THIRD SECURITY, LLC

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Third Security is based out of Radford. Third Security is a hedge fund with 41 clients and discretionary assets under management (AUM) of $1,090,483,000 (Form ADV from 2020-06-30). Their last reported 13F filing for Q3 2022 included $240,759,000 in managed 13F securities and a top 10 holdings concentration of 91.2%. Third Security's largest holding is Precigen Inc. (Intrexon) with shares held of 83,465,566. Third Security has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 45 13F filings

09/30/2022

13F Activity

  • Market Value $240.759 Million
  • Prior Market Value $182.05 Million
  • New Purchases0 stocks
  • Additional Purchases3 stocks
  • Sold out of0 stocks
  • Reduced holdings in1 stock
  • Top 10 Holdings % 91.20 %
  • Turnover % [1]:%
  • Turnover Alt % [2]: 0.04 %
  • Time Held Top20:5.58 quarters
  • Time Held Top10:7.30 quarters
  • Time Held All:6.63 quarters

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

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

09/30/2022

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2022-11-14

Performance for Q3 2022: -8.61%
Performance Last 4 Quarters: 2.89%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
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Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

THIRD SECURITY, LLC
Classified as Hedge Fund
THE GOVERNOR TYLER 1881 GROVE AVENUE
RADFORD VA    24141
Country: United States

Business Phone: 540-633-7900
Fax: 540-633-7939
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: VA
Number of employees: 21
Other Business Activities:
Advisor Fees/Compensation: Performance-based fees,MANAGEMENT FEES BASED UPON COMMITMENTS AND NET INVESTED CAPITAL
Amount of client funds and securities: 991,505,000
Total Number of Clients: 41
Amount of client funds and securities by related persons: 0
Total Number of clients from related persons: 0
Disclosures:
Data above was derived from SEC filings.

