSM II, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVAR/MM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVOF/MM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVOF/MM, LLC CHIEF FINANCIAL OFFICER direct 2016-06-01
LEITNER, MICHAEL, ERIC MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC PARTNER direct 2007-01-01
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2007-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
GREENWOOD, ELIZABETH, ALICE MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2008-01-01
TENNENBAUM CAPITAL PARTNERS, LLC GENERAL COUNSEL direct 2008-01-01
STROME INVESTMENT MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2005-10-01
SVIM / MSM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVIM / MSM II, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVAR/MM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVOF/MM, LLC SECRETARY AND CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVOF/MM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
VIG, RAJNEESH MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2011-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
TSENG, PHILIP, M MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2013-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC MEMBER 08/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MEMBER direct 2018-08-01
SVOF/MM, LLC MEMBER indirect 2018-08-01
LANDRUM, LEE, ROBERT MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING DIRECTOR direct 2018-08-01
SVOF/MM, LLC MANAGING DIRECTOR direct 2018-08-01
Keenan, James, Edward MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING DIRECTOR direct 2018-08-01
SVOF/MM, LLC MANAGING DIRECTOR direct 2018-09-01
PARK, CHARLES, CHOON SIK CHIEF COMPLIANCE OFFICER 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BLACKROCK FUND ADVISORS CHIEF COMPLIANCE OFFICER direct 2006-08-01
BLACKROCK FUND ADVISORS CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR direct 2006-08-01
AMERICAN CENTURY INVESTMENT MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2005-03-01
BLACKROCK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-06-01
BLACKROCK FINANCIAL MANAGEMENT, INC CHIEF COMPLIANCE OFFICER direct 2016-09-01
BLACKROCK CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2016-09-01
BLACKROCK INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2016-09-01
AMERICAN CENTURY ADVISORY SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2005-03-01
AMERICAN CENTURY GLOBAL INVESTMENT MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-03-01
BLACKROCK ALTERNATIVES MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2017-03-01
BLACKROCK ADVISORS, LLC MEMBER BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC 09/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLACKROCK KELSO CAPITAL ADVISORS LLC MEMBER- CLASS B INTERESTS direct 2005-04-01
JMML MEZZANINE ADVISORS, LLC MEMBER - CLASS B INTERESTS indirect 2015-03-01
BLACKROCK CAPITAL HOLDINGS, INC. MEMBER BLACKROCK ADVISORS, LLC 09/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLACKROCK KELSO CAPITAL ADVISORS LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK FINANCIAL MANAGEMENT, INC SOLE SHAREHOLDER BLACKROCK CAPITAL HOLDINGS, INC. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
STATE STREET RESEARCH & MANAGEMENT COMPANY SOLE SHAREHOLDER indirect 2005-01-01
BLACKROCK INTERNATIONAL, LTD. MAJORITY SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK CAPITAL MANAGEMENT, INC. SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK REALTY ADVISORS INC SOLE SHAREHOLDER indirect 2005-01-01
BLACKROCK REALTY ADVISORS INC STOCKHOLDER direct 2011-07-01
BLACKROCK HPB MANAGEMENT, LLC MAJORITY SHAREHOLDER OF APPLICANT direct 2003-04-01
BLACKROCK HPB MANAGEMENT, LLC WHOLE SHAREHOLDER direct 2007-12-01
BKCA MEZZANINE ADVISORS, LLC SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK PRIVATE EQUITY PARTNERS AG SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG SOLE SHAREHOLDER indirect 2015-09-01
BLACKROCK (HONG KONG) LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK (SINGAPORE) LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK (SINGAPORE) LIMITED SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED SOLE SHAREHOLDER indirect 2015-03-01
GALLATIN POINT CAPITAL LLC MEMBER indirect 2017-01-01
BLACKROCK HOLDCO 2, INC. SOLE SHAREHOLDER BLACKROCK FINANCIAL MANAGEMENT, INC 09/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INC. SOLE SHAREHOLDER BLACKROCK HOLDCO 2, INC. 09/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ADVISORS, LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK FINANCIAL MANAGEMENT, INC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK CAPITAL MANAGEMENT, INC. SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INVESTMENT MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-09-01
XULU INC SOLE SHAREHOLDER direct 2015-10-01
JMML MEZZANINE ADVISORS, LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT (SCHWEIZ) AG SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK (SINGAPORE) LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED SOLE SHAREHOLDER indirect 2006-09-01
GALLATIN POINT CAPITAL LLC SHAREHOLDER indirect 2017-01-01
BLACKROCK ALTERNATIVES MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TCP DIRECT LENDING FUND VIII-U (IRELAND) Ireland 805-7054034683 Private Equity Fund 483,799,897 10,000,000 Master Fund
TENNENBAUM HEARTLAND CO-INVEST, LP United States 805-3210070733 Private Equity Fund 89,901,884 1,000,000
SPECIAL VALUE EXPANSION FUND, LLC United States 805-8634563958 Private Equity Fund 11,318,886 1,000,000
TENNENBAUM SPECIAL SITUATIONS FUND IX-A, LLC United States 805-4572245817 Private Equity Fund 87,604,693 1,000,000
TCP DIRECT LENDING FUND VIII-N, LLC United States 805-9585251087 Private Equity Fund 0 1,000,000
TCP DIRECT LENDING FUND VIII-S, LLC United States 805-3813529077 Hedge Fund 199,748,549 1,000,000
TENNENBAUM DIP OPPORTUNITY FEEDER, LP United States 805-7727113964 Private Equity Fund 0 0 Feeder Fund
TENNENBAUM OPPORTUNITIES PARTNERS V, LP United States 805-4524231156 Private Equity Fund 0 0 Master Fund
TCP WATERMAN CLO, LLC United States 805-2570129506 Securitized Asset Fund 347,945,741 0 Master Fund
TENNENBAUM ENERGY OPPORTUNITIES CO., LLC United States 805-1735809497 Private Equity Fund 0 0
TCP DIRECT LENDING FUND VIII-L, LLC United States 805-6404448330 Hedge Fund 0 10,000,000 Feeder Fund
TCP DIRECT LENDING FUND VIII-T, LLC United States 805-6948366630 Hedge Fund 399,717,616 1,000,000
TENNENBAUM OPPORTUNITIES FUND V, LLC United States 805-3209844763 Private Equity Fund 187,042,620 1,000,000 Feeder Fund
TCP WATERMAN FUND, LP United States 805-1877958276 Securitized Asset Fund 347,945,741 10,000,000 Feeder Fund
TENNENBAUM SENIOR LOAN FUND II, LP United States 805-4603339981 Private Equity Fund 588,728,002 10,000,000 Fund of Funds
TENNENBAUM ENHANCED YIELD OPERATING I, LLC United States 805-1200785960 Private Equity Fund 0 0 Master Fund Feeder Fund
TCP DIRECT LENDING FUND VIII, LLC United States 805-1632657233 Private Equity Fund 0 10,000,000 Feeder Fund
TCP DIRECT LENDING FUND VIII-L (IRELAND) Ireland 805-8848373214 Hedge Fund 768,796,546 1,000,000 Master Fund
TENNENBAUM SPECIAL SITUATIONS IX-C, L.P. Cayman Islands 805-1559258707 Private Equity Fund 75,884,321 1,000,000
TENNENBAUM ENHANCED YIELD FUND I, LLC United States 805-8433592531 Private Equity Fund 176,574,987 1,000,000 Feeder Fund
TENNENBAUM OPPORTUNITIES FUND VI, LLC United States 805-4298586404 Private Equity Fund 188,501,144 1,000,000 Master Fund
TENNENBAUM SENIOR LOAN FUND IV-A, LP United States 805-2653365238 Private Equity Fund 13,176,598 10,000,000 Feeder Fund
TENNENBAUM SENIOR LOAN FUND IV-B, LP United States 805-6010123719 Private Equity Fund 27,270,979 10,000,000
