TWO SIGMA INVESTMENTS, LP

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TWO Sigma Investments is based out of New York and is run by John Overdeck and David Siegel. TWO Sigma Investments is a hedge fund with 17 clients and discretionary assets under management (AUM) of $81,175,371,804 (Form ADV from 2022-03-31). Their last reported 13F filing for Q1 2022 included $33,883,184,000 in managed 13F securities and a top 10 holdings concentration of 7.18%. TWO Sigma Investments's largest holding is Occidental Petroleum Corp. with shares held of 4,823,519. Whalewisdom has at least 99 13F filings

03/31/2022

13F Activity

  • Market Value $33.883 Billion
  • Prior Market Value $46.81 Billion
  • New Purchases662 stocks
  • Additional Purchases888 stocks
  • Sold out of2311 stocks
  • Reduced holdings in981 stocks
  • Top 10 Holdings % 7.18 %
  • Turnover % [1]:117.05%
  • Turnover Alt % [2]: 40.40 %
  • Time Held Top20:0.45 quarters
  • Time Held Top10:0.20 quarters
  • Time Held All:6.74 quarters

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

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

03/31/2022

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2022-05-16

Performance for Q1 2022: -14.87%
Performance Last 4 Quarters: -13.43%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required
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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

TWO SIGMA INVESTMENTS, LP
Classified as Hedge Fund
100 AVENUE OF THE AMERICAS 16TH FLOOR
NEW YORK NY    10013-1689
Country: United States
Business Phone: (212) 625-5700
Fax: (212) 625-5800
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Partnership
Organized in: DE
Number of employees: 1454
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 25,826,700,000
Total Number of Clients: 17
Amount of client funds and securities by related persons: 18,468,200,000
Total Number of clients from related persons: 13
Disclosures: 11.E (2)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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TWO SIGMA INVESTMENTS, LP

ownership team - last updated 2022-03-31
Name Title Start Date Direct/Indirect % Ownership
GINSBURG, ALEX, BENJAMIN CHIEF INVESTMENT OFFICER OF EQUITIES 09/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP CHIEF INVESTMENT OFFICER OF EQUITIES direct 2021-09-01
TWO SIGMA ADVISERS, LP CHIEF INVESTMENT OFFICER OF EQUITIES direct 2021-09-01
RAMAKRISHNA, SATISH CHIEF RISK OFFICER 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP CHIEF RISK OFFICER direct 2018-12-01
TWO SIGMA ADVISERS, LP CHIEF RISK OFFICER direct 2018-12-01
TWO SIGMA MANAGEMENT, LLC GENERAL PARTNER 12/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MANAGING MEMBER direct 2005-12-01
TWO SIGMA INVESTMENTS, LP GENERAL PARTNER direct 2005-12-01
TWO SIGMA INVESTMENTS, LLC GENERAL PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LP GENERAL PARTNER direct 2005-12-01
TWO SIGMA ADVISERS, LLC MANAGING MEMBER direct 2005-12-01
TWO SIGMA ADVISERS, LLC GENERAL PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP GENERAL PARTNER direct 2016-05-01
SUNFLOWER PTC LLC TRUSTEE OF SUNBURST TRUST 01/01/2020 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE OF SUNDOG TRUST direct 2020-01-01
OLSON, BRADLEY, MARTIN CHIEF FINANCIAL OFFICER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP CHIEF FINANCIAL OFFICER direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP CHIEF FINANCIAL OFFICER direct 2020-01-01
TWO SIGMA ADVISERS, LP CHIEF FINANCIAL OFFICER direct 2020-01-01
LYONS, CARTER, MAYBERRY CHIEF BUSINESS OFFICER 02/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA ADVISERS, LP MANAGING DIRECTOR direct 2019-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MANAGING DIRECTOR direct 2019-01-01
SIEGEL, DAVID, MARK CO-CHAIRMAN 07/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
DUNCOMBE, GEOFFREY, P CHIEF INVESTMENT OFFICER OF MACRO 07/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA ADVISERS, LLC CHIEF INVESTMENT OFFICER direct 2016-01-01
SIEGEL, DAVID, MARK TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST 12/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
JOHN A. OVERDECK REVOCABLE TRUST LIMITED PARTNER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
HITCHON, JONATHAN, WILLIAM CHIEF OPERATING OFFICER 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
DB ADVISORS, L.L.C. CHIEF OPERATING OFFICER/MD direct 2004-03-01
TWO SIGMA INVESTMENTS, LP CHIEF OPERATING OFFICER direct 2014-10-01
DAVID M. SIEGEL REVOCABLE TRUST LIMITED PARTNER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
SIANO, MATTHEW, BRADY GENERAL COUNSEL 12/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MANAGING DIRECTOR, GENERAL COUNSEL direct 2008-12-01
TWO SIGMA INVESTMENTS, LLC GENERAL COUNSEL direct 2008-12-01
TWO SIGMA ADVISERS, LLC GENERAL COUNSEL direct 2004-07-01
TWO SIGMA INVESTOR SOLUTIONS, LP GENERAL COUNSEL direct 2016-05-01
OVERDECK, JOHN, ALBERT CHIEF INVESTMENT OFFICER, CO-CHAIRMAN 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-05-01
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
OTTO, CARSTEN, NMN CHIEF COMPLIANCE OFFICER 11/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY INVESTMENT ADVISORS INC. EXECUTIVE DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT ADVISORS INC. MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ADVISORS INC EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ADVISORS INC MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ASSET MANAGEMENT MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ASSET MANAGEMENT EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2010-02-01
BLACKROCK FINANCIAL MANAGEMENT, INC CHIEF COMPLIANCE OFFICER direct 2014-11-01
BLACKROCK CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-11-01
MORGAN STANLEY VENTURE CAPITAL III INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MSDW VENTURE PARTNERS IV INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MSDW CAPITAL PARTNERS IV INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
EARLY ADOPTER FUND MANAGER INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
BLACKROCK INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-11-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY CAPITAL PARTNERS III INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY VENTURE CAPITAL II INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY ALTERNATIVE INVESTMENT PARTNERS LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MSVP 2002, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY AIP GP LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY AIP GP LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
FRONTPOINT PARNTERS LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-07-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-07-01
MORGAN STANLEY HEDGE FUND PARTNERS LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY HEDGE FUND PARTNERS LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
FRONTPOINT UNIVERSAL GP, LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF COMPLIANCE OFFICER direct 2007-01-01
TWO SIGMA INVESTMENTS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
PRIVATE INVESTMENT PARTNERS INC. CHIEF COMPLIANCE OFFICER direct 2005-11-01
MORGAN STANLEY INFRASTRUCTURE PARTNERS INC. CHIEF COMPLIANCE OFFICER direct 2006-09-01
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. CHIEF COMPLIANCE OFFICER direct 2007-01-01
TWO SIGMA ADVISERS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
XULU INC CHIEF COMPLIANCE OFFICER direct 2015-10-01
TWO SIGMA INVESTOR SOLUTIONS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
SCHOPPNER, DAWN, MARIE CONTROLLER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CONTROLLER direct 2010-09-01
TWO SIGMA INVESTMENTS, LLC CONTROLLER, SENIOR VICE PRESIDENT direct 2010-09-01
TWO SIGMA ADVISERS, LLC CONTROLLER direct 2010-09-01
TWO SIGMA INVESTOR SOLUTIONS, LP CONTROLLER direct 2016-05-01
OVERDECK, JOHN, ALBERT TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST 12/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-05-01
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
SUNBURST TRUST LIMITED PARTNER 01/01/2020 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2020-01-01
TWO SIGMA VENTURES, LP LIMITED PARTNER direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2020-01-01
SIGHTWAY CAPITAL, LP LIMITED PARTNER direct 2020-01-01
SHINRAI PTC LLC TRUSTEE OF SUDACHI TRUST 01/01/2020 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
SUDACHI TRUST LIMITED PARTNER 01/01/2020 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2020-01-01
SIGHTWAY CAPITAL, LP LIMITED PARTNER direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2020-01-01
TWO SIGMA VENTURES, LP LIMITED PARTNER direct 2020-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2020-01-01
FRONTIER DIRECTED FIDUCIARY SERVICES LLC TRUSTEE SHINRAI SPECIAL PURPOSE TRUST I 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
SHINRAI PTC LLC TRUSTEE SUDACHI TRUST 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
SUNFLOWER SPECIAL PURPOSE TRUST II MANAGER SUNFLOWER PTC LLC 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP MANAGER indirect 2020-01-01
SIGHTWAY CAPITAL, LP MANAGER indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MANAGER indirect 2020-01-01
TWO SIGMA VENTURES, LP MANAGER indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP MANAGER indirect 2020-01-01
SUNFLOWER PTC LLC TRUSTEE SUNBURST TRUST 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE OF SUNDOG TRUST direct 2020-01-01
JOHN A. OVERDECK REVOCABLE TRUST MEMBER TWO SIGMA MANAGEMENT, LLC 01/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
SHINRAI SPECIAL PURPOSE TRUST I MEMBER SHINRAI PTC LLC 01/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2020-01-01
SIGHTWAY CAPITAL, LP MEMBER indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2020-01-01
TWO SIGMA VENTURES, LP MEMBER indirect 2020-01-01
TWO SIGMA ADVISERS, LP MEMBER indirect 2020-01-01
SIEGEL, DAVID, MARK TRUSTEE DAVID M. SIEGEL REVOCABLE TRUST 12/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
SUNFLOWER SPECIAL PURPOSE TRUST I MEMBER SUNFLOWER PTC LLC 01/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2020-01-01
SIGHTWAY CAPITAL, LP MEMBER indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2020-01-01
TWO SIGMA VENTURES, LP MEMBER indirect 2020-01-01
TWO SIGMA ADVISERS, LP MEMBER indirect 2020-01-01
DAVID M. SIEGEL REVOCABLE TRUST MEMBER TWO SIGMA MANAGEMENT, LLC 01/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
SHINRAI SPECIAL PURPOSE TRUST II MANAGER SHINRAI PTC LLC 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP MANAGER indirect 2020-01-01
SIGHTWAY CAPITAL, LP MANAGER indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MANAGER indirect 2020-01-01
TWO SIGMA VENTURES, LP MANAGER indirect 2020-01-01
TWO SIGMA ADVISERS, LP MANAGER indirect 2020-01-01
FRONTIER DIRECTED FIDUCIARY SERVICES LLC TRUSTEE SUNFLOWER SPECIAL PURPOSE TRUST I 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
OVERDECK, JOHN, ALBERT TRUSTEE JOHN A. OVERDECK REVOCABLE TRUST 12/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-05-01
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TWO SIGMA RATES PORTFOLIO, LLC United States 805-4676713527 Hedge Fund 484,413,082 0
TWO SIGMA NAVIGATOR PORTFOLIO, LLC United States 805-8535154345 Hedge Fund 80,093,625 0
TWO SIGMA COMPASS ENHANCED U.S. FUND, LP United States 805-8185648199 Hedge Fund 1,322,966,806 1,000,000 Feeder Fund
TWO SIGMA MERCURY FUND, LP United States 805-7272675942 Hedge Fund 2,104,311,468 1,000,000 Feeder Fund
TWO SIGMA MERCURY CAYMAN FUND, LTD. Cayman Islands 805-9376571684 Hedge Fund 537,292,942 1,000,000 Feeder Fund
TWO SIGMA ECLIPSE CAYMAN FUND, LTD. Cayman Islands 805-5458683998 Hedge Fund 162,975,473 1,000,000 Feeder Fund
TWO SIGMA MERCURY MASTER FUND, LLC United States 805-1212799661 Hedge Fund 2,799,178,215 0 Master Fund
TWO SIGMA HAMILTON FUND, LLC United States 805-8948665211 Hedge Fund 1,726,757,690 1,000,000
TWO SIGMA CAYMAN FUND, LTD. Cayman Islands 805-8815640112 Hedge Fund 10,081,877 1,000,000 Feeder Fund
TWO SIGMA COMPASS CAYMAN FUND, LTD. Cayman Islands 805-6715270217 Hedge Fund 299,701,749 1,000,000 Feeder Fund
TWO SIGMA COMPASS ENHANCED CAYMAN FUND, LTD. Cayman Islands 805-8247668320 Hedge Fund 387,241,570 1,000,000 Feeder Fund
TWO SIGMA EQUITY SPECTRUM PORTFOLIO, LLC United States 805-4276530516 Hedge Fund 10,544,169,257 0
TWO SIGMA EQUITY PORTFOLIO, LLC United States 805-8249796043 Hedge Fund 16,306,084,893 0
TWO SIGMA FUND, LP United States 805-1981321252 Hedge Fund 89,451,585 0 Master Fund
TWO SIGMA ECLIPSE FUND, LTD. Cayman Islands 805-3241097787 Hedge Fund 267,866,029 0 Master Fund
TWO SIGMA HORIZON PORTFOLIO, LLC United States 805-8392429405 Hedge Fund 6,040,435,573 0
TWO SIGMA SPECTRUM FUND, LTD. Cayman Islands 805-6999697733 Hedge Fund 8,523,256,090 0 Master Fund
TWO SIGMA U.S. FUND, LP United States 805-9570919520 Hedge Fund 54,627,462 1,000,000 Feeder Fund
TWO SIGMA OPTIONS PORTFOLIO, LLC United States 805-8715660407 Hedge Fund 1,104,296,791 0
TWO SIGMA FUTURES PORTFOLIO, LLC United States 805-4572668738 Hedge Fund 6,478,806,538 0
TWO SIGMA COMPASS MASTER FUND, LTD. Cayman Islands 805-8223690850 Hedge Fund 1,860,496,478 0 Master Fund
TWO SIGMA GALILEO PORTFOLIO, LLC United States 805-6126040834 Hedge Fund 6,085,890 0
HAMILTON INVESTMENTS, LP Bermuda 805-5839837954 Other Private Fund INVESTMENT VEHICLE 81,503,033 0
TWO SIGMA PIONEER PORTFOLIO, LLC United States 805-5326496359 Hedge Fund 6,888,178 0
TWO SIGMA SPECTRUM U.S. FUND, LP United States 805-9338330494 Hedge Fund 2,581,808,592 1,000,000 Feeder Fund
TWO SIGMA SPECTRUM CAYMAN FUND, LTD. Cayman Islands 805-3694950175 Hedge Fund 5,775,323,743 1,000,000 Feeder Fund
TWO SIGMA SPECTRUM PORTFOLIO, LLC United States 805-3561369881 Hedge Fund 22,419,976,264 0
TWO SIGMA STRATEGIES FUND, LLC United States 805-6781572447 Hedge Fund 10,654,540,771 1,000,000
TWO SIGMA ECLIPSE U.S. FUND, LP United States 805-3245291770 Hedge Fund 41,877,373 1,000,000 Feeder Fund
TWO SIGMA QUASAR FUND, LP United States 805-7837648446 Hedge Fund 572,347,232 1,000,000