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THIRD SECURITY, LLC

ownership team - last updated 2020-06-30
Name Title Start Date Direct/Indirect % Ownership
SMITH, MARCUS, ELBERT SENIOR MANAGING DIRECTOR, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER 03/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
THIRD SECURITY, LLC SENIOR MANAGING DIRECTOR, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER direct 1999-03-01
HOWE AND RUSLING, INC. DIRECTOR direct 2001-12-01 2004-07-22
MICHAEL W COOK ASSET MANAGEMENT INC. DIRECTOR direct 2003-01-01 2005-03-31
HOWE AND RUSLING, INC. DIRECTOR AND SECRETARY direct 2001-12-01 2006-03-31
THIRD SECURITY, LLC SENIOR MANAGING DIRECTOR & GENERAL COUNSEL direct 1999-03-01 2012-03-30
KIRK, RANDAL, JOE SENIOR MANAGING DIRECTOR & CHIEF EXECUTIVE OFFICER 03/01/1999 Direct 75% or more
Fund Name Position direct/indirect start date end date
THIRD SECURITY INVESTMENT ADVISERS INC OWNER indirect 1998-11-01
THIRD SECURITY, LLC SENIOR MANAGING DIRECTOR & CHIEF EXECUTIVE OFFICER direct 1999-03-01
NEW RIVER ADVISERS LLC MANAGING MEMBER indirect 1998-11-01 2003-06-17
MICHAEL W COOK ASSET MANAGEMENT INC. DIRECTOR direct 2003-01-01 2004-07-22
MICHAEL W COOK ASSET MANAGEMENT INC. SHAREHOLDER indirect 2003-01-01 2005-03-31
MICHAEL W COOK ASSET MANAGEMENT INC. CHAIRMAN direct 2003-01-01 2005-03-31
HOWE AND RUSLING, INC. SHAREHOLDER indirect 1998-11-01 2006-03-31
HOWE AND RUSLING, INC. DIRECTOR direct 2001-12-01 2006-03-31
NEW RIVER ADVISERS LLC OWNER indirect 1998-11-01 2008-03-28
NEW RIVER ADVISERS LLC MANAGER OF THIRD SECURITY, LLC direct 2003-06-01 2008-03-28
KOPPLER, DOIT, LEON MANAGING DIRECTOR & TREASURER 04/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
THIRD SECURITY, LLC MANAGING DIRECTOR & TREASURER direct 2001-04-01
HOWE AND RUSLING, INC. TREASURER direct 2001-12-01 2006-03-31
NEW RIVER ADVISERS LLC CHIEF INVESTMENT STRATEGIST direct 2006-04-01 2007-03-29
NEW RIVER ADVISERS LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2007-09-01 2008-03-28
KIRK, JULIAN, PATRICK MANAGING DIRECTOR 03/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
MICHAEL W COOK ASSET MANAGEMENT INC. VICE PRESIDENT direct 2004-02-01
THIRD SECURITY INVESTMENT ADVISERS INC CEO/PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2003-06-01
THIRD SECURITY, LLC MANAGING DIRECTOR direct 2004-03-01
FISHER, THEODORE, JOHN SENIOR MANAGING DIRECTOR 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
THIRD SECURITY INVESTMENT ADVISERS INC SECRETARY direct 2003-06-01
NEW RIVER ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2007-09-01
THIRD SECURITY, LLC MANAGING DIRECTOR & ASSOCIATE GENERAL COUNSEL direct 2003-05-01
HERNDON, CLIFTON, R MANAGING DIRECTOR & CONTROLLER 08/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
THIRD SECURITY, LLC MANAGING DIRECTOR, CONTROLLER & CHIEF COMPLIANCE OFFICER direct 2007-08-01
THIRD SECURITY, LLC MANAGING DIRECTOR & CONTROLLER direct 2007-08-01
THIRD SECURITY, LLC MANAGING DIRECTOR, CONTROLLER direct 2007-08-01
Langbehn, Sebastian MANAGING DIRECTOR 06/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
THIRD SECURITY, LLC MANAGING DIRECTOR direct 2020-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TS AQUACULTURE LLC United States 805-7184864517 Hedge Fund 17,879,062 72,315
THIRD SECURITY INCENTIVE 2008 LLC United States 805-1466540204 Hedge Fund 10,993,684 1
THIRD SECURITY INCENTIVE 2009 LLC United States 805-6036575612 Hedge Fund 11,354,879 10
THIRD SECURITY SENIOR STAFF LLC United States 805-7095311625 Hedge Fund 49,039,672 1
THIRD SECURITY SENIOR STAFF 2007 LLC United States 805-8427182042 Hedge Fund 48,571,402 1
THIRD SECURITY SENIOR STAFF 2006 LLC United States 805-9183730058 Hedge Fund 26,100,341 1
THIRD SECURITY STAFF 2001 LLC United States 805-3503569999 Private Equity Fund 89,603,038 1
THIRD SECURITY STAFF 2006 LLC United States 805-9804224781 Hedge Fund 11,673,583 1
KAPITAL JOE, LLC United States 805-6193041429 Hedge Fund 123,811,745 800,000
NRM VII HOLDINGS I, LLC United States 805-1371377897 Private Equity Fund 48,685,085 1,000,000 Master Fund
THIRD SECURITY STAFF 2007 LLC United States 805-6421300849 Hedge Fund 23,427,991 1
THIRD SECURITY STAFF 2008 LLC United States 805-1241408332 Hedge Fund 21,447,755 50
THIRD SECURITY INCENTIVE 2007 LLC United States 805-4181963380 Hedge Fund 7,875,160 1
THIRD SECURITY STAFF 2009 LLC United States 805-7315140355 Hedge Fund 22,323,637 150
THIRD SECURITY INCENTIVE 2010 LLC United States 805-6703390683 Hedge Fund 14,519,317 50
THIRD SECURITY SENIOR STAFF 2008 LLC United States 805-2859545990 Hedge Fund 40,508,078 1
THIRD SECURITY STAFF 2010 LLC United States 805-6247690908 Hedge Fund 24,031,274 1,000
NRM VI HOLDINGS I, LLC United States 805-7600872608 Private Equity Fund 74,317,082 5,000,000 Master Fund
THIRD SECURITY RNR II, LLC United States 805-8511859658 Other Private Fund PROPRIETARY CASH ACCOUNT 32,269 10
THIRD SECURITY CAPITAL PARTNERS V, LLC United States 805-7802816782 Hedge Fund 74,239,205 10
THIRD SECURITY STAFF 2015 LLC United States 805-5136647622 Hedge Fund 6,266,089 7
THIRD SECURITY INCENTIVE 2006 LLC United States 805-5078409685 Hedge Fund 3,951,079 1
THIRD SECURITY SENIOR STAFF 2015 LLC United States 805-8098417272 Hedge Fund 6,270,622 5
MASCARA KABOOM, LLC United States 805-2879047713 Hedge Fund 30,316,207 180,000
THIRD SECURITY STAFF 2014 LLC United States 805-6250822273 Hedge Fund 26,918 5