TENNENBAUM ENERGY OPPORTUNITIES FUND, LP United States 805-9441942290 Private Equity Fund 111,997,884 1,000,000 Feeder Fund
TENNENBAUM SPECIAL SITUATIONS FUND IX, LLC United States 805-2339633789 Private Equity Fund 410,773,185 1,000,000
TCP ENHANCED YIELD FUNDING I, LLC United States 805-8371761615 Private Equity Fund 0 0 Master Fund
SPECIAL VALUE OPPORTUNITIES FEEDER FUND United States 805-3652004212 Private Equity Fund 0 1,000,000 Feeder Fund
TCP DIRECT LENDING FEEDER VIII-U (IRELAND) Ireland 805-4555078431 Private Equity Fund 0 10,000,000 Feeder Fund
TCP DIRECT LENDING FEEDER VIII-L (IRELAND) Ireland 805-6758117886 Hedge Fund 0 10,000,000 Feeder Fund
SEB DIP INVESTOR, LP United States 805-2406448869 Private Equity Fund 0 0 Feeder Fund
TENNENBAUM SENIOR LOAN SPV IV-A, LLC United States 805-8050484314 Private Equity Fund 13,176,598 0 Master Fund
TENNENBAUM SENIOR LOAN FUND III, LP United States 805-6686670868 Private Equity Fund 121,731,350 10,000,000 Feeder Fund
TENNENBAUM SENIOR LOAN OPERATING III, LLC United States 805-8069243468 Private Equity Fund 0 0 Master Fund Feeder Fund
SPECIAL VALUE OPPORTUNITIES FUND, LLC United States 805-6674145392 Private Equity Fund 16,645,986 1,000,000 Master Fund
TCP DIRECT LENDING FUND VIII-A, LLC United States 805-2626129767 Private Equity Fund 352,735,637 10,000,000
TENNENBAUM SPECIAL SITUATIONS FUND IX-S, L.P. Cayman Islands 805-7911465971 Private Equity Fund 32,390,217 1,000,000
TENNENBAUM SPECIAL SITUATIONS IX-O, L.P. Cayman Islands 805-7755178625 Private Equity Fund 101,041,454 1,000,000
TENNENBAUM SENIOR LOAN FUND V, LLC United States 805-8895571978 Private Equity Fund 559,787,798 10,000,000

TENNENBAUM CAPITAL PARTNERS, LLC

ownership team - last updated 2020-06-30
Name Title Start Date Direct/Indirect % Ownership
LEVKOWITZ, HOWARD, MARSHALL MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 1999-05-01
SVIM / MSM, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 1999-07-01
SVIM / MSM II, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 2000-06-01
SVAR/MM, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 2001-10-01
SVOF/MM, LLC MANAGING PARTNER direct 2004-07-01
SPECIAL VALUE INVESTMENT MANAGEMENT, LLC PORTFOLIO MANAGER direct 1999-05-01 2004-07-14
SVIM / MSM, LLC CHIEF ADMINISTRATIVE OFFICER direct 1999-07-01 2004-07-14
SVIM / MSM II, LLC CHIEF ADMINISTRATIVE OFFICER direct 2000-06-01 2004-07-14
SVAR/MM, LLC PRINCIPAL MEMBER direct 2001-10-01 2004-07-14
SVOF/MM, LLC PRINCIPAL MEMBER direct 2004-07-01 2004-08-23
SVOF/MM, LLC AUTHORIZED REPRESENTATIVE direct 2004-07-01 2016-03-30
DAVIS, PAUL, LESLIE MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER AND VP, FINANCE direct 2004-09-01
TENNENBAUM CAPITAL PARTNERS, LLC VP, FINANCE direct 2004-09-01
TENNENBAUM CAPITAL PARTNERS, LLC CHIEF FINANCIAL OFFICER direct 2010-01-01
SVIM / MSM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVIM / MSM II, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVAR/MM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVOF/MM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVOF/MM, LLC CHIEF FINANCIAL OFFICER direct 2016-06-01
LEITNER, MICHAEL, ERIC MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC PARTNER direct 2007-01-01
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2007-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
GREENWOOD, ELIZABETH, ALICE MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2008-01-01
TENNENBAUM CAPITAL PARTNERS, LLC GENERAL COUNSEL direct 2008-01-01
STROME INVESTMENT MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2005-10-01
SVIM / MSM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVIM / MSM II, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVAR/MM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVOF/MM, LLC SECRETARY AND CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVOF/MM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
VIG, RAJNEESH MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2011-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
TSENG, PHILIP, M MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2013-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC MEMBER 08/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MEMBER direct 2018-08-01
SVOF/MM, LLC MEMBER indirect 2018-08-01
LANDRUM, LEE, ROBERT MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING DIRECTOR direct 2018-08-01
SVOF/MM, LLC MANAGING DIRECTOR direct 2018-08-01
Keenan, James, Edward MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING DIRECTOR direct 2018-08-01
SVOF/MM, LLC MANAGING DIRECTOR direct 2018-09-01
PARK, CHARLES, CHOON SIK CHIEF COMPLIANCE OFFICER 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BLACKROCK FUND ADVISORS CHIEF COMPLIANCE OFFICER direct 2006-08-01
BLACKROCK FUND ADVISORS CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR direct 2006-08-01
AMERICAN CENTURY INVESTMENT MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2005-03-01
BLACKROCK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-06-01
BLACKROCK FINANCIAL MANAGEMENT, INC CHIEF COMPLIANCE OFFICER direct 2016-09-01
BLACKROCK CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2016-09-01
BLACKROCK INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2016-09-01
AMERICAN CENTURY ADVISORY SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2005-03-01
AMERICAN CENTURY GLOBAL INVESTMENT MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-03-01
BLACKROCK ALTERNATIVES MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2017-03-01
BLACKROCK ADVISORS, LLC MEMBER BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC 09/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLACKROCK KELSO CAPITAL ADVISORS LLC MEMBER- CLASS B INTERESTS direct 2005-04-01
JMML MEZZANINE ADVISORS, LLC MEMBER - CLASS B INTERESTS indirect 2015-03-01
BLACKROCK CAPITAL HOLDINGS, INC. MEMBER BLACKROCK ADVISORS, LLC 09/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLACKROCK KELSO CAPITAL ADVISORS LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK FINANCIAL MANAGEMENT, INC SOLE SHAREHOLDER BLACKROCK CAPITAL HOLDINGS, INC. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
STATE STREET RESEARCH & MANAGEMENT COMPANY SOLE SHAREHOLDER indirect 2005-01-01
BLACKROCK INTERNATIONAL, LTD. MAJORITY SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK CAPITAL MANAGEMENT, INC. SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK REALTY ADVISORS INC SOLE SHAREHOLDER indirect 2005-01-01
BLACKROCK REALTY ADVISORS INC STOCKHOLDER direct 2011-07-01
BLACKROCK HPB MANAGEMENT, LLC MAJORITY SHAREHOLDER OF APPLICANT direct 2003-04-01
BLACKROCK HPB MANAGEMENT, LLC WHOLE SHAREHOLDER direct 2007-12-01
BKCA MEZZANINE ADVISORS, LLC SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK PRIVATE EQUITY PARTNERS AG SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG SOLE SHAREHOLDER indirect 2015-09-01
BLACKROCK (HONG KONG) LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK (SINGAPORE) LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK (SINGAPORE) LIMITED SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED SOLE SHAREHOLDER indirect 2015-03-01
GALLATIN POINT CAPITAL LLC MEMBER indirect 2017-01-01
BLACKROCK HOLDCO 2, INC. SOLE SHAREHOLDER BLACKROCK FINANCIAL MANAGEMENT, INC 09/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INC. SOLE SHAREHOLDER BLACKROCK HOLDCO 2, INC. 09/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ADVISORS, LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK FINANCIAL MANAGEMENT, INC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK CAPITAL MANAGEMENT, INC. SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INVESTMENT MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-09-01