TWO SIGMA INVESTMENTS, LP

ownership team - last updated 2021-09-27
Name Title Start Date Direct/Indirect % Ownership
GINSBURG, ALEX, BENJAMIN CHIEF INVESTMENT OFFICER OF EQUITIES 09/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP CHIEF INVESTMENT OFFICER OF EQUITIES direct 2021-09-01
TWO SIGMA ADVISERS, LP CHIEF INVESTMENT OFFICER OF EQUITIES direct 2021-09-01
RAMAKRISHNA, SATISH CHIEF RISK OFFICER 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP CHIEF RISK OFFICER direct 2018-12-01
TWO SIGMA ADVISERS, LP CHIEF RISK OFFICER direct 2018-12-01
TWO SIGMA MANAGEMENT, LLC GENERAL PARTNER 12/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MANAGING MEMBER direct 2005-12-01
TWO SIGMA INVESTMENTS, LP GENERAL PARTNER direct 2005-12-01
TWO SIGMA INVESTMENTS, LLC GENERAL PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LP GENERAL PARTNER direct 2005-12-01
TWO SIGMA ADVISERS, LLC MANAGING MEMBER direct 2005-12-01
TWO SIGMA ADVISERS, LLC GENERAL PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP GENERAL PARTNER direct 2016-05-01
SUNFLOWER PTC LLC TRUSTEE OF SUNBURST TRUST 01/01/2020 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE OF SUNDOG TRUST direct 2020-01-01
OLSON, BRADLEY, MARTIN CHIEF FINANCIAL OFFICER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP CHIEF FINANCIAL OFFICER direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP CHIEF FINANCIAL OFFICER direct 2020-01-01
TWO SIGMA ADVISERS, LP CHIEF FINANCIAL OFFICER direct 2020-01-01
LYONS, CARTER, MAYBERRY CHIEF BUSINESS OFFICER 02/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA ADVISERS, LP MANAGING DIRECTOR direct 2019-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MANAGING DIRECTOR direct 2019-01-01
SIEGEL, DAVID, MARK CO-CHAIRMAN 07/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
DUNCOMBE, GEOFFREY, P CHIEF INVESTMENT OFFICER OF MACRO 07/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA ADVISERS, LLC CHIEF INVESTMENT OFFICER direct 2016-01-01
SIEGEL, DAVID, MARK TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST 12/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
JOHN A. OVERDECK REVOCABLE TRUST LIMITED PARTNER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
HITCHON, JONATHAN, WILLIAM CHIEF OPERATING OFFICER 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
DB ADVISORS, L.L.C. CHIEF OPERATING OFFICER/MD direct 2004-03-01
TWO SIGMA INVESTMENTS, LP CHIEF OPERATING OFFICER direct 2014-10-01
SIANO, MATTHEW, BRADY GENERAL COUNSEL 12/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MANAGING DIRECTOR, GENERAL COUNSEL direct 2008-12-01
TWO SIGMA INVESTMENTS, LLC GENERAL COUNSEL direct 2008-12-01
TWO SIGMA ADVISERS, LLC GENERAL COUNSEL direct 2004-07-01
TWO SIGMA INVESTOR SOLUTIONS, LP GENERAL COUNSEL direct 2016-05-01
OVERDECK, JOHN, ALBERT CHIEF INVESTMENT OFFICER, CO-CHAIRMAN 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-05-01
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
DAVID M. SIEGEL REVOCABLE TRUST LIMITED PARTNER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
SCHOPPNER, DAWN, MARIE CONTROLLER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CONTROLLER direct 2010-09-01
TWO SIGMA INVESTMENTS, LLC CONTROLLER, SENIOR VICE PRESIDENT direct 2010-09-01
TWO SIGMA ADVISERS, LLC CONTROLLER direct 2010-09-01
TWO SIGMA INVESTOR SOLUTIONS, LP CONTROLLER direct 2016-05-01
OVERDECK, JOHN, ALBERT TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST 12/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-05-01
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
SUNBURST TRUST LIMITED PARTNER 01/01/2020 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2020-01-01
TWO SIGMA VENTURES, LP LIMITED PARTNER direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2020-01-01
SIGHTWAY CAPITAL, LP LIMITED PARTNER direct 2020-01-01
OTTO, CARSTEN, NMN CHIEF COMPLIANCE OFFICER 11/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY INVESTMENT ADVISORS INC. EXECUTIVE DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT ADVISORS INC. MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ADVISORS INC EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ADVISORS INC MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ASSET MANAGEMENT MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ASSET MANAGEMENT EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2010-02-01
BLACKROCK FINANCIAL MANAGEMENT, INC CHIEF COMPLIANCE OFFICER direct 2014-11-01
BLACKROCK CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-11-01
MORGAN STANLEY VENTURE CAPITAL III INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MSDW VENTURE PARTNERS IV INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MSDW CAPITAL PARTNERS IV INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
EARLY ADOPTER FUND MANAGER INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
BLACKROCK INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-11-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY CAPITAL PARTNERS III INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY VENTURE CAPITAL II INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY ALTERNATIVE INVESTMENT PARTNERS LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MSVP 2002, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY AIP GP LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY AIP GP LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
FRONTPOINT PARNTERS LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-07-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-07-01
MORGAN STANLEY HEDGE FUND PARTNERS LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY HEDGE FUND PARTNERS LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
FRONTPOINT UNIVERSAL GP, LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF COMPLIANCE OFFICER direct 2007-01-01
TWO SIGMA INVESTMENTS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
PRIVATE INVESTMENT PARTNERS INC. CHIEF COMPLIANCE OFFICER direct 2005-11-01
MORGAN STANLEY INFRASTRUCTURE PARTNERS INC. CHIEF COMPLIANCE OFFICER direct 2006-09-01
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. CHIEF COMPLIANCE OFFICER direct 2007-01-01
TWO SIGMA ADVISERS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
XULU INC CHIEF COMPLIANCE OFFICER direct 2015-10-01
TWO SIGMA INVESTOR SOLUTIONS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
SHINRAI PTC LLC TRUSTEE OF SUDACHI TRUST 01/01/2020 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
SUDACHI TRUST LIMITED PARTNER 01/01/2020 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2020-01-01
SIGHTWAY CAPITAL, LP LIMITED PARTNER direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2020-01-01
TWO SIGMA VENTURES, LP LIMITED PARTNER direct 2020-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2020-01-01
SHINRAI PTC LLC TRUSTEE SUDACHI TRUST 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
SUNFLOWER SPECIAL PURPOSE TRUST II MANAGER SUNFLOWER PTC LLC 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP MANAGER indirect 2020-01-01
SIGHTWAY CAPITAL, LP MANAGER indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MANAGER indirect 2020-01-01
TWO SIGMA VENTURES, LP MANAGER indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP MANAGER indirect 2020-01-01
FRONTIER DIRECTED FIDUCIARY SERVICES LLC TRUSTEE SHINRAI SPECIAL PURPOSE TRUST I 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
SUNFLOWER PTC LLC TRUSTEE SUNBURST TRUST 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE OF SUNDOG TRUST direct 2020-01-01
JOHN A. OVERDECK REVOCABLE TRUST MEMBER TWO SIGMA MANAGEMENT, LLC 01/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
SHINRAI SPECIAL PURPOSE TRUST I MEMBER SHINRAI PTC LLC 01/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2020-01-01
SIGHTWAY CAPITAL, LP MEMBER indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2020-01-01
TWO SIGMA VENTURES, LP MEMBER indirect 2020-01-01
TWO SIGMA ADVISERS, LP MEMBER indirect 2020-01-01
SIEGEL, DAVID, MARK TRUSTEE DAVID M. SIEGEL REVOCABLE TRUST 12/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
SUNFLOWER SPECIAL PURPOSE TRUST I MEMBER SUNFLOWER PTC LLC 01/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2020-01-01
SIGHTWAY CAPITAL, LP MEMBER indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2020-01-01
TWO SIGMA VENTURES, LP MEMBER indirect 2020-01-01
TWO SIGMA ADVISERS, LP MEMBER indirect 2020-01-01
DAVID M. SIEGEL REVOCABLE TRUST MEMBER TWO SIGMA MANAGEMENT, LLC 01/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
SHINRAI SPECIAL PURPOSE TRUST II MANAGER SHINRAI PTC LLC 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP MANAGER indirect 2020-01-01
SIGHTWAY CAPITAL, LP MANAGER indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MANAGER indirect 2020-01-01
TWO SIGMA VENTURES, LP MANAGER indirect 2020-01-01
TWO SIGMA ADVISERS, LP MANAGER indirect 2020-01-01
OVERDECK, JOHN, ALBERT TRUSTEE JOHN A. OVERDECK REVOCABLE TRUST 12/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-05-01
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
FRONTIER DIRECTED FIDUCIARY SERVICES LLC TRUSTEE SUNFLOWER SPECIAL PURPOSE TRUST I 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TWO SIGMA COMPASS ENHANCED U.S. FUND, LP United States 805-8185648199 Hedge Fund 1,171,647,607 1,000,000 Feeder Fund
TWO SIGMA MERCURY FUND, LP United States 805-7272675942 Hedge Fund 1,167,386,148 1,000,000 Feeder Fund
TWO SIGMA MERCURY CAYMAN FUND, LTD. Cayman Islands 805-9376571684 Hedge Fund 537,671,479 1,000,000 Feeder Fund
TWO SIGMA COMPASS U.S. FUND, LP United States 805-4586029234 Hedge Fund 581,842,521 1,000,000 Feeder Fund
TWO SIGMA ECLIPSE CAYMAN FUND, LTD. Cayman Islands 805-5458683998 Hedge Fund 210,159,652 1,000,000 Feeder Fund
TWO SIGMA MERCURY MASTER FUND, LLC United States 805-1212799661 Hedge Fund 1,786,569,061 0 Master Fund
TWO SIGMA HAMILTON FUND, LLC United States 805-8948665211 Hedge Fund 1,714,220,576 1,000,000
TWO SIGMA CAYMAN FUND, LTD. Cayman Islands 805-8815640112 Hedge Fund 9,672,911 1,000,000 Feeder Fund
TWO SIGMA COMPASS CAYMAN FUND, LTD. Cayman Islands 805-6715270217 Hedge Fund 653,063,405 1,000,000 Feeder Fund
TWO SIGMA COMPASS ENHANCED CAYMAN FUND, LTD. Cayman Islands 805-8247668320 Hedge Fund 370,438,181 1,000,000 Feeder Fund
TWO SIGMA EQUITY SPECTRUM PORTFOLIO, LLC United States 805-4276530516 Hedge Fund 8,369,359,861 0
TWO SIGMA EQUITY PORTFOLIO, LLC United States 805-8249796043 Hedge Fund 11,985,699,582 0
TWO SIGMA FUND, LP United States 805-1981321252 Hedge Fund 124,674,538 0 Master Fund
TWO SIGMA ECLIPSE FUND, LTD. Cayman Islands 805-3241097787 Hedge Fund 261,125,132 0 Master Fund
TWO SIGMA HORIZON PORTFOLIO, LLC United States 805-8392429405 Hedge Fund 4,563,022,431 0
TWO SIGMA SPECTRUM FUND, LTD. Cayman Islands 805-6999697733 Hedge Fund 8,548,069,286 0 Master Fund
TWO SIGMA U.S. FUND, LP United States 805-9570919520 Hedge Fund 112,405,887 1,000,000 Feeder Fund
TWO SIGMA OPTIONS PORTFOLIO, LLC United States 805-8715660407 Hedge Fund 1,314,998,329 0
TWO SIGMA FUTURES PORTFOLIO, LLC United States 805-4572668738 Hedge Fund 8,488,973,720 0
TWO SIGMA COMPASS MASTER FUND, LTD. Cayman Islands 805-8223690850 Hedge Fund 2,189,401,750 0 Master Fund
TWO SIGMA GALILEO PORTFOLIO, LLC United States 805-6126040834 Hedge Fund 6,114,122 0
HAMILTON INVESTMENTS, LP Bermuda 805-5839837954 Other Private Fund INVESTMENT VEHICLE 71,547,000 0
TWO SIGMA PIONEER PORTFOLIO, LLC United States 805-5326496359 Hedge Fund 6,819,175 0
TWO SIGMA SPECTRUM U.S. FUND, LP United States 805-9338330494 Hedge Fund 3,178,136,870 1,000,000 Feeder Fund
TWO SIGMA SPECTRUM CAYMAN FUND, LTD. Cayman Islands 805-3694950175 Hedge Fund 5,366,211,909 1,000,000 Feeder Fund
TWO SIGMA SPECTRUM PORTFOLIO, LLC United States 805-3561369881 Hedge Fund 16,190,527,336 0
TWO SIGMA STRATEGIES FUND, LLC United States 805-6781572447 Hedge Fund 9,728,007,056 1,000,000
TWO SIGMA ECLIPSE U.S. FUND, LP United States 805-3245291770 Hedge Fund 45,068,782 1,000,000 Feeder Fund
TWO SIGMA QUASAR FUND, LP United States 805-7837648446 Hedge Fund 546,587,123 1,000,000