THIRD SECURITY, LLC

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

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
THIRD SECURITY CAPITAL PARTNERS V, LLC United States 805-7802816782 Hedge Fund 74,239,205 10
THIRD SECURITY STAFF 2015 LLC United States 805-5136647622 Hedge Fund 6,266,089 7
THIRD SECURITY INCENTIVE 2006 LLC United States 805-5078409685 Hedge Fund 3,951,079 1
THIRD SECURITY SENIOR STAFF 2015 LLC United States 805-8098417272 Hedge Fund 6,270,622 5
MASCARA KABOOM, LLC United States 805-2879047713 Hedge Fund 30,316,207 180,000
THIRD SECURITY STAFF 2014 LLC United States 805-6250822273 Hedge Fund 26,918 5
THIRD SECURITY INCENTIVE 2008 LLC United States 805-1466540204 Hedge Fund 10,993,684 1
THIRD SECURITY INCENTIVE 2009 LLC United States 805-6036575612 Hedge Fund 11,354,879 10
THIRD SECURITY SENIOR STAFF LLC United States 805-7095311625 Hedge Fund 49,039,672 1
THIRD SECURITY SENIOR STAFF 2007 LLC United States 805-8427182042 Hedge Fund 48,571,402 1
THIRD SECURITY SENIOR STAFF 2006 LLC United States 805-9183730058 Hedge Fund 26,100,341 1
THIRD SECURITY STAFF 2001 LLC United States 805-3503569999 Private Equity Fund 89,603,038 1
THIRD SECURITY STAFF 2006 LLC United States 805-9804224781 Hedge Fund 11,673,583 1
KAPITAL JOE, LLC United States 805-6193041429 Hedge Fund 123,811,745 800,000
NRM VII HOLDINGS I, LLC United States 805-1371377897 Private Equity Fund 48,685,085 1,000,000 Master Fund
THIRD SECURITY STAFF 2007 LLC United States 805-6421300849 Hedge Fund 23,427,991 1
THIRD SECURITY STAFF 2008 LLC United States 805-1241408332 Hedge Fund 21,447,755 50
THIRD SECURITY INCENTIVE 2007 LLC United States 805-4181963380 Hedge Fund 7,875,160 1
THIRD SECURITY STAFF 2009 LLC United States 805-7315140355 Hedge Fund 22,323,637 150
THIRD SECURITY INCENTIVE 2010 LLC United States 805-6703390683 Hedge Fund 14,519,317 50
THIRD SECURITY SENIOR STAFF 2008 LLC United States 805-2859545990 Hedge Fund 40,508,078 1
THIRD SECURITY STAFF 2010 LLC United States 805-6247690908 Hedge Fund 24,031,274 1,000
NRM VI HOLDINGS I, LLC United States 805-7600872608 Private Equity Fund 74,317,082 5,000,000 Master Fund
THIRD SECURITY RNR II, LLC United States 805-8511859658 Other Private Fund PROPRIETARY CASH ACCOUNT 32,269 10
TS AQUACULTURE LLC United States 805-7184864517 Hedge Fund 17,879,062 72,315