XULU INC SOLE SHAREHOLDER direct 2015-10-01
JMML MEZZANINE ADVISORS, LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT (SCHWEIZ) AG SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK (SINGAPORE) LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED SOLE SHAREHOLDER indirect 2006-09-01
GALLATIN POINT CAPITAL LLC SHAREHOLDER indirect 2017-01-01
BLACKROCK ALTERNATIVES MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TENNENBAUM SPECIAL SITUATIONS FUND IX-S, L.P. Cayman Islands 805-7911465971 Private Equity Fund 32,390,217 1,000,000
TENNENBAUM SPECIAL SITUATIONS IX-O, L.P. Cayman Islands 805-7755178625 Private Equity Fund 101,041,454 1,000,000
TENNENBAUM SENIOR LOAN FUND V, LLC United States 805-8895571978 Private Equity Fund 559,787,798 10,000,000
TCP DIRECT LENDING FUND VIII-U (IRELAND) Ireland 805-7054034683 Private Equity Fund 483,799,897 10,000,000 Master Fund
TENNENBAUM HEARTLAND CO-INVEST, LP United States 805-3210070733 Private Equity Fund 89,901,884 1,000,000
SPECIAL VALUE EXPANSION FUND, LLC United States 805-8634563958 Private Equity Fund 11,318,886 1,000,000
TENNENBAUM SPECIAL SITUATIONS FUND IX-A, LLC United States 805-4572245817 Private Equity Fund 87,604,693 1,000,000
TCP DIRECT LENDING FUND VIII-N, LLC United States 805-9585251087 Private Equity Fund 0 1,000,000
TCP DIRECT LENDING FUND VIII-S, LLC United States 805-3813529077 Hedge Fund 199,748,549 1,000,000
TENNENBAUM DIP OPPORTUNITY FEEDER, LP United States 805-7727113964 Private Equity Fund 0 0 Feeder Fund
TENNENBAUM OPPORTUNITIES PARTNERS V, LP United States 805-4524231156 Private Equity Fund 0 0 Master Fund
TCP WATERMAN CLO, LLC United States 805-2570129506 Securitized Asset Fund 347,945,741 0 Master Fund
TENNENBAUM ENERGY OPPORTUNITIES CO., LLC United States 805-1735809497 Private Equity Fund 0 0
TCP DIRECT LENDING FUND VIII-L, LLC United States 805-6404448330 Hedge Fund 0 10,000,000 Feeder Fund
TCP DIRECT LENDING FUND VIII-T, LLC United States 805-6948366630 Hedge Fund 399,717,616 1,000,000
TENNENBAUM OPPORTUNITIES FUND V, LLC United States 805-3209844763 Private Equity Fund 187,042,620 1,000,000 Feeder Fund
TCP DIRECT LENDING FUND VIII, LLC United States 805-1632657233 Private Equity Fund 0 10,000,000 Feeder Fund
TCP DIRECT LENDING FUND VIII-L (IRELAND) Ireland 805-8848373214 Hedge Fund 768,796,546 1,000,000 Master Fund
TENNENBAUM SPECIAL SITUATIONS IX-C, L.P. Cayman Islands 805-1559258707 Private Equity Fund 75,884,321 1,000,000
TENNENBAUM ENHANCED YIELD FUND I, LLC United States 805-8433592531 Private Equity Fund 176,574,987 1,000,000 Feeder Fund
TENNENBAUM OPPORTUNITIES FUND VI, LLC United States 805-4298586404 Private Equity Fund 188,501,144 1,000,000 Master Fund
TCP WATERMAN FUND, LP United States 805-1877958276 Securitized Asset Fund 347,945,741 10,000,000 Feeder Fund
TENNENBAUM SENIOR LOAN FUND II, LP United States 805-4603339981 Private Equity Fund 588,728,002 10,000,000 Fund of Funds
TENNENBAUM ENHANCED YIELD OPERATING I, LLC United States 805-1200785960 Private Equity Fund 0 0 Master Fund Feeder Fund
TENNENBAUM SENIOR LOAN FUND IV-A, LP United States 805-2653365238 Private Equity Fund 13,176,598 10,000,000 Feeder Fund
TENNENBAUM SENIOR LOAN FUND IV-B, LP United States 805-6010123719 Private Equity Fund 27,270,979 10,000,000
TENNENBAUM ENERGY OPPORTUNITIES FUND, LP United States 805-9441942290 Private Equity Fund 111,997,884 1,000,000 Feeder Fund
TENNENBAUM SPECIAL SITUATIONS FUND IX, LLC United States 805-2339633789 Private Equity Fund 410,773,185 1,000,000
TCP ENHANCED YIELD FUNDING I, LLC United States 805-8371761615 Private Equity Fund 0 0 Master Fund
SPECIAL VALUE OPPORTUNITIES FEEDER FUND United States 805-3652004212 Private Equity Fund 0 1,000,000 Feeder Fund
TCP DIRECT LENDING FEEDER VIII-U (IRELAND) Ireland 805-4555078431 Private Equity Fund 0 10,000,000 Feeder Fund
TCP DIRECT LENDING FEEDER VIII-L (IRELAND) Ireland 805-6758117886 Hedge Fund 0 10,000,000 Feeder Fund
SEB DIP INVESTOR, LP United States 805-2406448869 Private Equity Fund 0 0 Feeder Fund
TENNENBAUM SENIOR LOAN SPV IV-A, LLC United States 805-8050484314 Private Equity Fund 13,176,598 0 Master Fund
TENNENBAUM SENIOR LOAN FUND III, LP United States 805-6686670868 Private Equity Fund 121,731,350 10,000,000 Feeder Fund
TENNENBAUM SENIOR LOAN OPERATING III, LLC United States 805-8069243468 Private Equity Fund 0 0 Master Fund Feeder Fund
SPECIAL VALUE OPPORTUNITIES FUND, LLC United States 805-6674145392 Private Equity Fund 16,645,986 1,000,000 Master Fund
TCP DIRECT LENDING FUND VIII-A, LLC United States 805-2626129767 Private Equity Fund 352,735,637 10,000,000

TENNENBAUM CAPITAL PARTNERS, LLC

ownership team - last updated 2020-03-26
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TCP DIRECT LENDING FUND VIII-L (IRELAND) Ireland 805-8848373214 Hedge Fund 768,796,546 1,000,000 Master Fund
TENNENBAUM SPECIAL SITUATIONS IX-C, L.P. Cayman Islands 805-1559258707 Private Equity Fund 75,884,321 1,000,000
TENNENBAUM ENHANCED YIELD FUND I, LLC United States 805-8433592531 Private Equity Fund 176,574,987 1,000,000 Feeder Fund
TENNENBAUM OPPORTUNITIES FUND VI, LLC United States 805-4298586404 Private Equity Fund 188,501,144 1,000,000 Master Fund
TCP WATERMAN FUND, LP United States 805-1877958276 Securitized Asset Fund 347,945,741 10,000,000 Feeder Fund
TENNENBAUM SENIOR LOAN FUND II, LP United States 805-4603339981 Private Equity Fund 588,728,002 10,000,000 Fund of Funds
TENNENBAUM SENIOR LOAN FUND IV-A, LP United States 805-2653365238 Private Equity Fund 13,176,598 10,000,000 Feeder Fund
TENNENBAUM SENIOR LOAN FUND IV-B, LP United States 805-6010123719 Private Equity Fund 27,270,979 10,000,000
TENNENBAUM ENERGY OPPORTUNITIES FUND, LP United States 805-9441942290 Private Equity Fund 111,997,884 1,000,000 Feeder Fund
TENNENBAUM SPECIAL SITUATIONS FUND IX, LLC United States 805-2339633789 Private Equity Fund 410,773,185 1,000,000
TCP ENHANCED YIELD FUNDING I, LLC United States 805-8371761615 Private Equity Fund 0 0 Master Fund
SPECIAL VALUE OPPORTUNITIES FEEDER FUND United States 805-3652004212 Private Equity Fund 0 1,000,000 Feeder Fund
TCP DIRECT LENDING FEEDER VIII-U (IRELAND) Ireland 805-4555078431 Private Equity Fund 0 10,000,000 Feeder Fund
TCP DIRECT LENDING FEEDER VIII-L (IRELAND) Ireland 805-6758117886 Hedge Fund 0 10,000,000 Feeder Fund
SEB DIP INVESTOR, LP United States 805-2406448869 Private Equity Fund 0 0 Feeder Fund
TENNENBAUM SENIOR LOAN SPV IV-A, LLC United States 805-8050484314 Private Equity Fund 13,176,598 0 Master Fund
TENNENBAUM SENIOR LOAN OPERATING III, LLC United States 805-8069243468 Private Equity Fund 0 0 Master Fund Feeder Fund
SPECIAL VALUE OPPORTUNITIES FUND, LLC United States 805-6674145392 Private Equity Fund 16,645,986 1,000,000 Master Fund
TCP DIRECT LENDING FUND VIII-A, LLC United States 805-2626129767 Private Equity Fund 352,735,637 10,000,000
TENNENBAUM SENIOR LOAN FUND III, LP United States 805-6686670868 Private Equity Fund 121,731,350 10,000,000 Feeder Fund
TENNENBAUM SPECIAL SITUATIONS FUND IX-S, L.P. Cayman Islands 805-7911465971 Private Equity Fund 32,390,217 1,000,000
TENNENBAUM SPECIAL SITUATIONS IX-O, L.P. Cayman Islands 805-7755178625 Private Equity Fund 101,041,454 1,000,000
TENNENBAUM SENIOR LOAN FUND V, LLC United States 805-8895571978 Private Equity Fund 559,787,798 10,000,000
TENNENBAUM HEARTLAND CO-INVEST, LP United States 805-3210070733 Private Equity Fund 89,901,884 1,000,000
SPECIAL VALUE EXPANSION FUND, LLC United States 805-8634563958 Private Equity Fund 11,318,886 1,000,000
TENNENBAUM SPECIAL SITUATIONS FUND IX-A, LLC United States 805-4572245817 Private Equity Fund 87,604,693 1,000,000
TCP DIRECT LENDING FUND VIII-U (IRELAND) Ireland 805-7054034683 Private Equity Fund 483,799,897 10,000,000 Master Fund