TWO SIGMA INVESTMENTS, LP

ownership team - last updated 2021-03-31
Name Title Start Date Direct/Indirect % Ownership
OLSON, BRADLEY, MARTIN CHIEF FINANCIAL OFFICER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP CHIEF FINANCIAL OFFICER direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP CHIEF FINANCIAL OFFICER direct 2020-01-01
TWO SIGMA ADVISERS, LP CHIEF FINANCIAL OFFICER direct 2020-01-01
RAMAKRISHNA, SATISH CHIEF RISK OFFICER 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP CHIEF RISK OFFICER direct 2018-12-01
TWO SIGMA ADVISERS, LP CHIEF RISK OFFICER direct 2018-12-01
LYONS, CARTER, MAYBERRY CHIEF BUSINESS OFFICER 02/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA ADVISERS, LP MANAGING DIRECTOR direct 2019-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MANAGING DIRECTOR direct 2019-01-01
TWO SIGMA MANAGEMENT, LLC GENERAL PARTNER 12/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MANAGING MEMBER direct 2005-12-01
TWO SIGMA INVESTMENTS, LP GENERAL PARTNER direct 2005-12-01
TWO SIGMA INVESTMENTS, LLC GENERAL PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LP GENERAL PARTNER direct 2005-12-01
TWO SIGMA ADVISERS, LLC MANAGING MEMBER direct 2005-12-01
TWO SIGMA ADVISERS, LLC GENERAL PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP GENERAL PARTNER direct 2016-05-01
JOHN A. OVERDECK REVOCABLE TRUST LIMITED PARTNER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
HITCHON, JONATHAN, WILLIAM CHIEF OPERATING OFFICER 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
DB ADVISORS, L.L.C. CHIEF OPERATING OFFICER/MD direct 2004-03-01
TWO SIGMA INVESTMENTS, LP CHIEF OPERATING OFFICER direct 2014-10-01
SIEGEL, DAVID, MARK CO-CHAIRMAN 07/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
SIEGEL, DAVID, MARK TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST 12/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
SIANO, MATTHEW, BRADY GENERAL COUNSEL 12/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MANAGING DIRECTOR, GENERAL COUNSEL direct 2008-12-01
TWO SIGMA INVESTMENTS, LLC GENERAL COUNSEL direct 2008-12-01
TWO SIGMA ADVISERS, LLC GENERAL COUNSEL direct 2004-07-01
TWO SIGMA INVESTOR SOLUTIONS, LP GENERAL COUNSEL direct 2016-05-01
SUNBURST TRUST LIMITED PARTNER 01/01/2020 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2020-01-01
TWO SIGMA VENTURES, LP LIMITED PARTNER direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2020-01-01
SIGHTWAY CAPITAL, LP LIMITED PARTNER direct 2020-01-01
DAVID M. SIEGEL REVOCABLE TRUST LIMITED PARTNER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
SCHOPPNER, DAWN, MARIE CONTROLLER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CONTROLLER direct 2010-09-01
TWO SIGMA INVESTMENTS, LLC CONTROLLER, SENIOR VICE PRESIDENT direct 2010-09-01
TWO SIGMA ADVISERS, LLC CONTROLLER direct 2010-09-01
TWO SIGMA INVESTOR SOLUTIONS, LP CONTROLLER direct 2016-05-01
OVERDECK, JOHN, ALBERT CHIEF INVESTMENT OFFICER, CO-CHAIRMAN 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-05-01
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
SUDACHI TRUST LIMITED PARTNER 01/01/2020 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2020-01-01
SIGHTWAY CAPITAL, LP LIMITED PARTNER direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2020-01-01
TWO SIGMA VENTURES, LP LIMITED PARTNER direct 2020-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2020-01-01
OTTO, CARSTEN, NMN CHIEF COMPLIANCE OFFICER 11/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY INVESTMENT ADVISORS INC. EXECUTIVE DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT ADVISORS INC. MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ADVISORS INC EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ADVISORS INC MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ASSET MANAGEMENT MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ASSET MANAGEMENT EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2010-02-01
BLACKROCK FINANCIAL MANAGEMENT, INC CHIEF COMPLIANCE OFFICER direct 2014-11-01
BLACKROCK CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-11-01
MORGAN STANLEY VENTURE CAPITAL III INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MSDW VENTURE PARTNERS IV INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MSDW CAPITAL PARTNERS IV INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
EARLY ADOPTER FUND MANAGER INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
BLACKROCK INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-11-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY CAPITAL PARTNERS III INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY VENTURE CAPITAL II INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY ALTERNATIVE INVESTMENT PARTNERS LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MSVP 2002, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY AIP GP LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY AIP GP LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
FRONTPOINT PARNTERS LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-07-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-07-01
MORGAN STANLEY HEDGE FUND PARTNERS LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY HEDGE FUND PARTNERS LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
FRONTPOINT UNIVERSAL GP, LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF COMPLIANCE OFFICER direct 2007-01-01
TWO SIGMA INVESTMENTS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
PRIVATE INVESTMENT PARTNERS INC. CHIEF COMPLIANCE OFFICER direct 2005-11-01
MORGAN STANLEY INFRASTRUCTURE PARTNERS INC. CHIEF COMPLIANCE OFFICER direct 2006-09-01
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. CHIEF COMPLIANCE OFFICER direct 2007-01-01
TWO SIGMA ADVISERS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
XULU INC CHIEF COMPLIANCE OFFICER direct 2015-10-01
TWO SIGMA INVESTOR SOLUTIONS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
SHINRAI PTC LLC TRUSTEE OF SUDACHI TRUST 01/01/2020 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
OVERDECK, JOHN, ALBERT TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST 12/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-05-01
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
SUNFLOWER PTC LLC TRUSTEE OF SUNBURST TRUST 01/01/2020 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE OF SUNDOG TRUST direct 2020-01-01
SUNFLOWER PTC LLC TRUSTEE SUNBURST TRUST 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE OF SUNDOG TRUST direct 2020-01-01
JOHN A. OVERDECK REVOCABLE TRUST MEMBER TWO SIGMA MANAGEMENT, LLC 01/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
SHINRAI SPECIAL PURPOSE TRUST I MEMBER SHINRAI PTC LLC 01/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2020-01-01
SIGHTWAY CAPITAL, LP MEMBER indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2020-01-01
TWO SIGMA VENTURES, LP MEMBER indirect 2020-01-01
TWO SIGMA ADVISERS, LP MEMBER indirect 2020-01-01
SUNFLOWER SPECIAL PURPOSE TRUST I MEMBER SUNFLOWER PTC LLC 01/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2020-01-01
SIGHTWAY CAPITAL, LP MEMBER indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2020-01-01
TWO SIGMA VENTURES, LP MEMBER indirect 2020-01-01
TWO SIGMA ADVISERS, LP MEMBER indirect 2020-01-01
SHINRAI SPECIAL PURPOSE TRUST II MANAGER SHINRAI PTC LLC 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP MANAGER indirect 2020-01-01
SIGHTWAY CAPITAL, LP MANAGER indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MANAGER indirect 2020-01-01
TWO SIGMA VENTURES, LP MANAGER indirect 2020-01-01
TWO SIGMA ADVISERS, LP MANAGER indirect 2020-01-01
DAVID M. SIEGEL REVOCABLE TRUST MEMBER TWO SIGMA MANAGEMENT, LLC 01/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
SIEGEL, DAVID, MARK TRUSTEE DAVID M. SIEGEL REVOCABLE TRUST 12/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
SUNFLOWER SPECIAL PURPOSE TRUST II MANAGER SUNFLOWER PTC LLC 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP MANAGER indirect 2020-01-01
SIGHTWAY CAPITAL, LP MANAGER indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MANAGER indirect 2020-01-01
TWO SIGMA VENTURES, LP MANAGER indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP MANAGER indirect 2020-01-01
FRONTIER DIRECTED FIDUCIARY SERVICES LLC TRUSTEE SUNFLOWER SPECIAL PURPOSE TRUST I 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
SHINRAI PTC LLC TRUSTEE SUDACHI TRUST 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
OVERDECK, JOHN, ALBERT TRUSTEE JOHN A. OVERDECK REVOCABLE TRUST 12/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-05-01
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
FRONTIER DIRECTED FIDUCIARY SERVICES LLC TRUSTEE SHINRAI SPECIAL PURPOSE TRUST I 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TWO SIGMA HORIZON PORTFOLIO, LLC United States 805-8392429405 Hedge Fund 4,563,022,431 0
HAMILTON INVESTMENTS, LP Bermuda 805-5839837954 Other Private Fund INVESTMENT VEHICLE 71,547,000 0
TWO SIGMA PIONEER PORTFOLIO, LLC United States 805-5326496359 Hedge Fund 6,819,175 0
TWO SIGMA SPECTRUM U.S. FUND, LP United States 805-9338330494 Hedge Fund 3,178,136,870 1,000,000 Feeder Fund
TWO SIGMA SPECTRUM CAYMAN FUND, LTD. Cayman Islands 805-3694950175 Hedge Fund 5,366,211,909 1,000,000 Feeder Fund
TWO SIGMA SPECTRUM PORTFOLIO, LLC United States 805-3561369881 Hedge Fund 16,190,527,336 0
TWO SIGMA STRATEGIES FUND, LLC United States 805-6781572447 Hedge Fund 9,728,007,056 1,000,000
TWO SIGMA SPECTRUM FUND, LTD. Cayman Islands 805-6999697733 Hedge Fund 8,548,069,286 0 Master Fund
TWO SIGMA U.S. FUND, LP United States 805-9570919520 Hedge Fund 112,405,887 1,000,000 Feeder Fund
TWO SIGMA OPTIONS PORTFOLIO, LLC United States 805-8715660407 Hedge Fund 1,314,998,329 0
TWO SIGMA ECLIPSE FUND, LTD. Cayman Islands 805-3241097787 Hedge Fund 261,125,132 0 Master Fund
TWO SIGMA COMPASS ENHANCED U.S. FUND, LP United States 805-8185648199 Hedge Fund 1,171,647,607 1,000,000 Feeder Fund
TWO SIGMA COMPASS U.S. FUND, LP United States 805-4586029234 Hedge Fund 581,842,521 1,000,000 Feeder Fund
TWO SIGMA ECLIPSE CAYMAN FUND, LTD. Cayman Islands 805-5458683998 Hedge Fund 210,159,652 1,000,000 Feeder Fund
TWO SIGMA ECLIPSE U.S. FUND, LP United States 805-3245291770 Hedge Fund 45,068,782 1,000,000 Feeder Fund
TWO SIGMA EQUITY PORTFOLIO, LLC United States 805-8249796043 Hedge Fund 11,985,699,582 0
TWO SIGMA FUND, LP United States 805-1981321252 Hedge Fund 124,674,538 0 Master Fund
TWO SIGMA FUTURES PORTFOLIO, LLC United States 805-4572668738 Hedge Fund 8,488,973,720 0
TWO SIGMA COMPASS MASTER FUND, LTD. Cayman Islands 805-8223690850 Hedge Fund 2,189,401,750 0 Master Fund
TWO SIGMA MERCURY FUND, LP United States 805-7272675942 Hedge Fund 1,167,386,148 1,000,000 Feeder Fund
TWO SIGMA MERCURY CAYMAN FUND, LTD. Cayman Islands 805-9376571684 Hedge Fund 537,671,479 1,000,000 Feeder Fund
TWO SIGMA MERCURY MASTER FUND, LLC United States 805-1212799661 Hedge Fund 1,786,569,061 0 Master Fund
TWO SIGMA HAMILTON FUND, LLC United States 805-8948665211 Hedge Fund 1,714,220,576 1,000,000
TWO SIGMA CAYMAN FUND, LTD. Cayman Islands 805-8815640112 Hedge Fund 9,672,911 1,000,000 Feeder Fund
TWO SIGMA COMPASS CAYMAN FUND, LTD. Cayman Islands 805-6715270217 Hedge Fund 653,063,405 1,000,000 Feeder Fund
TWO SIGMA COMPASS ENHANCED CAYMAN FUND, LTD. Cayman Islands 805-8247668320 Hedge Fund 370,438,181 1,000,000 Feeder Fund
TWO SIGMA EQUITY SPECTRUM PORTFOLIO, LLC United States 805-4276530516 Hedge Fund 8,369,359,861 0
TWO SIGMA GALILEO PORTFOLIO, LLC United States 805-6126040834 Hedge Fund 6,114,122 0