THIRD SECURITY, LLC

ownership team - last updated 2019-03-28
Name Title Start Date Direct/Indirect % Ownership
SMITH, MARCUS, ELBERT SENIOR MANAGING DIRECTOR, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER 03/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
THIRD SECURITY, LLC SENIOR MANAGING DIRECTOR, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER direct 1999-03-01
HOWE AND RUSLING, INC. DIRECTOR direct 2001-12-01 2004-07-22
MICHAEL W COOK ASSET MANAGEMENT INC. DIRECTOR direct 2003-01-01 2005-03-31
HOWE AND RUSLING, INC. DIRECTOR AND SECRETARY direct 2001-12-01 2006-03-31
THIRD SECURITY, LLC SENIOR MANAGING DIRECTOR & GENERAL COUNSEL direct 1999-03-01 2012-03-30
GABRIEL, JASON, HORTON MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
THIRD SECURITY, LLC MANAGING DIRECTOR direct 2014-01-01
KIRK, RANDAL, JOE SENIOR MANAGING DIRECTOR & CHIEF EXECUTIVE OFFICER 03/01/1999 Direct 75% or more
Fund Name Position direct/indirect start date end date
THIRD SECURITY INVESTMENT ADVISERS INC OWNER indirect 1998-11-01
THIRD SECURITY, LLC SENIOR MANAGING DIRECTOR & CHIEF EXECUTIVE OFFICER direct 1999-03-01
NEW RIVER ADVISERS LLC MANAGING MEMBER indirect 1998-11-01 2003-06-17
MICHAEL W COOK ASSET MANAGEMENT INC. DIRECTOR direct 2003-01-01 2004-07-22
MICHAEL W COOK ASSET MANAGEMENT INC. SHAREHOLDER indirect 2003-01-01 2005-03-31
MICHAEL W COOK ASSET MANAGEMENT INC. CHAIRMAN direct 2003-01-01 2005-03-31
HOWE AND RUSLING, INC. SHAREHOLDER indirect 1998-11-01 2006-03-31
HOWE AND RUSLING, INC. DIRECTOR direct 2001-12-01 2006-03-31
NEW RIVER ADVISERS LLC OWNER indirect 1998-11-01 2008-03-28
NEW RIVER ADVISERS LLC MANAGER OF THIRD SECURITY, LLC direct 2003-06-01 2008-03-28
KOPPLER, DOIT, LEON MANAGING DIRECTOR & TREASURER 04/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
THIRD SECURITY, LLC MANAGING DIRECTOR & TREASURER direct 2001-04-01
HOWE AND RUSLING, INC. TREASURER direct 2001-12-01 2006-03-31
NEW RIVER ADVISERS LLC CHIEF INVESTMENT STRATEGIST direct 2006-04-01 2007-03-29
NEW RIVER ADVISERS LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2007-09-01 2008-03-28
KIRK, JULIAN, PATRICK MANAGING DIRECTOR 03/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
MICHAEL W COOK ASSET MANAGEMENT INC. VICE PRESIDENT direct 2004-02-01
THIRD SECURITY INVESTMENT ADVISERS INC CEO/PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2003-06-01
THIRD SECURITY, LLC MANAGING DIRECTOR direct 2004-03-01
FISHER, THEODORE, JOHN MANAGING DIRECTOR & ASSOCIATE GENERAL COUNSEL 05/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
THIRD SECURITY INVESTMENT ADVISERS INC SECRETARY direct 2003-06-01
NEW RIVER ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2007-09-01
THIRD SECURITY, LLC MANAGING DIRECTOR & ASSOCIATE GENERAL COUNSEL direct 2003-05-01
HERNDON, CLIFTON, R MANAGING DIRECTOR & CONTROLLER 08/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
THIRD SECURITY, LLC MANAGING DIRECTOR, CONTROLLER & CHIEF COMPLIANCE OFFICER direct 2007-08-01
THIRD SECURITY, LLC MANAGING DIRECTOR & CONTROLLER direct 2007-08-01
THIRD SECURITY, LLC MANAGING DIRECTOR, CONTROLLER direct 2007-08-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
THIRD SECURITY CAPITAL PARTNERS V, LLC United States 805-7802816782 Hedge Fund 89,108,472 10
THIRD SECURITY CAPITAL PARTNERS IV, LLC United States 805-6969887883 Other Private Fund PROPRIETARY CASH ACCOUNT 22,291 10
THIRD SECURITY STAFF 2015 LLC United States 805-5136647622 Hedge Fund 630,952 7
THIRD SECURITY SENIOR STAFF 2015 LLC United States 805-8098417272 Hedge Fund 641,552 5
MASCARA KABOOM, LLC United States 805-2879047713 Hedge Fund 41,801,036 180,000
THIRD SECURITY STAFF 2014 LLC United States 805-6250822273 Hedge Fund 26,847 5
THIRD SECURITY INCENTIVE 2006 LLC United States 805-5078409685 Hedge Fund 4,586,580 1
THIRD SECURITY INCENTIVE 2007 LLC United States 805-4181963380 Hedge Fund 9,862,536 1
THIRD SECURITY INCENTIVE 2008 LLC United States 805-1466540204 Hedge Fund 13,878,906 1
THIRD SECURITY INCENTIVE 2009 LLC United States 805-6036575612 Hedge Fund 15,212,638 10
THIRD SECURITY SENIOR STAFF LLC United States 805-7095311625 Hedge Fund 53,844,696 1
THIRD SECURITY SENIOR STAFF 2007 LLC United States 805-8427182042 Hedge Fund 60,721,094 1
THIRD SECURITY SENIOR STAFF 2006 LLC United States 805-9183730058 Hedge Fund 30,021,806 1
THIRD SECURITY STAFF 2001 LLC United States 805-3503569999 Private Equity Fund 96,922,015 1
THIRD SECURITY STAFF 2006 LLC United States 805-9804224781 Hedge Fund 13,573,643 1
KAPITAL JOE, LLC United States 805-6193041429 Hedge Fund 179,471,068 800,000
NRM VII HOLDINGS I, LLC United States 805-1371377897 Private Equity Fund 58,296,504 1,000,000 Master Fund
THIRD SECURITY STAFF 2007 LLC United States 805-6421300849 Hedge Fund 29,521,686 1
THIRD SECURITY STAFF 2008 LLC United States 805-1241408332 Hedge Fund 27,919,348 50
THIRD SECURITY STAFF 2009 LLC United States 805-7315140355 Hedge Fund 30,629,294 150
THIRD SECURITY INCENTIVE 2010 LLC United States 805-6703390683 Hedge Fund 17,387,588 50
THIRD SECURITY SENIOR STAFF 2008 LLC United States 805-2859545990 Hedge Fund 52,965,080 1
THIRD SECURITY STAFF 2010 LLC United States 805-6247690908 Hedge Fund 35,416,650 1,000
NRM VI HOLDINGS I, LLC United States 805-7600872608 Private Equity Fund 88,692,381 5,000,000 Master Fund
THIRD SECURITY RNR II, LLC United States 805-8511859658 Other Private Fund PROPRIETARY CASH ACCOUNT 32,373 10