TCP DIRECT LENDING FUND VIII-N, LLC United States 805-9585251087 Private Equity Fund 0 1,000,000
TCP DIRECT LENDING FUND VIII-S, LLC United States 805-3813529077 Hedge Fund 199,748,549 1,000,000
TENNENBAUM DIP OPPORTUNITY FEEDER, LP United States 805-7727113964 Private Equity Fund 0 0 Feeder Fund
TENNENBAUM OPPORTUNITIES PARTNERS V, LP United States 805-4524231156 Private Equity Fund 0 0 Master Fund
TCP WATERMAN CLO, LLC United States 805-2570129506 Securitized Asset Fund 347,945,741 0 Master Fund
TENNENBAUM ENERGY OPPORTUNITIES CO., LLC United States 805-1735809497 Private Equity Fund 0 0
TCP DIRECT LENDING FUND VIII-L, LLC United States 805-6404448330 Hedge Fund 0 10,000,000 Feeder Fund
TCP DIRECT LENDING FUND VIII-T, LLC United States 805-6948366630 Hedge Fund 399,717,616 1,000,000
TENNENBAUM OPPORTUNITIES FUND V, LLC United States 805-3209844763 Private Equity Fund 187,042,620 1,000,000 Feeder Fund
TCP DIRECT LENDING FUND VIII, LLC United States 805-1632657233 Private Equity Fund 0 10,000,000 Feeder Fund
TENNENBAUM ENHANCED YIELD OPERATING I, LLC United States 805-1200785960 Private Equity Fund 0 0 Master Fund Feeder Fund

TENNENBAUM CAPITAL PARTNERS, LLC

ownership team - last updated 2019-10-04
Name Title Start Date Direct/Indirect % Ownership
LEVKOWITZ, HOWARD, MARSHALL MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 1999-05-01
SVIM / MSM, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 1999-07-01
SVIM / MSM II, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 2000-06-01
SVAR/MM, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 2001-10-01
SVOF/MM, LLC MANAGING PARTNER direct 2004-07-01
SPECIAL VALUE INVESTMENT MANAGEMENT, LLC PORTFOLIO MANAGER direct 1999-05-01 2004-07-14
SVIM / MSM, LLC CHIEF ADMINISTRATIVE OFFICER direct 1999-07-01 2004-07-14
SVIM / MSM II, LLC CHIEF ADMINISTRATIVE OFFICER direct 2000-06-01 2004-07-14
SVAR/MM, LLC PRINCIPAL MEMBER direct 2001-10-01 2004-07-14
SVOF/MM, LLC PRINCIPAL MEMBER direct 2004-07-01 2004-08-23
SVOF/MM, LLC AUTHORIZED REPRESENTATIVE direct 2004-07-01 2016-03-30
DAVIS, PAUL, LESLIE MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER AND VP, FINANCE direct 2004-09-01
TENNENBAUM CAPITAL PARTNERS, LLC VP, FINANCE direct 2004-09-01
TENNENBAUM CAPITAL PARTNERS, LLC CHIEF FINANCIAL OFFICER direct 2010-01-01
SVIM / MSM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVIM / MSM II, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVAR/MM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVOF/MM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVOF/MM, LLC CHIEF FINANCIAL OFFICER direct 2016-06-01
LEITNER, MICHAEL, ERIC MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC PARTNER direct 2007-01-01
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2007-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
GREENWOOD, ELIZABETH, ALICE MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2008-01-01
TENNENBAUM CAPITAL PARTNERS, LLC GENERAL COUNSEL direct 2008-01-01
STROME INVESTMENT MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2005-10-01
SVIM / MSM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVIM / MSM II, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVAR/MM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVOF/MM, LLC SECRETARY AND CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVOF/MM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
VIG, RAJNEESH MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2011-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
TSENG, PHILIP, M MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2013-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC MEMBER 08/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MEMBER direct 2018-08-01
SVOF/MM, LLC MEMBER indirect 2018-08-01
LANDRUM, LEE, ROBERT MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING DIRECTOR direct 2018-08-01
SVOF/MM, LLC MANAGING DIRECTOR direct 2018-08-01
Keenan, James, Edward MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING DIRECTOR direct 2018-08-01
SVOF/MM, LLC MANAGING DIRECTOR direct 2018-09-01
PARK, CHARLES, CHOON SIK CHIEF COMPLIANCE OFFICER 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BLACKROCK FUND ADVISORS CHIEF COMPLIANCE OFFICER direct 2006-08-01
BLACKROCK FUND ADVISORS CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR direct 2006-08-01
AMERICAN CENTURY INVESTMENT MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2005-03-01
BLACKROCK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-06-01
BLACKROCK FINANCIAL MANAGEMENT, INC CHIEF COMPLIANCE OFFICER direct 2016-09-01
BLACKROCK CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2016-09-01
BLACKROCK INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2016-09-01
AMERICAN CENTURY ADVISORY SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2005-03-01
AMERICAN CENTURY GLOBAL INVESTMENT MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-03-01
BLACKROCK ALTERNATIVES MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2017-03-01
BLACKROCK ADVISORS, LLC MEMBER BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC 09/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLACKROCK KELSO CAPITAL ADVISORS LLC MEMBER- CLASS B INTERESTS direct 2005-04-01
JMML MEZZANINE ADVISORS, LLC MEMBER - CLASS B INTERESTS indirect 2015-03-01
BLACKROCK CAPITAL HOLDINGS, INC. MEMBER BLACKROCK ADVISORS, LLC 09/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLACKROCK KELSO CAPITAL ADVISORS LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK FINANCIAL MANAGEMENT, INC SOLE SHAREHOLDER BLACKROCK CAPITAL HOLDINGS, INC. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
STATE STREET RESEARCH & MANAGEMENT COMPANY SOLE SHAREHOLDER indirect 2005-01-01
BLACKROCK INTERNATIONAL, LTD. MAJORITY SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK CAPITAL MANAGEMENT, INC. SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK REALTY ADVISORS INC SOLE SHAREHOLDER indirect 2005-01-01
BLACKROCK REALTY ADVISORS INC STOCKHOLDER direct 2011-07-01
BLACKROCK HPB MANAGEMENT, LLC MAJORITY SHAREHOLDER OF APPLICANT direct 2003-04-01
BLACKROCK HPB MANAGEMENT, LLC WHOLE SHAREHOLDER direct 2007-12-01
BKCA MEZZANINE ADVISORS, LLC SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK PRIVATE EQUITY PARTNERS AG SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG SOLE SHAREHOLDER indirect 2015-09-01
BLACKROCK (HONG KONG) LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK (SINGAPORE) LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK (SINGAPORE) LIMITED SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED SOLE SHAREHOLDER indirect 2015-03-01
GALLATIN POINT CAPITAL LLC MEMBER indirect 2017-01-01
BLACKROCK HOLDCO 2, INC. SOLE SHAREHOLDER BLACKROCK FINANCIAL MANAGEMENT, INC 09/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INC. SOLE SHAREHOLDER BLACKROCK HOLDCO 2, INC. 09/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ADVISORS, LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK FINANCIAL MANAGEMENT, INC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK CAPITAL MANAGEMENT, INC. SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INVESTMENT MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-09-01
XULU INC SOLE SHAREHOLDER direct 2015-10-01
JMML MEZZANINE ADVISORS, LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT (SCHWEIZ) AG SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK (SINGAPORE) LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED SOLE SHAREHOLDER indirect 2006-09-01
GALLATIN POINT CAPITAL LLC SHAREHOLDER indirect 2017-01-01
BLACKROCK ALTERNATIVES MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TENNENBAUM SPECIAL SITUATIONS FUND IX, LLC United States 805-2339633789 Private Equity Fund 372,000,000 1,000,000