TWO SIGMA INVESTMENTS, LP

ownership team - last updated 2020-05-22
Name Title Start Date Direct/Indirect % Ownership
RAMAKRISHNA, SATISH CHIEF RISK OFFICER 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP CHIEF RISK OFFICER direct 2018-12-01
TWO SIGMA ADVISERS, LP CHIEF RISK OFFICER direct 2018-12-01
OLSON, BRADLEY, MARTIN CHIEF FINANCIAL OFFICER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP CHIEF FINANCIAL OFFICER direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP CHIEF FINANCIAL OFFICER direct 2020-01-01
TWO SIGMA ADVISERS, LP CHIEF FINANCIAL OFFICER direct 2020-01-01
LYONS, CARTER, MAYBERRY CHIEF BUSINESS OFFICER 02/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA ADVISERS, LP MANAGING DIRECTOR direct 2019-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MANAGING DIRECTOR direct 2019-01-01
TWO SIGMA MANAGEMENT, LLC GENERAL PARTNER 12/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MANAGING MEMBER direct 2005-12-01
TWO SIGMA INVESTMENTS, LP GENERAL PARTNER direct 2005-12-01
TWO SIGMA INVESTMENTS, LLC GENERAL PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LP GENERAL PARTNER direct 2005-12-01
TWO SIGMA ADVISERS, LLC MANAGING MEMBER direct 2005-12-01
TWO SIGMA ADVISERS, LLC GENERAL PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP GENERAL PARTNER direct 2016-05-01
HITCHON, JONATHAN, WILLIAM CHIEF OPERATING OFFICER 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
DB ADVISORS, L.L.C. CHIEF OPERATING OFFICER/MD direct 2004-03-01
TWO SIGMA INVESTMENTS, LP CHIEF OPERATING OFFICER direct 2014-10-01
SIEGEL, DAVID, MARK CO-CHAIRMAN 07/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
JOHN A. OVERDECK REVOCABLE TRUST LIMITED PARTNER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
SIANO, MATTHEW, BRADY GENERAL COUNSEL 12/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MANAGING DIRECTOR, GENERAL COUNSEL direct 2008-12-01
TWO SIGMA INVESTMENTS, LLC GENERAL COUNSEL direct 2008-12-01
TWO SIGMA ADVISERS, LLC GENERAL COUNSEL direct 2004-07-01
TWO SIGMA INVESTOR SOLUTIONS, LP GENERAL COUNSEL direct 2016-05-01
SIEGEL, DAVID, MARK TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST 12/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
SCHOPPNER, DAWN, MARIE CONTROLLER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CONTROLLER direct 2010-09-01
TWO SIGMA INVESTMENTS, LLC CONTROLLER, SENIOR VICE PRESIDENT direct 2010-09-01
TWO SIGMA ADVISERS, LLC CONTROLLER direct 2010-09-01
TWO SIGMA INVESTOR SOLUTIONS, LP CONTROLLER direct 2016-05-01
SUNBURST TRUST LIMITED PARTNER 01/01/2020 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2020-01-01
TWO SIGMA VENTURES, LP LIMITED PARTNER direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2020-01-01
SIGHTWAY CAPITAL, LP LIMITED PARTNER direct 2020-01-01
DAVID M. SIEGEL REVOCABLE TRUST LIMITED PARTNER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
OTTO, CARSTEN, NMN CHIEF COMPLIANCE OFFICER 11/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY INVESTMENT ADVISORS INC. EXECUTIVE DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT ADVISORS INC. MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ADVISORS INC EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ADVISORS INC MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ASSET MANAGEMENT MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ASSET MANAGEMENT EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2010-02-01
BLACKROCK FINANCIAL MANAGEMENT, INC CHIEF COMPLIANCE OFFICER direct 2014-11-01
BLACKROCK CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-11-01
MORGAN STANLEY VENTURE CAPITAL III INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MSDW VENTURE PARTNERS IV INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MSDW CAPITAL PARTNERS IV INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
EARLY ADOPTER FUND MANAGER INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
BLACKROCK INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-11-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY CAPITAL PARTNERS III INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY VENTURE CAPITAL II INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY ALTERNATIVE INVESTMENT PARTNERS LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MSVP 2002, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY AIP GP LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY AIP GP LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
FRONTPOINT PARNTERS LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-07-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-07-01
MORGAN STANLEY HEDGE FUND PARTNERS LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY HEDGE FUND PARTNERS LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
FRONTPOINT UNIVERSAL GP, LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF COMPLIANCE OFFICER direct 2007-01-01
TWO SIGMA INVESTMENTS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
PRIVATE INVESTMENT PARTNERS INC. CHIEF COMPLIANCE OFFICER direct 2005-11-01
MORGAN STANLEY INFRASTRUCTURE PARTNERS INC. CHIEF COMPLIANCE OFFICER direct 2006-09-01
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. CHIEF COMPLIANCE OFFICER direct 2007-01-01
TWO SIGMA ADVISERS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
XULU INC CHIEF COMPLIANCE OFFICER direct 2015-10-01
TWO SIGMA INVESTOR SOLUTIONS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
SHINRAI PTC LLC TRUSTEE OF SUDACHI TRUST 01/01/2020 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
OVERDECK, JOHN, ALBERT CHIEF INVESTMENT OFFICER, CO-CHAIRMAN 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-05-01
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
SUDACHI TRUST LIMITED PARTNER 01/01/2020 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2020-01-01
SIGHTWAY CAPITAL, LP LIMITED PARTNER direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2020-01-01
TWO SIGMA VENTURES, LP LIMITED PARTNER direct 2020-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2020-01-01
OVERDECK, JOHN, ALBERT TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST 12/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-05-01
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
SUNFLOWER PTC LLC TRUSTEE OF SUNBURST TRUST 01/01/2020 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE OF SUNDOG TRUST direct 2020-01-01
SUNFLOWER PTC LLC TRUSTEE SUNBURST TRUST 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE OF SUNBURST TRUST direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE OF SUNDOG TRUST direct 2020-01-01
SHINRAI SPECIAL PURPOSE TRUST I MEMBER SHINRAI PTC LLC 01/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2020-01-01
SIGHTWAY CAPITAL, LP MEMBER indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2020-01-01
TWO SIGMA VENTURES, LP MEMBER indirect 2020-01-01
TWO SIGMA ADVISERS, LP MEMBER indirect 2020-01-01
JOHN A. OVERDECK REVOCABLE TRUST MEMBER TWO SIGMA MANAGEMENT, LLC 01/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
SUNFLOWER SPECIAL PURPOSE TRUST I MEMBER SUNFLOWER PTC LLC 01/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2020-01-01
SIGHTWAY CAPITAL, LP MEMBER indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2020-01-01
TWO SIGMA VENTURES, LP MEMBER indirect 2020-01-01
TWO SIGMA ADVISERS, LP MEMBER indirect 2020-01-01
SHINRAI SPECIAL PURPOSE TRUST II MANAGER SHINRAI PTC LLC 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP MANAGER indirect 2020-01-01
SIGHTWAY CAPITAL, LP MANAGER indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MANAGER indirect 2020-01-01
TWO SIGMA VENTURES, LP MANAGER indirect 2020-01-01
TWO SIGMA ADVISERS, LP MANAGER indirect 2020-01-01
DAVID M. SIEGEL REVOCABLE TRUST MEMBER TWO SIGMA MANAGEMENT, LLC 01/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
SIEGEL, DAVID, MARK TRUSTEE DAVID M. SIEGEL REVOCABLE TRUST 12/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
FRONTIER DIRECTED FIDUCIARY SERVICES LLC TRUSTEE SUNFLOWER SPECIAL PURPOSE TRUST I 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
SHINRAI PTC LLC TRUSTEE SUDACHI TRUST 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE OF SUDACHI TRUST direct 2020-01-01
SUNFLOWER SPECIAL PURPOSE TRUST II MANAGER SUNFLOWER PTC LLC 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP MANAGER indirect 2020-01-01
SIGHTWAY CAPITAL, LP MANAGER indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MANAGER indirect 2020-01-01
TWO SIGMA VENTURES, LP MANAGER indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP MANAGER indirect 2020-01-01
FRONTIER DIRECTED FIDUCIARY SERVICES LLC TRUSTEE SHINRAI SPECIAL PURPOSE TRUST I 01/01/2020 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTMENTS, LP TRUSTEE indirect 2020-01-01
TWO SIGMA VENTURES, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE indirect 2020-01-01
SIGHTWAY CAPITAL, LP TRUSTEE indirect 2020-01-01
TWO SIGMA ADVISERS, LP TRUSTEE indirect 2020-01-01
OVERDECK, JOHN, ALBERT TRUSTEE JOHN A. OVERDECK REVOCABLE TRUST 12/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-05-01
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TWO SIGMA HORIZON PORTFOLIO, LLC United States 805-8392429405 Hedge Fund 5,966,042,727 0
HAMILTON INVESTMENTS, LP Bermuda 805-5839837954 Other Private Fund INVESTMENT VEHICLE 98,939,000 0
TWO SIGMA PIONEER PORTFOLIO, LLC United States 805-5326496359 Hedge Fund 22,679,701 0
TWO SIGMA SPECTRUM U.S. FUND, LP United States 805-9338330494 Hedge Fund 2,907,664,203 1,000,000 Feeder Fund
TWO SIGMA SPECTRUM CAYMAN FUND, LTD. Cayman Islands 805-3694950175 Hedge Fund 5,102,232,512 1,000,000 Feeder Fund
TWO SIGMA SPECTRUM PORTFOLIO, LLC United States 805-3561369881 Hedge Fund 13,367,145,003 0
TWO SIGMA STRATEGIES FUND, LLC United States 805-6781572447 Hedge Fund 9,338,298,442 1,000,000
TWO SIGMA SPECTRUM FUND, LTD. Cayman Islands 805-6999697733 Hedge Fund 8,150,103,779 0 Master Fund
TWO SIGMA U.S. FUND, LP United States 805-9570919520 Hedge Fund 120,982,749 1,000,000 Feeder Fund
TWO SIGMA OPTIONS PORTFOLIO, LLC United States 805-8715660407 Hedge Fund 1,757,580,003 0
TWO SIGMA ECLIPSE FUND, LTD. Cayman Islands 805-3241097787 Hedge Fund 256,374,320 0 Master Fund
TWO SIGMA COMPASS ENHANCED U.S. FUND, LP United States 805-8185648199 Hedge Fund 1,380,124,047 1,000,000 Feeder Fund
TWO SIGMA COMPASS U.S. FUND, LP United States 805-4586029234 Hedge Fund 284,757,293 1,000,000 Feeder Fund
TWO SIGMA ECLIPSE CAYMAN FUND, LTD. Cayman Islands 805-5458683998 Hedge Fund 204,422,469 1,000,000 Feeder Fund
TWO SIGMA ECLIPSE U.S. FUND, LP United States 805-3245291770 Hedge Fund 44,462,600 1,000,000 Feeder Fund
TWO SIGMA EQUITY PORTFOLIO, LLC United States 805-8249796043 Hedge Fund 11,985,699,582 0
TWO SIGMA FUND, LP United States 805-1981321252 Hedge Fund 135,042,386 0 Master Fund
TWO SIGMA FUTURES PORTFOLIO, LLC United States 805-4572668738 Hedge Fund 6,643,926,983 0
TWO SIGMA COMPASS MASTER FUND, LTD. Cayman Islands 805-8223690850 Hedge Fund 2,426,996,503 0 Master Fund
TWO SIGMA MERCURY FUND, LP United States 805-7272675942 Hedge Fund 735,897,279 1,000,000 Feeder Fund
TWO SIGMA MERCURY CAYMAN FUND, LTD. Cayman Islands 805-9376571684 Hedge Fund 782,721,602 1,000,000 Feeder Fund
TWO SIGMA MERCURY MASTER FUND, LLC United States 805-1212799661 Hedge Fund 1,554,245,906 0 Master Fund
TWO SIGMA HAMILTON FUND, LLC United States 805-8948665211 Hedge Fund 1,790,606,682 1,000,000
TWO SIGMA CAYMAN FUND, LTD. Cayman Islands 805-8815640112 Hedge Fund 9,108,366 1,000,000 Feeder Fund
TWO SIGMA COMPASS CAYMAN FUND, LTD. Cayman Islands 805-6715270217 Hedge Fund 891,438,565 1,000,000 Feeder Fund
TWO SIGMA COMPASS ENHANCED CAYMAN FUND, LTD. Cayman Islands 805-8247668320 Hedge Fund 455,887,745 1,000,000 Feeder Fund
TWO SIGMA EQUITY SPECTRUM PORTFOLIO, LLC United States 805-4276530516 Hedge Fund 8,738,009,889 0
TWO SIGMA GALILEO PORTFOLIO, LLC United States 805-6126040834 Hedge Fund 698,393 0