THIRD SECURITY, LLC

ownership team - last updated 2017-03-31
Name Title Start Date Direct/Indirect % Ownership
SMITH, MARCUS, ELBERT SENIOR MANAGING DIRECTOR, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER 03/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
THIRD SECURITY, LLC SENIOR MANAGING DIRECTOR, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER direct 1999-03-01
HOWE AND RUSLING, INC. DIRECTOR direct 2001-12-01 2004-07-22
MICHAEL W COOK ASSET MANAGEMENT INC. DIRECTOR direct 2003-01-01 2005-03-31
HOWE AND RUSLING, INC. DIRECTOR AND SECRETARY direct 2001-12-01 2006-03-31
THIRD SECURITY, LLC SENIOR MANAGING DIRECTOR & GENERAL COUNSEL direct 1999-03-01 2012-03-30
GABRIEL, JASON, HORTON MANAGING DIRECTOR 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
THIRD SECURITY, LLC MANAGING DIRECTOR direct 2014-01-01
KIRK, RANDAL, JOE SENIOR MANAGING DIRECTOR & CHIEF EXECUTIVE OFFICER 03/01/1999 Direct 75% or more
Fund Name Position direct/indirect start date end date
THIRD SECURITY INVESTMENT ADVISERS INC OWNER indirect 1998-11-01
THIRD SECURITY, LLC SENIOR MANAGING DIRECTOR & CHIEF EXECUTIVE OFFICER direct 1999-03-01
NEW RIVER ADVISERS LLC MANAGING MEMBER indirect 1998-11-01 2003-06-17
MICHAEL W COOK ASSET MANAGEMENT INC. DIRECTOR direct 2003-01-01 2004-07-22
MICHAEL W COOK ASSET MANAGEMENT INC. SHAREHOLDER indirect 2003-01-01 2005-03-31
MICHAEL W COOK ASSET MANAGEMENT INC. CHAIRMAN direct 2003-01-01 2005-03-31
HOWE AND RUSLING, INC. SHAREHOLDER indirect 1998-11-01 2006-03-31
HOWE AND RUSLING, INC. DIRECTOR direct 2001-12-01 2006-03-31
NEW RIVER ADVISERS LLC OWNER indirect 1998-11-01 2008-03-28
NEW RIVER ADVISERS LLC MANAGER OF THIRD SECURITY, LLC direct 2003-06-01 2008-03-28
KOPPLER, DOIT, LEON MANAGING DIRECTOR & TREASURER 04/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
THIRD SECURITY, LLC MANAGING DIRECTOR & TREASURER direct 2001-04-01
HOWE AND RUSLING, INC. TREASURER direct 2001-12-01 2006-03-31
NEW RIVER ADVISERS LLC CHIEF INVESTMENT STRATEGIST direct 2006-04-01 2007-03-29
NEW RIVER ADVISERS LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2007-09-01 2008-03-28
KIRK, JULIAN, PATRICK MANAGING DIRECTOR 03/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
MICHAEL W COOK ASSET MANAGEMENT INC. VICE PRESIDENT direct 2004-02-01
THIRD SECURITY INVESTMENT ADVISERS INC CEO/PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2003-06-01
THIRD SECURITY, LLC MANAGING DIRECTOR direct 2004-03-01
FISHER, THEODORE, JOHN MANAGING DIRECTOR & ASSOCIATE GENERAL COUNSEL 05/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
THIRD SECURITY INVESTMENT ADVISERS INC SECRETARY direct 2003-06-01
NEW RIVER ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2007-09-01
THIRD SECURITY, LLC MANAGING DIRECTOR & ASSOCIATE GENERAL COUNSEL direct 2003-05-01