TCP ENHANCED YIELD FUNDING I, LLC United States 805-8371761615 Private Equity Fund 0 0 Master Fund
SPECIAL VALUE OPPORTUNITIES FEEDER FUND United States 805-3652004212 Private Equity Fund 0 1,000,000 Feeder Fund
TCP DIRECT LENDING FEEDER VIII-U (IRELAND) Ireland 805-4555078431 Private Equity Fund 0 10,000,000 Feeder Fund
TCP DIRECT LENDING FEEDER VIII-L (IRELAND) Ireland 805-6758117886 Private Equity Fund 0 10,000,000 Feeder Fund
SEB DIP INVESTOR, LP United States 805-2406448869 Private Equity Fund 0 0 Feeder Fund
TENNENBAUM SENIOR LOAN SPV IV-A, LLC United States 805-8050484314 Private Equity Fund 30,000,000 0 Master Fund
TENNENBAUM SENIOR LOAN OPERATING III, LLC United States 805-8069243468 Private Equity Fund 156,000,000 0 Master Fund Feeder Fund
SPECIAL VALUE OPPORTUNITIES FUND, LLC United States 805-6674145392 Private Equity Fund 22,000,000 1,000,000 Master Fund
TCP DIRECT LENDING FUND VIII-A, LLC United States 805-2626129767 Private Equity Fund 354,000,000 10,000,000
TCP DIRECT LENDING FUND VIII-L (IRELAND) Ireland 805-8848373214 Private Equity Fund 384,000,000 1,000,000 Master Fund
TENNENBAUM SPECIAL SITUATIONS IX-C, L.P. Cayman Islands 805-1559258707 Private Equity Fund 70,000,000 1,000,000
TENNENBAUM ENHANCED YIELD FUND I, LLC United States 805-8433592531 Private Equity Fund 0 1,000,000 Feeder Fund
TENNENBAUM OPPORTUNITIES FUND VI, LLC United States 805-4298586404 Private Equity Fund 235,000,000 1,000,000 Master Fund
TCP WATERMAN FUND, LP United States 805-1877958276 Securitized Asset Fund 0 10,000,000 Feeder Fund
TENNENBAUM SENIOR LOAN FUND II, LP United States 805-4603339981 Private Equity Fund 443,000,000 10,000,000 Fund of Funds
TENNENBAUM SENIOR LOAN FUND IV-A, LP United States 805-2653365238 Private Equity Fund 0 10,000,000 Feeder Fund
TENNENBAUM SENIOR LOAN FUND IV-B, LP United States 805-6010123719 Private Equity Fund 46,000,000 10,000,000
TENNENBAUM ENERGY OPPORTUNITIES FUND, LP United States 805-9441942290 Private Equity Fund 0 1,000,000 Feeder Fund
TENNENBAUM SENIOR LOAN FUND III, LP United States 805-6686670868 Private Equity Fund 0 10,000,000 Feeder Fund
TENNENBAUM SPECIAL SITUATIONS FUND IX-S, L.P. Cayman Islands 805-7911465971 Private Equity Fund 33,000,000 1,000,000
TENNENBAUM SPECIAL SITUATIONS IX-O, L.P. Cayman Islands 805-7755178625 Private Equity Fund 93,000,000 1,000,000
TENNENBAUM SENIOR LOAN FUND V, LLC United States 805-8895571978 Private Equity Fund 335,000,000 10,000,000
TENNENBAUM HEARTLAND CO-INVEST, LP United States 805-3210070733 Private Equity Fund 111,000,000 1,000,000
SPECIAL VALUE EXPANSION FUND, LLC United States 805-8634563958 Private Equity Fund 14,000,000 1,000,000
TENNENBAUM SPECIAL SITUATIONS FUND IX-A, LLC United States 805-4572245817 Private Equity Fund 81,000,000 1,000,000
TCP DIRECT LENDING FUND VIII-U (IRELAND) Ireland 805-7054034683 Private Equity Fund 485,000,000 10,000,000 Master Fund
TCP DIRECT LENDING FUND VIII-N, LLC United States 805-9585251087 Private Equity Fund 200,000,000 1,000,000
TCP DIRECT LENDING FUND VIII-S, LLC United States 805-3813529077 Private Equity Fund 100,000,000 1,000,000
TCP DIRECT LENDING FUND VIII-L, LLC United States 805-6404448330 Private Equity Fund 0 10,000,000 Feeder Fund
TCP DIRECT LENDING FUND VIII-T, LLC United States 805-6948366630 Private Equity Fund 200,000,000 1,000,000
TENNENBAUM OPPORTUNITIES FUND V, LLC United States 805-3209844763 Private Equity Fund 0 1,000,000 Feeder Fund
TCP DIRECT LENDING FUND VIII, LLC United States 805-1632657233 Private Equity Fund 0 10,000,000 Feeder Fund
TENNENBAUM ENHANCED YIELD OPERATING I, LLC United States 805-1200785960 Private Equity Fund 289,000,000 0 Master Fund Feeder Fund
TENNENBAUM DIP OPPORTUNITY FEEDER, LP United States 805-7727113964 Private Equity Fund 0 0 Feeder Fund
TENNENBAUM OPPORTUNITIES PARTNERS V, LP United States 805-4524231156 Private Equity Fund 297,000,000 0 Master Fund
TCP WATERMAN CLO, LLC United States 805-2570129506 Securitized Asset Fund 350,000,000 0 Master Fund
TENNENBAUM ENERGY OPPORTUNITIES CO., LLC United States 805-1735809497 Private Equity Fund 149,000,000 0
TENNENBAUM SENIOR LOAN FUNDING III, LLC United States 805-9098638214 Private Equity Fund 0 0 Master Fund

TENNENBAUM CAPITAL PARTNERS, LLC

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
LEVKOWITZ, HOWARD, MARSHALL MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 1999-05-01
SVIM / MSM, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 1999-07-01
SVIM / MSM II, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 2000-06-01
SVAR/MM, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 2001-10-01
SVOF/MM, LLC MANAGING PARTNER direct 2004-07-01
SPECIAL VALUE INVESTMENT MANAGEMENT, LLC PORTFOLIO MANAGER direct 1999-05-01 2004-07-14
SVIM / MSM, LLC CHIEF ADMINISTRATIVE OFFICER direct 1999-07-01 2004-07-14
SVIM / MSM II, LLC CHIEF ADMINISTRATIVE OFFICER direct 2000-06-01 2004-07-14
SVAR/MM, LLC PRINCIPAL MEMBER direct 2001-10-01 2004-07-14
SVOF/MM, LLC PRINCIPAL MEMBER direct 2004-07-01 2004-08-23
SVOF/MM, LLC AUTHORIZED REPRESENTATIVE direct 2004-07-01 2016-03-30
DAVIS, PAUL, LESLIE MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER AND VP, FINANCE direct 2004-09-01
TENNENBAUM CAPITAL PARTNERS, LLC VP, FINANCE direct 2004-09-01
TENNENBAUM CAPITAL PARTNERS, LLC CHIEF FINANCIAL OFFICER direct 2010-01-01
SVIM / MSM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVIM / MSM II, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVAR/MM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVOF/MM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVOF/MM, LLC CHIEF FINANCIAL OFFICER direct 2016-06-01
LEITNER, MICHAEL, ERIC MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC PARTNER direct 2007-01-01
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2007-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
GREENWOOD, ELIZABETH, ALICE MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2008-01-01
TENNENBAUM CAPITAL PARTNERS, LLC GENERAL COUNSEL direct 2008-01-01
STROME INVESTMENT MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2005-10-01
SVIM / MSM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVIM / MSM II, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVAR/MM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVOF/MM, LLC SECRETARY AND CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVOF/MM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
VIG, RAJNEESH MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2011-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
TSENG, PHILIP, M MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2013-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC MEMBER 08/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MEMBER direct 2018-08-01
SVOF/MM, LLC MEMBER indirect 2018-08-01
LANDRUM, LEE, ROBERT MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING DIRECTOR direct 2018-08-01
SVOF/MM, LLC MANAGING DIRECTOR direct 2018-08-01
Keenan, James, Edward MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING DIRECTOR direct 2018-08-01
SVOF/MM, LLC MANAGING DIRECTOR direct 2018-09-01
PARK, CHARLES, CHOON SIK CHIEF COMPLIANCE OFFICER 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BLACKROCK FUND ADVISORS CHIEF COMPLIANCE OFFICER direct 2006-08-01
BLACKROCK FUND ADVISORS CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR direct 2006-08-01
AMERICAN CENTURY INVESTMENT MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2005-03-01
BLACKROCK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-06-01
BLACKROCK FINANCIAL MANAGEMENT, INC CHIEF COMPLIANCE OFFICER direct 2016-09-01
BLACKROCK CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2016-09-01
BLACKROCK INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2016-09-01
AMERICAN CENTURY ADVISORY SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2005-03-01