TWO SIGMA INVESTMENTS, LP

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

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TWO SIGMA HORIZON PORTFOLIO, LLC United States 805-8392429405 Hedge Fund 5,966,042,727 0
HAMILTON INVESTMENTS, LP Bermuda 805-5839837954 Other Private Fund INVESTMENT VEHICLE 98,939,000 0
TWO SIGMA PIONEER PORTFOLIO, LLC United States 805-5326496359 Hedge Fund 22,679,701 0
TWO SIGMA SPECTRUM U.S. FUND, LP United States 805-9338330494 Hedge Fund 2,907,664,203 1,000,000 Feeder Fund
TWO SIGMA SPECTRUM CAYMAN FUND, LTD. Cayman Islands 805-3694950175 Hedge Fund 5,102,232,512 1,000,000 Feeder Fund
TWO SIGMA SPECTRUM PORTFOLIO, LLC United States 805-3561369881 Hedge Fund 13,367,145,003 0
TWO SIGMA STRATEGIES FUND, LLC United States 805-6781572447 Hedge Fund 9,338,298,442 1,000,000
TWO SIGMA SPECTRUM FUND, LTD. Cayman Islands 805-6999697733 Hedge Fund 8,150,103,779 0 Master Fund
TWO SIGMA U.S. FUND, LP United States 805-9570919520 Hedge Fund 120,982,749 1,000,000 Feeder Fund
TWO SIGMA OPTIONS PORTFOLIO, LLC United States 805-8715660407 Hedge Fund 1,757,580,003 0
TWO SIGMA ECLIPSE FUND, LTD. Cayman Islands 805-3241097787 Hedge Fund 256,374,320 0 Master Fund
TWO SIGMA COMPASS ENHANCED U.S. FUND, LP United States 805-8185648199 Hedge Fund 1,380,124,047 1,000,000 Feeder Fund
TWO SIGMA COMPASS U.S. FUND, LP United States 805-4586029234 Hedge Fund 284,757,293 1,000,000 Feeder Fund
TWO SIGMA ECLIPSE CAYMAN FUND, LTD. Cayman Islands 805-5458683998 Hedge Fund 204,422,469 1,000,000 Feeder Fund
TWO SIGMA ECLIPSE U.S. FUND, LP United States 805-3245291770 Hedge Fund 44,462,600 1,000,000 Feeder Fund
TWO SIGMA EQUITY PORTFOLIO, LLC United States 805-8249796043 Hedge Fund 11,985,699,582 0
TWO SIGMA FUND, LP United States 805-1981321252 Hedge Fund 135,042,386 0 Master Fund
TWO SIGMA FUTURES PORTFOLIO, LLC United States 805-4572668738 Hedge Fund 6,643,926,983 0
TWO SIGMA COMPASS MASTER FUND, LTD. Cayman Islands 805-8223690850 Hedge Fund 2,426,996,503 0 Master Fund
TWO SIGMA MERCURY FUND, LP United States 805-7272675942 Hedge Fund 735,897,279 1,000,000 Feeder Fund
TWO SIGMA MERCURY CAYMAN FUND, LTD. Cayman Islands 805-9376571684 Hedge Fund 782,721,602 1,000,000 Feeder Fund
TWO SIGMA MERCURY MASTER FUND, LLC United States 805-1212799661 Hedge Fund 1,554,245,906 0 Master Fund
TWO SIGMA HAMILTON FUND, LLC United States 805-8948665211 Hedge Fund 1,790,606,682 1,000,000
TWO SIGMA CAYMAN FUND, LTD. Cayman Islands 805-8815640112 Hedge Fund 9,108,366 1,000,000 Feeder Fund
TWO SIGMA COMPASS CAYMAN FUND, LTD. Cayman Islands 805-6715270217 Hedge Fund 891,438,565 1,000,000 Feeder Fund
TWO SIGMA COMPASS ENHANCED CAYMAN FUND, LTD. Cayman Islands 805-8247668320 Hedge Fund 455,887,745 1,000,000 Feeder Fund
TWO SIGMA EQUITY SPECTRUM PORTFOLIO, LLC United States 805-4276530516 Hedge Fund 8,738,009,889 0
TWO SIGMA GALILEO PORTFOLIO, LLC United States 805-6126040834 Hedge Fund 698,393 0