HERNDON, CLIFTON, R MANAGING DIRECTOR & CONTROLLER 08/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
THIRD SECURITY, LLC MANAGING DIRECTOR, CONTROLLER & CHIEF COMPLIANCE OFFICER direct 2007-08-01
THIRD SECURITY, LLC MANAGING DIRECTOR & CONTROLLER direct 2007-08-01
THIRD SECURITY, LLC MANAGING DIRECTOR, CONTROLLER direct 2007-08-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
THIRD SECURITY CAPITAL PARTNERS IV, LLC United States 805-6969887883 Other Private Fund PROPRIETARY CASH ACCOUNT 25,849 10
THIRD SECURITY STAFF 2015 LLC United States 805-5136647622 Hedge Fund 604,686 7
THIRD SECURITY SENIOR STAFF 2015 LLC United States 805-8098417272 Hedge Fund 604,653 5
VALLEYS' VENTURES, LP United States 805-2200592179 Venture Capital Fund 193,374 40,000
MASCARA KABOOM, LLC United States 805-2879047713 Hedge Fund 141,456,497 180,000
THIRD SECURITY STAFF 2014 LLC United States 805-6250822273 Hedge Fund 292,941 5
KAPITAL AGGREGATOR, LLC United States 805-6281293591 Hedge Fund 28,170,452 150,000
KAPITAL JOE, LLC United States 805-6193041429 Hedge Fund 326,158,182 800,000
THIRD SECURITY INCENTIVE 2006 LLC United States 805-5078409685 Hedge Fund 5,335,272 1
THIRD SECURITY INCENTIVE 2007 LLC United States 805-4181963380 Hedge Fund 24,596,170 1
THIRD SECURITY INCENTIVE 2008 LLC United States 805-1466540204 Hedge Fund 37,281,747 1
THIRD SECURITY INCENTIVE 2009 LLC United States 805-6036575612 Hedge Fund 49,758,643 10
THIRD SECURITY SENIOR STAFF LLC United States 805-7095311625 Hedge Fund 58,628,229 1
THIRD SECURITY SENIOR STAFF 2007 LLC United States 805-8427182042 Hedge Fund 150,105,476 1
THIRD SECURITY SENIOR STAFF 2006 LLC United States 805-9183730058 Hedge Fund 35,434,304 1
THIRD SECURITY STAFF 2001 LLC United States 805-3503569999 Private Equity Fund 103,001,948 1
THIRD SECURITY STAFF 2006 LLC United States 805-9804224781 Hedge Fund 15,811,993 1
NRM VII HOLDINGS I, LLC United States 805-1371377897 Private Equity Fund 62,083,064 1,000,000 Master Fund
THIRD SECURITY RNR, LLC United States 805-9067855320 Other Private Fund PROPRIETARY CASH ACCOUNT 31,301 10
THIRD SECURITY STAFF 2007 LLC United States 805-6421300849 Hedge Fund 74,295,548 1
THIRD SECURITY STAFF 2008 LLC United States 805-1241408332 Hedge Fund 74,977,803 50
THIRD SECURITY STAFF 2009 LLC United States 805-7315140355 Hedge Fund 100,342,629 150
THIRD SECURITY INCENTIVE 2010 LLC United States 805-6703390683 Hedge Fund 63,502,886 50
THIRD SECURITY SENIOR STAFF 2008 LLC United States 805-2859545990 Hedge Fund 167,104,983 1
THIRD SECURITY STAFF 2010 LLC United States 805-6247690908 Hedge Fund 128,442,387 1,000
NEW RIVER MANAGEMENT V, LP United States 805-8296735393 Private Equity Fund 620,370,596 2,000,000
NRM VI HOLDINGS I, LLC United States 805-7600872608 Private Equity Fund 325,766,499 5,000,000 Master Fund

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