AMERICAN CENTURY GLOBAL INVESTMENT MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-03-01
BLACKROCK ALTERNATIVES MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2017-03-01
BLACKROCK ADVISORS, LLC MEMBER BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC 09/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLACKROCK KELSO CAPITAL ADVISORS LLC MEMBER- CLASS B INTERESTS direct 2005-04-01
JMML MEZZANINE ADVISORS, LLC MEMBER - CLASS B INTERESTS indirect 2015-03-01
BLACKROCK CAPITAL HOLDINGS, INC. MEMBER BLACKROCK ADVISORS, LLC 09/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLACKROCK KELSO CAPITAL ADVISORS LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK FINANCIAL MANAGEMENT, INC SOLE SHAREHOLDER BLACKROCK CAPITAL HOLDINGS, INC. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
STATE STREET RESEARCH & MANAGEMENT COMPANY SOLE SHAREHOLDER indirect 2005-01-01
BLACKROCK INTERNATIONAL, LTD. MAJORITY SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK CAPITAL MANAGEMENT, INC. SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK REALTY ADVISORS INC SOLE SHAREHOLDER indirect 2005-01-01
BLACKROCK REALTY ADVISORS INC STOCKHOLDER direct 2011-07-01
BLACKROCK HPB MANAGEMENT, LLC MAJORITY SHAREHOLDER OF APPLICANT direct 2003-04-01
BLACKROCK HPB MANAGEMENT, LLC WHOLE SHAREHOLDER direct 2007-12-01
BKCA MEZZANINE ADVISORS, LLC SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK PRIVATE EQUITY PARTNERS AG SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG SOLE SHAREHOLDER indirect 2015-09-01
BLACKROCK (HONG KONG) LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK (SINGAPORE) LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK (SINGAPORE) LIMITED SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED SOLE SHAREHOLDER indirect 2015-03-01
GALLATIN POINT CAPITAL LLC MEMBER indirect 2017-01-01
BLACKROCK HOLDCO 2, INC. SOLE SHAREHOLDER BLACKROCK FINANCIAL MANAGEMENT, INC 09/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INC. SOLE SHAREHOLDER BLACKROCK HOLDCO 2, INC. 09/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ADVISORS, LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK FINANCIAL MANAGEMENT, INC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK CAPITAL MANAGEMENT, INC. SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INVESTMENT MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-09-01
XULU INC SOLE SHAREHOLDER direct 2015-10-01
JMML MEZZANINE ADVISORS, LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT (SCHWEIZ) AG SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK (SINGAPORE) LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED SOLE SHAREHOLDER indirect 2006-09-01
GALLATIN POINT CAPITAL LLC SHAREHOLDER indirect 2017-01-01
BLACKROCK ALTERNATIVES MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TENNENBAUM SPECIAL SITUATIONS FUND IX, LLC United States 805-2339633789 Private Equity Fund 372,000,000 1,000,000
TCP ENHANCED YIELD FUNDING I, LLC United States 805-8371761615 Private Equity Fund 0 0 Master Fund
SEB DIP INVESTOR, LP United States 805-2406448869 Private Equity Fund 0 0 Feeder Fund
TENNENBAUM SENIOR LOAN SPV IV-A, LLC United States 805-8050484314 Private Equity Fund 30,000,000 0 Master Fund
TENNENBAUM SENIOR LOAN OPERATING III, LLC United States 805-8069243468 Private Equity Fund 156,000,000 0 Master Fund Feeder Fund
SPECIAL VALUE OPPORTUNITIES FEEDER FUND United States 805-3652004212 Private Equity Fund 0 1,000,000 Feeder Fund
TCP DIRECT LENDING FEEDER VIII-U (IRELAND) Ireland 805-4555078431 Private Equity Fund 0 10,000,000 Feeder Fund
TCP DIRECT LENDING FEEDER VIII-L (IRELAND) Ireland 805-6758117886 Private Equity Fund 0 10,000,000 Feeder Fund
TCP DIRECT LENDING FUND VIII-A, LLC United States 805-2626129767 Private Equity Fund 354,000,000 10,000,000
TCP DIRECT LENDING FUND VIII-L (IRELAND) Ireland 805-8848373214 Private Equity Fund 384,000,000 1,000,000 Master Fund
TENNENBAUM SPECIAL SITUATIONS IX-C, L.P. Cayman Islands 805-1559258707 Private Equity Fund 70,000,000 1,000,000
TENNENBAUM ENHANCED YIELD FUND I, LLC United States 805-8433592531 Private Equity Fund 0 1,000,000 Feeder Fund
TENNENBAUM OPPORTUNITIES FUND VI, LLC United States 805-4298586404 Private Equity Fund 235,000,000 1,000,000 Master Fund
TCP WATERMAN FUND, LP United States 805-1877958276 Securitized Asset Fund 0 10,000,000 Feeder Fund
TENNENBAUM SENIOR LOAN FUND II, LP United States 805-4603339981 Private Equity Fund 443,000,000 10,000,000 Fund of Funds
TENNENBAUM SENIOR LOAN FUND IV-A, LP United States 805-2653365238 Private Equity Fund 0 10,000,000 Feeder Fund
TENNENBAUM SENIOR LOAN FUND IV-B, LP United States 805-6010123719 Private Equity Fund 46,000,000 10,000,000
TENNENBAUM SENIOR LOAN FUND III, LP United States 805-6686670868 Private Equity Fund 0 10,000,000 Feeder Fund
SPECIAL VALUE OPPORTUNITIES FUND, LLC United States 805-6674145392 Private Equity Fund 22,000,000 1,000,000 Master Fund
TENNENBAUM SPECIAL SITUATIONS FUND IX-S, L.P. Cayman Islands 805-7911465971 Private Equity Fund 33,000,000 1,000,000
TENNENBAUM ENERGY OPPORTUNITIES FUND, LP United States 805-9441942290 Private Equity Fund 0 1,000,000 Feeder Fund
TENNENBAUM SPECIAL SITUATIONS IX-O, L.P. Cayman Islands 805-7755178625 Private Equity Fund 93,000,000 1,000,000
TENNENBAUM SENIOR LOAN FUND V, LLC United States 805-8895571978 Private Equity Fund 335,000,000 10,000,000
TENNENBAUM HEARTLAND CO-INVEST, LP United States 805-3210070733 Private Equity Fund 111,000,000 1,000,000
SPECIAL VALUE EXPANSION FUND, LLC United States 805-8634563958 Private Equity Fund 14,000,000 1,000,000
TENNENBAUM SPECIAL SITUATIONS FUND IX-A, LLC United States 805-4572245817 Private Equity Fund 81,000,000 1,000,000
TCP DIRECT LENDING FUND VIII-U (IRELAND) Ireland 805-7054034683 Private Equity Fund 485,000,000 10,000,000 Master Fund
TCP DIRECT LENDING FUND VIII-N, LLC United States 805-9585251087 Private Equity Fund 200,000,000 1,000,000
TCP DIRECT LENDING FUND VIII-S, LLC United States 805-3813529077 Private Equity Fund 100,000,000 1,000,000
TCP DIRECT LENDING FUND VIII-T, LLC United States 805-6948366630 Private Equity Fund 200,000,000 1,000,000
TENNENBAUM OPPORTUNITIES FUND V, LLC United States 805-3209844763 Private Equity Fund 0 1,000,000 Feeder Fund
TCP DIRECT LENDING FUND VIII, LLC United States 805-1632657233 Private Equity Fund 0 10,000,000 Feeder Fund
TCP DIRECT LENDING FUND VIII-L, LLC United States 805-6404448330 Private Equity Fund 0 10,000,000 Feeder Fund
TENNENBAUM ENHANCED YIELD OPERATING I, LLC United States 805-1200785960 Private Equity Fund 289,000,000 0 Master Fund Feeder Fund
TENNENBAUM DIP OPPORTUNITY FEEDER, LP United States 805-7727113964 Private Equity Fund 0 0 Feeder Fund
TENNENBAUM OPPORTUNITIES PARTNERS V, LP United States 805-4524231156 Private Equity Fund 297,000,000 0 Master Fund
TCP WATERMAN CLO, LLC United States 805-2570129506 Securitized Asset Fund 350,000,000 0 Master Fund
TENNENBAUM ENERGY OPPORTUNITIES CO., LLC United States 805-1735809497 Private Equity Fund 149,000,000 0
TENNENBAUM SENIOR LOAN FUNDING III, LLC United States 805-9098638214 Private Equity Fund 0 0 Master Fund

TENNENBAUM CAPITAL PARTNERS, LLC

ownership team - last updated 2018-11-12
Name Title Start Date Direct/Indirect % Ownership
LEVKOWITZ, HOWARD, MARSHALL MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 1999-05-01
SVIM / MSM, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 1999-07-01
SVIM / MSM II, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 2000-06-01
SVAR/MM, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 2001-10-01
SVOF/MM, LLC MANAGING PARTNER direct 2004-07-01
SPECIAL VALUE INVESTMENT MANAGEMENT, LLC PORTFOLIO MANAGER direct 1999-05-01 2004-07-14