TWO SIGMA INVESTMENTS, LP

ownership team - last updated 2019-08-28
Name Title Start Date Direct/Indirect % Ownership
SCHOPPNER, DAWN, MARIE CONTROLLER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CONTROLLER direct 2010-09-01
TWO SIGMA INVESTMENTS, LLC CONTROLLER, SENIOR VICE PRESIDENT direct 2010-09-01
TWO SIGMA ADVISERS, LLC CONTROLLER direct 2010-09-01
TWO SIGMA INVESTOR SOLUTIONS, LP CONTROLLER direct 2016-05-01
OVERDECK, JOHN, MICHAEL TRUSTEE OF OVERDECK FAMILY GST EXEMPT TRUST 12/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF OVERDECK FAMILY GST EXEMPT TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF OVERDECK FAMILY GST EXEMPT TRUST direct 2007-12-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF OVERDECK FAMILY GST EXEMPT TRUST direct 2016-05-01
TWO SIGMA MANAGEMENT, LLC GENERAL PARTNER 12/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MANAGING MEMBER direct 2005-12-01
TWO SIGMA INVESTMENTS, LP GENERAL PARTNER direct 2005-12-01
TWO SIGMA INVESTMENTS, LLC GENERAL PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LP GENERAL PARTNER direct 2005-12-01
TWO SIGMA ADVISERS, LLC MANAGING MEMBER direct 2005-12-01
TWO SIGMA ADVISERS, LLC GENERAL PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP GENERAL PARTNER direct 2016-05-01
DAVID M. SIEGEL REVOCABLE TRUST LIMITED PARTNER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
SIEGEL, BERTRAM TRUSTEE OF SIEGEL FAMILY GST EXEMPT TRUST 12/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF SIEGEL FAMILY GST EXEMPT TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF SIEGEL FAMILY GST EXEMPT TRUST direct 2007-12-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF SIEGEL FAMILY GST EXEMPT TRUST direct 2016-05-01
SIEGEL, DAVID, MARK CO-CHAIRMAN 07/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
OTTO, CARSTEN, NMN CHIEF COMPLIANCE OFFICER 11/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY INVESTMENT ADVISORS INC. EXECUTIVE DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT ADVISORS INC. MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ADVISORS INC EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ADVISORS INC MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ASSET MANAGEMENT MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ASSET MANAGEMENT EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2010-02-01
BLACKROCK FINANCIAL MANAGEMENT, INC CHIEF COMPLIANCE OFFICER direct 2014-11-01
BLACKROCK CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-11-01
MORGAN STANLEY VENTURE CAPITAL III INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MSDW VENTURE PARTNERS IV INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MSDW CAPITAL PARTNERS IV INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
EARLY ADOPTER FUND MANAGER INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
BLACKROCK INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-11-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY CAPITAL PARTNERS III INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY VENTURE CAPITAL II INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY ALTERNATIVE INVESTMENT PARTNERS LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MSVP 2002, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY AIP GP LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY AIP GP LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
FRONTPOINT PARNTERS LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-07-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-07-01
MORGAN STANLEY HEDGE FUND PARTNERS LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY HEDGE FUND PARTNERS LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
FRONTPOINT UNIVERSAL GP, LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF COMPLIANCE OFFICER direct 2007-01-01
TWO SIGMA INVESTMENTS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
PRIVATE INVESTMENT PARTNERS INC. CHIEF COMPLIANCE OFFICER direct 2005-11-01
MORGAN STANLEY INFRASTRUCTURE PARTNERS INC. CHIEF COMPLIANCE OFFICER direct 2006-09-01
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. CHIEF COMPLIANCE OFFICER direct 2007-01-01
TWO SIGMA ADVISERS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
XULU INC CHIEF COMPLIANCE OFFICER direct 2015-10-01
TWO SIGMA INVESTOR SOLUTIONS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
SIEGEL, DAVID, MARK TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST 12/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
RAMAKRISHNA, SATISH CHIEF RISK OFFICER 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP CHIEF RISK OFFICER direct 2018-12-01
TWO SIGMA ADVISERS, LP CHIEF RISK OFFICER direct 2018-12-01
OVERDECK, JOHN, ALBERT CHIEF INVESTMENT OFFICER, CO-CHAIRMAN 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-05-01
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
SIEGEL FAMILY GST EXEMPT TRUST LIMITED PARTNER 01/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
OVERDECK FAMILY GST EXEMPT TRUST LIMITED PARTNER 01/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
OVERDECK, JOHN, ALBERT TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST 12/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-05-01
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
HITCHON, JONATHAN, WILLIAM CHIEF OPERATING OFFICER 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
DB ADVISORS, L.L.C. CHIEF OPERATING OFFICER/MD direct 2004-03-01
TWO SIGMA INVESTMENTS, LP CHIEF OPERATING OFFICER direct 2014-10-01
SIANO, MATTHEW, BRADY GENERAL COUNSEL 12/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MANAGING DIRECTOR, GENERAL COUNSEL direct 2008-12-01
TWO SIGMA INVESTMENTS, LLC GENERAL COUNSEL direct 2008-12-01
TWO SIGMA ADVISERS, LLC GENERAL COUNSEL direct 2004-07-01
TWO SIGMA INVESTOR SOLUTIONS, LP GENERAL COUNSEL direct 2016-05-01
JOHN A. OVERDECK REVOCABLE TRUST LIMITED PARTNER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
DAVID M. SIEGEL REVOCABLE TRUST MEMBER TWO SIGMA MANAGEMENT, LLC 01/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
JOHN A. OVERDECK REVOCABLE TRUST MEMBER TWO SIGMA MANAGEMENT, LLC 01/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TWO SIGMA MERCURY FUND, LP United States 805-7272675942 Hedge Fund 736,063,891 1,000,000 Feeder Fund
TWO SIGMA COMPASS MASTER FUND, LTD. Cayman Islands 805-8223690850 Hedge Fund 2,934,779,449 0 Master Fund
TWO SIGMA HAMILTON FUND, LLC United States 805-8948665211 Hedge Fund 2,210,097,352 1,000,000
TWO SIGMA CAYMAN FUND, LTD. Cayman Islands 805-8815640112 Hedge Fund 8,740,664 1,000,000 Feeder Fund
TWO SIGMA COMPASS CAYMAN FUND, LTD. Cayman Islands 805-6715270217 Hedge Fund 891,438,565 1,000,000 Feeder Fund
TWO SIGMA COMPASS ENHANCED CAYMAN FUND, LTD. Cayman Islands 805-8247668320 Hedge Fund 513,373,714 1,000,000 Feeder Fund
TWO SIGMA COMPASS ENHANCED U.S. FUND, LP United States 805-8185648199 Hedge Fund 1,599,226,341 1,000,000 Feeder Fund
TWO SIGMA COMPASS U.S. FUND, LP United States 805-4586029234 Hedge Fund 332,721,750 1,000,000 Feeder Fund
TWO SIGMA ECLIPSE CAYMAN FUND, LTD. Cayman Islands 805-5458683998 Hedge Fund 202,367,836 1,000,000 Feeder Fund
TWO SIGMA ECLIPSE FUND, LTD. Cayman Islands 805-3241097787 Hedge Fund 279,753,176 0 Master Fund
TWO SIGMA ECLIPSE U.S. FUND, LP United States 805-3245291770 Hedge Fund 47,254,031 1,000,000 Feeder Fund
TWO SIGMA EQUITY PORTFOLIO, LLC United States 805-8249796043 Hedge Fund 17,112,270,083 0
TWO SIGMA FUND, LP United States 805-1981321252 Hedge Fund 125,839,040 0 Master Fund
TWO SIGMA FUTURES PORTFOLIO, LLC United States 805-4572668738 Hedge Fund 5,019,540,564 0
HAMILTON INVESTMENTS, LP Bermuda 805-5839837954 Other Private Fund INVESTMENT VEHICLE 118,036,448 0
TWO SIGMA PIONEER PORTFOLIO, LLC United States 805-5326496359 Hedge Fund 22,679,701 0
TWO SIGMA SPECTRUM U.S. FUND, LP United States 805-9338330494 Hedge Fund 3,384,102,100 1,000,000 Feeder Fund
TWO SIGMA SPECTRUM CAYMAN FUND, LTD. Cayman Islands 805-3694950175 Hedge Fund 6,001,513,638 1,000,000 Feeder Fund
TWO SIGMA SPECTRUM PORTFOLIO, LLC United States 805-3561369881 Hedge Fund 14,815,860,605 0
TWO SIGMA STRATEGIES FUND, LLC United States 805-6781572447 Hedge Fund 10,782,897,916 1,000,000
TWO SIGMA SPECTRUM FUND, LTD. Cayman Islands 805-6999697733 Hedge Fund 10,464,859,776 0 Master Fund
TWO SIGMA U.S. FUND, LP United States 805-9570919520 Hedge Fund 104,482,378 1,000,000 Feeder Fund
TWO SIGMA OPTIONS PORTFOLIO, LLC United States 805-8715660407 Hedge Fund 817,014,557 0
TWO SIGMA HORIZON PORTFOLIO, LLC United States 805-8392429405 Hedge Fund 2,647,131,968 0
TWO SIGMA MERCURY CAYMAN FUND, LTD. Cayman Islands 805-9376571684 Hedge Fund 781,553,540 1,000,000 Feeder Fund
TWO SIGMA MERCURY MASTER FUND, LLC United States 805-1212799661 Hedge Fund 1,520,573,409 0 Master Fund

TWO SIGMA INVESTMENTS, LP

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
SCHOPPNER, DAWN, MARIE CONTROLLER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CONTROLLER direct 2010-09-01
TWO SIGMA INVESTMENTS, LLC CONTROLLER, SENIOR VICE PRESIDENT direct 2010-09-01
TWO SIGMA ADVISERS, LLC CONTROLLER direct 2010-09-01
TWO SIGMA INVESTOR SOLUTIONS, LP CONTROLLER direct 2016-05-01
TWO SIGMA MANAGEMENT, LLC GENERAL PARTNER 12/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MANAGING MEMBER direct 2005-12-01
TWO SIGMA INVESTMENTS, LP GENERAL PARTNER direct 2005-12-01
TWO SIGMA INVESTMENTS, LLC GENERAL PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LP GENERAL PARTNER direct 2005-12-01
TWO SIGMA ADVISERS, LLC MANAGING MEMBER direct 2005-12-01
TWO SIGMA ADVISERS, LLC GENERAL PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP GENERAL PARTNER direct 2016-05-01
DAVID M. SIEGEL REVOCABLE TRUST LIMITED PARTNER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
OVERDECK, JOHN, MICHAEL TRUSTEE OF OVERDECK FAMILY GST EXEMPT TRUST 12/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF OVERDECK FAMILY GST EXEMPT TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF OVERDECK FAMILY GST EXEMPT TRUST direct 2007-12-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF OVERDECK FAMILY GST EXEMPT TRUST direct 2016-05-01
SIEGEL, DAVID, MARK CO-CHAIRMAN 07/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
OTTO, CARSTEN, NMN CHIEF COMPLIANCE OFFICER 11/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY INVESTMENT ADVISORS INC. EXECUTIVE DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT ADVISORS INC. MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ADVISORS INC EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ADVISORS INC MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ASSET MANAGEMENT MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ASSET MANAGEMENT EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2010-02-01
BLACKROCK FINANCIAL MANAGEMENT, INC CHIEF COMPLIANCE OFFICER direct 2014-11-01
BLACKROCK CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-11-01
MORGAN STANLEY VENTURE CAPITAL III INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MSDW VENTURE PARTNERS IV INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MSDW CAPITAL PARTNERS IV INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
EARLY ADOPTER FUND MANAGER INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
BLACKROCK INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-11-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY CAPITAL PARTNERS III INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY VENTURE CAPITAL II INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY ALTERNATIVE INVESTMENT PARTNERS LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MSVP 2002, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY AIP GP LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY AIP GP LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
FRONTPOINT PARNTERS LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-07-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-07-01
MORGAN STANLEY HEDGE FUND PARTNERS LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY HEDGE FUND PARTNERS LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
FRONTPOINT UNIVERSAL GP, LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF COMPLIANCE OFFICER direct 2007-01-01
TWO SIGMA INVESTMENTS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
PRIVATE INVESTMENT PARTNERS INC. CHIEF COMPLIANCE OFFICER direct 2005-11-01
MORGAN STANLEY INFRASTRUCTURE PARTNERS INC. CHIEF COMPLIANCE OFFICER direct 2006-09-01
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. CHIEF COMPLIANCE OFFICER direct 2007-01-01
TWO SIGMA ADVISERS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
XULU INC CHIEF COMPLIANCE OFFICER direct 2015-10-01
TWO SIGMA INVESTOR SOLUTIONS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
SIEGEL, BERTRAM TRUSTEE OF SIEGEL FAMILY GST EXEMPT TRUST 12/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF SIEGEL FAMILY GST EXEMPT TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF SIEGEL FAMILY GST EXEMPT TRUST direct 2007-12-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF SIEGEL FAMILY GST EXEMPT TRUST direct 2016-05-01
SIEGEL, DAVID, MARK TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST 12/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
RAMAKRISHNA, SATISH CHIEF RISK OFFICER 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP CHIEF RISK OFFICER direct 2018-12-01
TWO SIGMA ADVISERS, LP CHIEF RISK OFFICER direct 2018-12-01
OVERDECK, JOHN, ALBERT CHIEF INVESTMENT OFFICER, CO-CHAIRMAN 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-05-01
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
SIEGEL FAMILY GST EXEMPT TRUST LIMITED PARTNER 01/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
OVERDECK, JOHN, ALBERT TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST 12/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-05-01
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
OVERDECK FAMILY GST EXEMPT TRUST LIMITED PARTNER 01/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
HITCHON, JONATHAN, WILLIAM CHIEF OPERATING OFFICER 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
DB ADVISORS, L.L.C. CHIEF OPERATING OFFICER/MD direct 2004-03-01
TWO SIGMA INVESTMENTS, LP CHIEF OPERATING OFFICER direct 2014-10-01
JOHN A. OVERDECK REVOCABLE TRUST LIMITED PARTNER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
SIANO, MATTHEW, BRADY GENERAL COUNSEL 12/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MANAGING DIRECTOR, GENERAL COUNSEL direct 2008-12-01
TWO SIGMA INVESTMENTS, LLC GENERAL COUNSEL direct 2008-12-01
TWO SIGMA ADVISERS, LLC GENERAL COUNSEL direct 2004-07-01
TWO SIGMA INVESTOR SOLUTIONS, LP GENERAL COUNSEL direct 2016-05-01
DAVID M. SIEGEL REVOCABLE TRUST MEMBER TWO SIGMA MANAGEMENT, LLC 01/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
JOHN A. OVERDECK REVOCABLE TRUST MEMBER TWO SIGMA MANAGEMENT, LLC 01/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TWO SIGMA COMPASS MASTER FUND, LTD. Cayman Islands 805-8223690850 Hedge Fund 2,934,779,449 0 Master Fund
TWO SIGMA HAMILTON FUND, LLC United States 805-8948665211 Hedge Fund 2,210,097,352 1,000,000
TWO SIGMA CAYMAN FUND, LTD. Cayman Islands 805-8815640112 Hedge Fund 8,740,664 1,000,000 Feeder Fund
TWO SIGMA COMPASS CAYMAN FUND, LTD. Cayman Islands 805-6715270217 Hedge Fund 891,438,565 1,000,000 Feeder Fund
TWO SIGMA COMPASS ENHANCED CAYMAN FUND, LTD. Cayman Islands 805-8247668320 Hedge Fund 513,373,714 1,000,000 Feeder Fund
TWO SIGMA COMPASS ENHANCED U.S. FUND, LP United States 805-8185648199 Hedge Fund 1,599,226,341 1,000,000 Feeder Fund
TWO SIGMA COMPASS U.S. FUND, LP United States 805-4586029234 Hedge Fund 332,721,750 1,000,000 Feeder Fund
TWO SIGMA ECLIPSE CAYMAN FUND, LTD. Cayman Islands 805-5458683998 Hedge Fund 202,367,836 1,000,000 Feeder Fund
TWO SIGMA ECLIPSE FUND, LTD. Cayman Islands 805-3241097787 Hedge Fund 279,753,176 0 Master Fund
TWO SIGMA ECLIPSE U.S. FUND, LP United States 805-3245291770 Hedge Fund 47,254,031 1,000,000 Feeder Fund
TWO SIGMA EQUITY PORTFOLIO, LLC United States 805-8249796043 Hedge Fund 17,112,270,083 0
TWO SIGMA FUND, LP United States 805-1981321252 Hedge Fund 125,839,040 0 Master Fund
TWO SIGMA FUTURES PORTFOLIO, LLC United States 805-4572668738 Hedge Fund 5,019,540,564 0
HAMILTON INVESTMENTS, LP Bermuda 805-5839837954 Other Private Fund INVESTMENT VEHICLE 118,036,448 0
TWO SIGMA PIONEER PORTFOLIO, LLC United States 805-5326496359 Hedge Fund 22,679,701 0
TWO SIGMA SPECTRUM U.S. FUND, LP United States 805-9338330494 Hedge Fund 3,384,102,100 1,000,000 Feeder Fund
TWO SIGMA SPECTRUM CAYMAN FUND, LTD. Cayman Islands 805-3694950175 Hedge Fund 6,001,513,638 1,000,000 Feeder Fund
TWO SIGMA SPECTRUM FUND, LTD. Cayman Islands 805-6999697733 Hedge Fund 10,464,859,776 0 Master Fund
TWO SIGMA SPECTRUM PORTFOLIO, LLC United States 805-3561369881 Hedge Fund 14,815,860,605 0
TWO SIGMA STRATEGIES FUND, LLC United States 805-6781572447 Hedge Fund 10,782,897,916 1,000,000
TWO SIGMA U.S. FUND, LP United States 805-9570919520 Hedge Fund 104,482,378 1,000,000 Feeder Fund
TWO SIGMA OPTIONS PORTFOLIO, LLC United States 805-8715660407 Hedge Fund 817,014,557 0
TWO SIGMA HORIZON PORTFOLIO, LLC United States 805-8392429405 Hedge Fund 2,647,131,968 0