SVIM / MSM, LLC CHIEF ADMINISTRATIVE OFFICER direct 1999-07-01 2004-07-14
SVIM / MSM II, LLC CHIEF ADMINISTRATIVE OFFICER direct 2000-06-01 2004-07-14
SVAR/MM, LLC PRINCIPAL MEMBER direct 2001-10-01 2004-07-14
SVOF/MM, LLC PRINCIPAL MEMBER direct 2004-07-01 2004-08-23
SVOF/MM, LLC AUTHORIZED REPRESENTATIVE direct 2004-07-01 2016-03-30
DAVIS, PAUL, LESLIE MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER AND VP, FINANCE direct 2004-09-01
TENNENBAUM CAPITAL PARTNERS, LLC VP, FINANCE direct 2004-09-01
TENNENBAUM CAPITAL PARTNERS, LLC CHIEF FINANCIAL OFFICER direct 2010-01-01
SVIM / MSM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVIM / MSM II, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVAR/MM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVOF/MM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVOF/MM, LLC CHIEF FINANCIAL OFFICER direct 2016-06-01
LEITNER, MICHAEL, ERIC MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC PARTNER direct 2007-01-01
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2007-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
GREENWOOD, ELIZABETH, ALICE MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2008-01-01
TENNENBAUM CAPITAL PARTNERS, LLC GENERAL COUNSEL direct 2008-01-01
STROME INVESTMENT MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2005-10-01
SVIM / MSM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVIM / MSM II, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVAR/MM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVOF/MM, LLC SECRETARY AND CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVOF/MM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
VIG, RAJNEESH MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2011-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
TSENG, PHILIP, M MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2013-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC MEMBER 08/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MEMBER direct 2018-08-01
SVOF/MM, LLC MEMBER indirect 2018-08-01
LANDRUM, LEE, ROBERT MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING DIRECTOR direct 2018-08-01
SVOF/MM, LLC MANAGING DIRECTOR direct 2018-08-01
Keenan, James, Edward MANAGING DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING DIRECTOR direct 2018-08-01
SVOF/MM, LLC MANAGING DIRECTOR direct 2018-09-01
PARK, CHARLES, CHOON SIK CHIEF COMPLIANCE OFFICER 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
BLACKROCK FUND ADVISORS CHIEF COMPLIANCE OFFICER direct 2006-08-01
BLACKROCK FUND ADVISORS CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR direct 2006-08-01
AMERICAN CENTURY INVESTMENT MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2005-03-01
BLACKROCK ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-06-01
BLACKROCK FINANCIAL MANAGEMENT, INC CHIEF COMPLIANCE OFFICER direct 2016-09-01
BLACKROCK CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2016-09-01
BLACKROCK INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2016-09-01
AMERICAN CENTURY ADVISORY SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2005-03-01
AMERICAN CENTURY GLOBAL INVESTMENT MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-03-01
BLACKROCK ALTERNATIVES MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2017-03-01
BLACKROCK ADVISORS, LLC MEMBER BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC 09/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLACKROCK KELSO CAPITAL ADVISORS LLC MEMBER- CLASS B INTERESTS direct 2005-04-01
JMML MEZZANINE ADVISORS, LLC MEMBER - CLASS B INTERESTS indirect 2015-03-01
BLACKROCK CAPITAL HOLIDINGS, INC. MEMBER BLACKROCK ADVISORS, LLC 09/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLACKROCK KELSO CAPITAL ADVISORS LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK FINANCIAL MANAGEMENT, INC SOLE SHAREHOLDER BLACKROCK CAPITAL HOLIDINGS, INC. 03/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
STATE STREET RESEARCH & MANAGEMENT COMPANY SOLE SHAREHOLDER indirect 2005-01-01
BLACKROCK INTERNATIONAL, LTD. MAJORITY SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK CAPITAL MANAGEMENT, INC. SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK REALTY ADVISORS INC SOLE SHAREHOLDER indirect 2005-01-01
BLACKROCK REALTY ADVISORS INC STOCKHOLDER direct 2011-07-01
BLACKROCK HPB MANAGEMENT, LLC MAJORITY SHAREHOLDER OF APPLICANT direct 2003-04-01
BLACKROCK HPB MANAGEMENT, LLC WHOLE SHAREHOLDER direct 2007-12-01
BKCA MEZZANINE ADVISORS, LLC SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK PRIVATE EQUITY PARTNERS AG SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK ASSET MANAGEMENT SCHWEIZ AG SOLE SHAREHOLDER indirect 2015-09-01
BLACKROCK (HONG KONG) LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK (SINGAPORE) LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK (SINGAPORE) LIMITED SOLE SHAREHOLDER indirect 2015-03-01
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED SOLE SHAREHOLDER indirect 2015-03-01
GALLATIN POINT CAPITAL LLC MEMBER indirect 2017-01-01
BLACKROCK HOLDCO 2, INC. SOLE SHAREHOLDER BLACKROCK FINANCIAL MANAGEMENT, INC 09/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INC. SOLE SHAREHOLDER BLACKROCK HOLDCO 2, INC. 09/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ADVISORS, LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INTERNATIONAL LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK FINANCIAL MANAGEMENT, INC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK CAPITAL MANAGEMENT, INC. SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK INVESTMENT MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-09-01
XULU INC SOLE SHAREHOLDER direct 2015-10-01
JMML MEZZANINE ADVISORS, LLC SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT (SCHWEIZ) AG SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK (SINGAPORE) LIMITED SOLE SHAREHOLDER indirect 2006-09-01
BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED SOLE SHAREHOLDER indirect 2006-09-01
GALLATIN POINT CAPITAL LLC SHAREHOLDER indirect 2017-01-01
BLACKROCK ALTERNATIVES MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TCP DIRECT LENDING FUND VIII-A, LLC United States 805-2626129767 Private Equity Fund 252,000,000 10,000,000
TCP DIRECT LENDING FUND VIII-L (IRELAND) Cayman Islands 805-8848373214 Private Equity Fund 360,000,000 1,000,000 Master Fund
TENNENBAUM SPECIAL SITUATIONS IX-C, L.P. Cayman Islands 805-1559258707 Private Equity Fund 78,000,000 1,000,000
TENNENBAUM ENHANCED YIELD FUND I, LLC United States 805-8433592531 Private Equity Fund 295,000,000 1,000,000 Feeder Fund
TENNENBAUM OPPORTUNITIES FUND VI, LLC United States 805-4298586404 Private Equity Fund 326,000,000 1,000,000 Master Fund
TCP WATERMAN FUND, LP United States 805-1877958276 Securitized Asset Fund 352,000,000 10,000,000 Feeder Fund
TENNENBAUM SENIOR LOAN FUND II, LP United States 805-4603339981 Private Equity Fund 438,000,000 10,000,000
TENNENBAUM SENIOR LOAN FUND IV-A, LP United States 805-2653365238 Private Equity Fund 66,000,000 10,000,000 Feeder Fund
TENNENBAUM SENIOR LOAN FUND IV-B, LP United States 805-6010123719 Private Equity Fund 71,000,000 10,000,000
TENNENBAUM SENIOR LOAN FUND III, LP United States 805-6686670868 Private Equity Fund 290,000,000 10,000,000 Feeder Fund
TENNENBAUM SPECIAL SITUATIONS FUND IX, LLC United States 805-2339633789 Private Equity Fund 401,000,000 1,000,000
SPECIAL VALUE OPPORTUNITIES FUND, LLC United States 805-6674145392 Private Equity Fund 57,000,000 1,000,000 Master Fund
TENNENBAUM SPECIAL SITUATIONS FUND IX-S, L.P. Cayman Islands 805-7911465971 Private Equity Fund 37,000,000 1,000,000
TENNENBAUM ENERGY OPPORTUNITIES FUND, LP United States 805-9441942290 Private Equity Fund 149,000,000 1,000,000 Feeder Fund