TWO SIGMA INVESTMENTS, LP

ownership team - last updated 2018-12-03
Name Title Start Date Direct/Indirect % Ownership
SCHOPPNER, DAWN, MARIE CONTROLLER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CONTROLLER direct 2010-09-01
TWO SIGMA INVESTMENTS, LLC CONTROLLER, SENIOR VICE PRESIDENT direct 2010-09-01
TWO SIGMA ADVISERS, LLC CONTROLLER direct 2010-09-01
TWO SIGMA INVESTOR SOLUTIONS, LP CONTROLLER direct 2016-05-01
DAVID M. SIEGEL REVOCABLE TRUST LIMITED PARTNER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
OVERDECK, JOHN, MICHAEL TRUSTEE OF OVERDECK FAMILY GST EXEMPT TRUST 12/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF OVERDECK FAMILY GST EXEMPT TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF OVERDECK FAMILY GST EXEMPT TRUST direct 2007-12-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF OVERDECK FAMILY GST EXEMPT TRUST direct 2016-05-01
TWO SIGMA MANAGEMENT, LLC GENERAL PARTNER 12/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MANAGING MEMBER direct 2005-12-01
TWO SIGMA INVESTMENTS, LP GENERAL PARTNER direct 2005-12-01
TWO SIGMA INVESTMENTS, LLC GENERAL PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LP GENERAL PARTNER direct 2005-12-01
TWO SIGMA ADVISERS, LLC MANAGING MEMBER direct 2005-12-01
TWO SIGMA ADVISERS, LLC GENERAL PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP GENERAL PARTNER direct 2016-05-01
OTTO, CARSTEN, NMN CHIEF COMPLIANCE OFFICER 11/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY INVESTMENT ADVISORS INC. EXECUTIVE DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT ADVISORS INC. MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ADVISORS INC EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ADVISORS INC MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ASSET MANAGEMENT MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ASSET MANAGEMENT EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2010-02-01
BLACKROCK FINANCIAL MANAGEMENT, INC CHIEF COMPLIANCE OFFICER direct 2014-11-01
BLACKROCK CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-11-01
MORGAN STANLEY VENTURE CAPITAL III INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MSDW VENTURE PARTNERS IV INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MSDW CAPITAL PARTNERS IV INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
EARLY ADOPTER FUND MANAGER INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
BLACKROCK INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-11-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY CAPITAL PARTNERS III INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY VENTURE CAPITAL II INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY ALTERNATIVE INVESTMENT PARTNERS LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MSVP 2002, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY AIP GP LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY AIP GP LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
FRONTPOINT PARNTERS LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-07-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-07-01
MORGAN STANLEY HEDGE FUND PARTNERS LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY HEDGE FUND PARTNERS LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
FRONTPOINT UNIVERSAL GP, LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF COMPLIANCE OFFICER direct 2007-01-01
TWO SIGMA INVESTMENTS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
PRIVATE INVESTMENT PARTNERS INC. CHIEF COMPLIANCE OFFICER direct 2005-11-01
MORGAN STANLEY INFRASTRUCTURE PARTNERS INC. CHIEF COMPLIANCE OFFICER direct 2006-09-01
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. CHIEF COMPLIANCE OFFICER direct 2007-01-01
TWO SIGMA ADVISERS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
XULU INC CHIEF COMPLIANCE OFFICER direct 2015-10-01
TWO SIGMA INVESTOR SOLUTIONS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
SIEGEL, BERTRAM TRUSTEE OF SIEGEL FAMILY GST EXEMPT TRUST 12/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF SIEGEL FAMILY GST EXEMPT TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF SIEGEL FAMILY GST EXEMPT TRUST direct 2007-12-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF SIEGEL FAMILY GST EXEMPT TRUST direct 2016-05-01
SIEGEL, DAVID, MARK CO-CHAIRMAN 07/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
SIEGEL, DAVID, MARK TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST 12/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
RAMAKRISHNA, SATISH CHIEF RISK OFFICER 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP CHIEF RISK OFFICER direct 2018-12-01
TWO SIGMA ADVISERS, LP CHIEF RISK OFFICER direct 2018-12-01
OVERDECK, JOHN, ALBERT CHIEF INVESTMENT OFFICER, CO-CHAIRMAN 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-05-01
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
SIEGEL FAMILY GST EXEMPT TRUST LIMITED PARTNER 01/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
OVERDECK, JOHN, ALBERT TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST 12/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-05-01
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
OVERDECK FAMILY GST EXEMPT TRUST LIMITED PARTNER 01/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
HITCHON, JONATHAN, WILLIAM CHIEF OPERATING OFFICER 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
DB ADVISORS, L.L.C. CHIEF OPERATING OFFICER/MD direct 2004-03-01
TWO SIGMA INVESTMENTS, LP CHIEF OPERATING OFFICER direct 2014-10-01
JOHN A. OVERDECK REVOCABLE TRUST LIMITED PARTNER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
SIANO, MATTHEW, BRADY GENERAL COUNSEL 12/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MANAGING DIRECTOR, GENERAL COUNSEL direct 2008-12-01
TWO SIGMA INVESTMENTS, LLC GENERAL COUNSEL direct 2008-12-01
TWO SIGMA ADVISERS, LLC GENERAL COUNSEL direct 2004-07-01
TWO SIGMA INVESTOR SOLUTIONS, LP GENERAL COUNSEL direct 2016-05-01
DAVID M. SIEGEL REVOCABLE TRUST MEMBER TWO SIGMA MANAGEMENT, LLC 01/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
JOHN A. OVERDECK REVOCABLE TRUST MEMBER TWO SIGMA MANAGEMENT, LLC 01/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TWO SIGMA VENTURES I, LLC United States 805-4200232034 Other Private Fund INVESTMENT VEHICLE 92,582,960 0
TWO SIGMA ECLIPSE U.S. FUND, LP United States 805-3245291770 Hedge Fund 39,134,317 1,000,000 Feeder Fund
TWO SIGMA EQUITY PORTFOLIO, LLC United States 805-8249796043 Hedge Fund 18,321,770,367 0
TWO SIGMA FUND, LP United States 805-1981321252 Hedge Fund 101,467,341 0 Master Fund
TWO SIGMA FUTURES PORTFOLIO, LLC United States 805-4572668738 Hedge Fund 5,898,844,115 0
HAMILTON INVESTMENTS, LP Bermuda 805-5839837954 Other Private Fund INVESTMENT VEHICLE 182,875,338 0
TWO SIGMA PIONEER PORTFOLIO, LLC United States 805-5326496359 Hedge Fund 22,039,711 0
TWO SIGMA SPECTRUM U.S. FUND, LP United States 805-9338330494 Hedge Fund 2,988,647,410 1,000,000 Feeder Fund
TWO SIGMA SPECTRUM CAYMAN FUND, LTD. Cayman Islands 805-3694950175 Hedge Fund 5,117,477,545 1,000,000 Feeder Fund
TWO SIGMA SPECTRUM FUND, LTD. Cayman Islands 805-6999697733 Hedge Fund 8,414,102,030 0 Master Fund
TWO SIGMA SPECTRUM PORTFOLIO, LLC United States 805-3561369881 Hedge Fund 17,634,354,871 0
TWO SIGMA STRATEGIES FUND, LLC United States 805-6781572447 Hedge Fund 7,669,604,771 1,000,000
TWO SIGMA U.S. FUND, LP United States 805-9570919520 Hedge Fund 90,119,966 1,000,000 Feeder Fund
TWO SIGMA OPTIONS PORTFOLIO, LLC United States 805-8715660407 Hedge Fund 1,294,046,390 0
TWO SIGMA HORIZON PORTFOLIO, LLC United States 805-8392429405 Hedge Fund 1,218,357,306 0
SOHO ORBIT STRATEGIES, LLC United States 805-2328258563 Hedge Fund 1,678,775,050 25,000 Fund of Funds
TWO SIGMA VENTURES II, LLC United States 805-7716161183 Venture Capital Fund 195,581,277 25,000,000
TWO SIGMA COMPASS MASTER FUND, LTD. Cayman Islands 805-8223690850 Hedge Fund 2,051,070,380 0 Master Fund
TWO SIGMA HAMILTON FUND, LLC United States 805-8948665211 Hedge Fund 1,846,095,383 1,000,000
TWO SIGMA CAYMAN FUND, LTD. Cayman Islands 805-8815640112 Hedge Fund 8,187,854 1,000,000 Feeder Fund
TWO SIGMA COMPASS CAYMAN FUND, LTD. Cayman Islands 805-6715270217 Hedge Fund 784,918,527 1,000,000 Feeder Fund
TWO SIGMA COMPASS ENHANCED CAYMAN FUND, LTD. Cayman Islands 805-8247668320 Hedge Fund 340,521,882 1,000,000 Feeder Fund
TWO SIGMA COMPASS ENHANCED U.S. FUND, LP United States 805-8185648199 Hedge Fund 1,103,932,844 1,000,000 Feeder Fund
TWO SIGMA COMPASS U.S. FUND, LP United States 805-4586029234 Hedge Fund 252,134,012 1,000,000 Feeder Fund
TWO SIGMA ECLIPSE CAYMAN FUND, LTD. Cayman Islands 805-5458683998 Hedge Fund 192,480,486 1,000,000 Feeder Fund
TWO SIGMA ECLIPSE FUND, LTD. Cayman Islands 805-3241097787 Hedge Fund 239,629,316 0 Master Fund