TENNENBAUM SPECIAL SITUATIONS IX-O, L.P. Cayman Islands 805-7755178625 Private Equity Fund 102,000,000 1,000,000
TENNENBAUM SENIOR LOAN FUND V, LLC United States 805-8895571978 Private Equity Fund 315,000,000 10,000,000
TENNENBAUM HEARTLAND CO-INVEST, LP United States 805-3210070733 Private Equity Fund 118,000,000 1,000,000
SPECIAL VALUE EXPANSION FUND, LLC United States 805-8634563958 Private Equity Fund 28,000,000 1,000,000
TENNENBAUM SPECIAL SITUATIONS FUND IX-A, LLC United States 805-4572245817 Private Equity Fund 84,000,000 1,000,000
TCP DIRECT LENDING FUND VIII-U (IRELAND) Cayman Islands 805-7054034683 Private Equity Fund 472,000,000 10,000,000 Master Fund
TCP DIRECT LENDING FUND VIII-N, LLC United States 805-9585251087 Private Equity Fund 200,000,000 1,000,000
TCP DIRECT LENDING FUND VIII-S, LLC United States 805-3813529077 Private Equity Fund 100,000,000 1,000,000
TCP DIRECT LENDING FUND VIII-T, LLC United States 805-6948366630 Private Equity Fund 200,000,000 1,000,000
TENNENBAUM OPPORTUNITIES FUND V, LLC United States 805-3209844763 Private Equity Fund 425,000,000 1,000,000 Feeder Fund

TENNENBAUM CAPITAL PARTNERS, LLC

ownership team - last updated 2017-03-29
Name Title Start Date Direct/Indirect % Ownership
HOLDSWORTH, MARK, KEITH OPERATING PARTNER 01/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SVIM / MSM, LLC EXECUTIVE VICE PRESIDENT, FINANCE direct 1999-07-01
SVIM / MSM II, LLC EXECUTIVE VICE PRESIDENT, FINANCE direct 2000-06-01
SVAR/MM, LLC EXECUTIVE VICE PRESIDENT, FINANCE direct 2001-10-01
SVOF/MM, LLC MEMBER direct 2004-07-01
TENNENBAUM CAPITAL PARTNERS, LLC OPERATING PARTNER direct 2015-01-01
SPECIAL VALUE INVESTMENT MANAGEMENT, LLC PORTFOLIO MANAGER direct 1999-05-01 2004-07-14
SVIM / MSM, LLC CHIEF FINANCIAL OFFICER direct 1999-07-01 2004-07-14
SVIM / MSM II, LLC CHIEF FINANCIAL OFFICER direct 2000-06-01 2004-07-14
SVAR/MM, LLC PRINCIPAL MEMBER direct 2001-10-01 2004-07-14
SVOF/MM, LLC PRINCIPAL MEMBER direct 2004-07-01 2004-08-23
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 1999-05-01 2014-03-28
SVOF/MM, LLC AUTHORIZED REPRESENTATIVE direct 2004-07-01 2016-03-30
LEVKOWITZ, HOWARD, MARSHALL MANAGING PARTNER 05/01/1999 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 1999-05-01
SVIM / MSM, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 1999-07-01
SVIM / MSM II, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 2000-06-01
SVAR/MM, LLC EXECUTIVE VICE PRESIDENT, ADMINISTRATION direct 2001-10-01
SVOF/MM, LLC MANAGING PARTNER direct 2004-07-01
SPECIAL VALUE INVESTMENT MANAGEMENT, LLC PORTFOLIO MANAGER direct 1999-05-01 2004-07-14
SVIM / MSM, LLC CHIEF ADMINISTRATIVE OFFICER direct 1999-07-01 2004-07-14
SVIM / MSM II, LLC CHIEF ADMINISTRATIVE OFFICER direct 2000-06-01 2004-07-14
SVAR/MM, LLC PRINCIPAL MEMBER direct 2001-10-01 2004-07-14
SVOF/MM, LLC PRINCIPAL MEMBER direct 2004-07-01 2004-08-23
SVOF/MM, LLC AUTHORIZED REPRESENTATIVE direct 2004-07-01 2016-03-30
DAVIS, PAUL, LESLIE CHIEF FINANCIAL OFFICER 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER AND VP, FINANCE direct 2004-09-01
TENNENBAUM CAPITAL PARTNERS, LLC VP, FINANCE direct 2004-09-01
TENNENBAUM CAPITAL PARTNERS, LLC CHIEF FINANCIAL OFFICER direct 2010-01-01
SVIM / MSM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVIM / MSM II, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVAR/MM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVOF/MM, LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
SVOF/MM, LLC CHIEF FINANCIAL OFFICER direct 2016-06-01
LEITNER, MICHAEL, ERIC MANAGING PARTNER 01/01/2007 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC PARTNER direct 2007-01-01
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2007-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
GREENWOOD, ELIZABETH, ALICE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2008-01-01
TENNENBAUM CAPITAL PARTNERS, LLC GENERAL COUNSEL direct 2008-01-01
STROME INVESTMENT MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2005-10-01
SVIM / MSM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVIM / MSM II, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVAR/MM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVOF/MM, LLC SECRETARY AND CHIEF COMPLIANCE OFFICER direct 2008-09-01
SVOF/MM, LLC CHIEF COMPLIANCE OFFICER direct 2008-09-01
VIG, RAJNEESH MANAGING PARTNER 01/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2011-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
TSENG, PHILIP, M MANAGING PARTNER 01/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC MANAGING PARTNER direct 2013-01-01
SVOF/MM, LLC MANAGING PARTNER direct 2016-06-01
BANKERS LIFE AND CASUALTY COMPANY MEMBER 12/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC PARENT indirect 2016-04-01
TENNENBAUM CAPITAL PARTNERS, LLC MEMBER direct 2016-12-01
CONSECO LIFE INSURANCE COMPANY OF TEXAS PARENT BANKERS LIFE AND CASUALTY COMPANY 04/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC PARENT indirect 2016-04-01
CDOC, INC. PARENT CONSECO LIFE INSURANCE COMPANY OF TEXAS 04/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TENNENBAUM CAPITAL PARTNERS, LLC PARENT indirect 2016-04-01
BANKERS LIFE ADVISORY SERVICES, INC. PARENT COMPANY direct 2014-08-01
CNO FINANCIAL GROUP, INC. PARENT CDOC, INC. 04/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CONSECO CAPITAL MANAGEMENT INC. SOLE OWNER direct 1987-12-01
TENNENBAUM CAPITAL PARTNERS, LLC PARENT indirect 2016-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TCP DIRECT LENDING FUND VIII-A, LLC United States 805-2626129767 Private Equity Fund 251,000,000 10,000,000
TCP DIRECT LENDING FUND VIII-L, LLC United States 805-6404448330 Private Equity Fund 23,000,000 1,000,000
TENNENBAUM SPECIAL SITUATIONS IX-C, L.P. Cayman Islands 805-1559258707 Private Equity Fund 76,000,000 1,000,000
TENNENBAUM ENHANCED YIELD FUND I, LLC United States 805-8433592531 Private Equity Fund 196,000,000 1,000,000 Feeder Fund
TENNENBAUM OPPORTUNITIES FUND VI, LLC United States 805-4298586404 Private Equity Fund 392,000,000 1,000,000 Master Fund
TCP WATERMAN FUND, LP United States 805-1877958276 Private Equity Fund 352,000,000 10,000,000 Feeder Fund
TENNENBAUM SENIOR LOAN FUND II, LP United States 805-4603339981 Private Equity Fund 408,000,000 10,000,000
TENNENBAUM SENIOR LOAN FUND IV-A, LP United States 805-2653365238 Private Equity Fund 108,000,000 10,000,000 Feeder Fund
TENNENBAUM SENIOR LOAN FUND IV-B, LP United States 805-6010123719 Private Equity Fund 67,000,000 10,000,000
TENNENBAUM SENIOR LOAN FUND III, LP United States 805-6686670868 Private Equity Fund 346,000,000 10,000,000 Feeder Fund
TENNENBAUM SPECIAL SITUATIONS FUND IX, LLC United States 805-2339633789 Private Equity Fund 405,000,000 1,000,000
SPECIAL VALUE OPPORTUNITIES FUND, LLC United States 805-6674145392 Private Equity Fund 147,000,000 1,000,000 Master Fund
TENNENBAUM SPECIAL SITUATIONS FUND IX-S, L.P. Cayman Islands 805-7911465971 Private Equity Fund 36,000,000 1,000,000
TENNENBAUM ENERGY OPPORTUNITIES FUND, LP United States 805-9441942290 Private Equity Fund 155,000,000 1,000,000 Feeder Fund
TENNENBAUM SPECIAL SITUATIONS IX-O, L.P. Cayman Islands 805-7755178625 Private Equity Fund 100,000,000 1,000,000
TENNENBAUM SENIOR LOAN FUND V, LLC United States 805-8895571978 Private Equity Fund 222,000,000 10,000,000
TENNENBAUM HEARTLAND CO-INVEST, LP United States 805-3210070733 Private Equity Fund 121,000,000 1,000,000
SPECIAL VALUE EXPANSION FUND, LLC United States 805-8634563958 Private Equity Fund 74,000,000 1,000,000
TENNENBAUM SPECIAL SITUATIONS FUND IX-A, LLC United States 805-4572245817 Private Equity Fund 81,000,000 1,000,000
TCP DIRECT LENDING FUND VIII, LLC United States 805-1632657233 Private Equity Fund 190,000,000 10,000,000

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