TWO SIGMA INVESTMENTS, LP

ownership team - last updated 2018-05-31
Name Title Start Date Direct/Indirect % Ownership
OVERDECK, JOHN, MICHAEL TRUSTEE OF OVERDECK FAMILY GST EXEMPT TRUST 12/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF OVERDECK FAMILY GST EXEMPT TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF OVERDECK FAMILY GST EXEMPT TRUST direct 2007-12-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF OVERDECK FAMILY GST EXEMPT TRUST direct 2016-05-01
SIEGEL, BERTRAM TRUSTEE OF SIEGEL FAMILY GST EXEMPT TRUST 12/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LP TRUSTEE OF SIEGEL FAMILY GST EXEMPT TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF SIEGEL FAMILY GST EXEMPT TRUST direct 2007-12-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF SIEGEL FAMILY GST EXEMPT TRUST direct 2016-05-01
TWO SIGMA MANAGEMENT, LLC GENERAL PARTNER 12/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MANAGING MEMBER direct 2005-12-01
TWO SIGMA INVESTMENTS, LP GENERAL PARTNER direct 2005-12-01
TWO SIGMA INVESTMENTS, LLC GENERAL PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LP GENERAL PARTNER direct 2005-12-01
TWO SIGMA ADVISERS, LLC MANAGING MEMBER direct 2005-12-01
TWO SIGMA ADVISERS, LLC GENERAL PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP GENERAL PARTNER direct 2016-05-01
DAVID M. SIEGEL REVOCABLE TRUST LIMITED PARTNER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
CUA, JOSEPH, ANTHONY CHIEF RISK OFFICER 11/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CHIEF RISK OFFICER direct 2014-11-01
TWO SIGMA ADVISERS, LLC CHIEF RISK OFFICER direct 2014-11-01
SIEGEL, DAVID, MARK CO-CHAIRMAN 07/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
OTTO, CARSTEN, NMN CHIEF COMPLIANCE OFFICER 11/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY INVESTMENT ADVISORS INC. EXECUTIVE DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT ADVISORS INC. MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ADVISORS INC EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ADVISORS INC MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ASSET MANAGEMENT MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
VAN KAMPEN ASSET MANAGEMENT EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2010-02-01
BLACKROCK FINANCIAL MANAGEMENT, INC CHIEF COMPLIANCE OFFICER direct 2014-11-01
BLACKROCK CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-11-01
MORGAN STANLEY VENTURE CAPITAL III INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MSDW VENTURE PARTNERS IV INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MSDW CAPITAL PARTNERS IV INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY GLOBAL EMERGING MARKETS INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
EARLY ADOPTER FUND MANAGER INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
BLACKROCK INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-11-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY INVESTMENT MANAGEMENT INC. MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY CAPITAL PARTNERS III INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY VENTURE CAPITAL II INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY LEVERAGED EQUITY FUND II INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY ALTERNATIVE INVESTMENT PARTNERS LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MSVP 2002, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
MORGAN STANLEY AIP GP LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY AIP GP LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
FRONTPOINT PARNTERS LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-07-01
MORGAN STANLEY HEDGE FUND PARTNERS GP LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-07-01
MORGAN STANLEY HEDGE FUND PARTNERS LP MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
MORGAN STANLEY HEDGE FUND PARTNERS LP EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2004-06-01
FRONTPOINT UNIVERSAL GP, LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. CHIEF COMPLIANCE OFFICER direct 2007-01-01
TWO SIGMA INVESTMENTS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
PRIVATE INVESTMENT PARTNERS INC. CHIEF COMPLIANCE OFFICER direct 2005-11-01
MORGAN STANLEY INFRASTRUCTURE PARTNERS INC. CHIEF COMPLIANCE OFFICER direct 2006-09-01
MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. CHIEF COMPLIANCE OFFICER direct 2007-01-01
TWO SIGMA ADVISERS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
XULU INC CHIEF COMPLIANCE OFFICER direct 2015-10-01
TWO SIGMA INVESTOR SOLUTIONS, LP CHIEF COMPLIANCE OFFICER direct 2016-11-01
SIEGEL, DAVID, MARK TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST 12/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF DAVID MARK SIEGEL REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
SIEGEL FAMILY GST EXEMPT TRUST LIMITED PARTNER 01/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
OVERDECK, JOHN, ALBERT CHIEF INVESTMENT OFFICER, CO-CHAIRMAN 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-05-01
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
OVERDECK FAMILY GST EXEMPT TRUST LIMITED PARTNER 01/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
HITCHON, JONATHAN, WILLIAM CHIEF OPERATING OFFICER 10/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
DB ADVISORS, L.L.C. CHIEF OPERATING OFFICER/MD direct 2004-03-01
TWO SIGMA INVESTMENTS, LP CHIEF OPERATING OFFICER direct 2014-10-01
OVERDECK, JOHN, ALBERT TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST 12/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-05-01
TWO SIGMA INVESTMENTS, LLC CHIEF INVESTMENT OFFICER, CO-CHAIRMAN direct 2001-07-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTMENTS, LLC TTEE indirect 2008-01-01
TWO SIGMA ADVISERS, LLC CO-CHAIRMAN direct 2001-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE indirect 2007-12-01
TWO SIGMA ADVISERS, LLC TRUSTEE OF JOHN ALBERT OVERDECK REVOCABLE TRUST direct 2007-12-01
TWO SIGMA ADVISERS, LLC TTEE indirect 2008-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST direct 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP CO-CHAIRMAN direct 2016-05-01
SIANO, MATTHEW, BRADY GENERAL COUNSEL 12/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MANAGING DIRECTOR, GENERAL COUNSEL direct 2008-12-01
TWO SIGMA INVESTMENTS, LLC GENERAL COUNSEL direct 2008-12-01
TWO SIGMA ADVISERS, LLC GENERAL COUNSEL direct 2004-07-01
TWO SIGMA INVESTOR SOLUTIONS, LP GENERAL COUNSEL direct 2016-05-01
SCHOPPNER, DAWN, MARIE CONTROLLER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC CONTROLLER direct 2010-09-01
TWO SIGMA INVESTMENTS, LLC CONTROLLER, SENIOR VICE PRESIDENT direct 2010-09-01
TWO SIGMA ADVISERS, LLC CONTROLLER direct 2010-09-01
TWO SIGMA INVESTOR SOLUTIONS, LP CONTROLLER direct 2016-05-01
JOHN A. OVERDECK REVOCABLE TRUST LIMITED PARTNER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
DAVID M. SIEGEL REVOCABLE TRUST MEMBER TWO SIGMA MANAGEMENT, LLC 01/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LP MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01
JOHN A. OVERDECK REVOCABLE TRUST MEMBER TWO SIGMA MANAGEMENT, LLC 01/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
TWO SIGMA INVESTMENTS, LLC MEMBER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC MEMBER indirect 2008-01-01
TWO SIGMA INVESTMENTS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA INVESTMENTS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA ADVISERS, LLC MEMBER direct 2008-01-01
TWO SIGMA ADVISERS, LLC MEMBER indirect 2008-01-01
TWO SIGMA ADVISERS, LP LIMITED PARTNER direct 2008-01-01
TWO SIGMA ADVISERS, LLC LIMITED PARTNER indirect 2015-01-01
TWO SIGMA INVESTOR SOLUTIONS, LP MEMBER indirect 2016-05-01
TWO SIGMA INVESTOR SOLUTIONS, LP LIMITED PARTNER direct 2016-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TWO SIGMA OPTIONS PORTFOLIO, LLC United States 805-8715660407 Hedge Fund 1,294,046,390 0
TWO SIGMA HORIZON PORTFOLIO, LLC United States 805-8392429405 Hedge Fund 1,218,357,306 0
SOHO ORBIT STRATEGIES, LLC United States 805-2328258563 Hedge Fund 1,678,775,050 25,000 Fund of Funds
TWO SIGMA VENTURES II, LLC United States 805-7716161183 Venture Capital Fund 195,581,277 25,000,000
TWO SIGMA COMPASS MASTER FUND, LTD. Cayman Islands 805-8223690850 Hedge Fund 2,051,070,380 0 Master Fund
TWO SIGMA HAMILTON FUND, LLC United States 805-8948665211 Hedge Fund 1,846,095,383 1,000,000
TWO SIGMA CAYMAN FUND, LTD. Cayman Islands 805-8815640112 Hedge Fund 8,187,854 1,000,000 Feeder Fund
TWO SIGMA COMPASS CAYMAN FUND, LTD. Cayman Islands 805-6715270217 Hedge Fund 784,918,527 1,000,000 Feeder Fund
TWO SIGMA COMPASS ENHANCED CAYMAN FUND, LTD. Cayman Islands 805-8247668320 Hedge Fund 340,521,882 1,000,000 Feeder Fund
TWO SIGMA COMPASS ENHANCED U.S. FUND, LP United States 805-8185648199 Hedge Fund 1,103,932,844 1,000,000 Feeder Fund
TWO SIGMA COMPASS U.S. FUND, LP United States 805-4586029234 Hedge Fund 252,134,012 1,000,000 Feeder Fund
TWO SIGMA ECLIPSE CAYMAN FUND, LTD. Cayman Islands 805-5458683998 Hedge Fund 192,480,486 1,000,000 Feeder Fund
TWO SIGMA ECLIPSE FUND, LTD. Cayman Islands 805-3241097787 Hedge Fund 239,629,316 0 Master Fund
TWO SIGMA ECLIPSE U.S. FUND, LP United States 805-3245291770 Hedge Fund 39,134,317 1,000,000 Feeder Fund
TWO SIGMA EQUITY PORTFOLIO, LLC United States 805-8249796043 Hedge Fund 18,321,770,367 0
TWO SIGMA FUND, LP United States 805-1981321252 Hedge Fund 101,467,341 0 Master Fund
TWO SIGMA FUTURES PORTFOLIO, LLC United States 805-4572668738 Hedge Fund 5,898,844,115 0
HAMILTON INVESTMENTS, LP Bermuda 805-5839837954 Other Private Fund INVESTMENT VEHICLE 182,875,338 0
TWO SIGMA PIONEER PORTFOLIO, LLC United States 805-5326496359 Hedge Fund 22,039,711 0
TWO SIGMA SPECTRUM U.S. FUND, LP United States 805-9338330494 Hedge Fund 2,988,647,410 1,000,000 Feeder Fund
TWO SIGMA SPECTRUM CAYMAN FUND, LTD. Cayman Islands 805-3694950175 Hedge Fund 5,117,477,545 1,000,000 Feeder Fund
TWO SIGMA SPECTRUM FUND, LTD. Cayman Islands 805-6999697733 Hedge Fund 8,414,102,030 0 Master Fund
TWO SIGMA SPECTRUM PORTFOLIO, LLC United States 805-3561369881 Hedge Fund 17,634,354,871 0
TWO SIGMA STRATEGIES FUND, LLC United States 805-6781572447 Hedge Fund 7,669,604,771 1,000,000
TWO SIGMA U.S. FUND, LP United States 805-9570919520 Hedge Fund 90,119,966 1,000,000 Feeder Fund
TWO SIGMA VENTURES I, LLC United States 805-4200232034 Other Private Fund INVESTMENT VEHICLE 92,582,960 0

**EXPERIMENTAL** Current International Short Positions

Only includes UK, France, Germany, Japan, and HKEX are presently being processed.

Holder Issuer Net Short Position Position Date Origin

Short Position History (last 100)

Holder Net Short Position Position Date Origin
Two Sigma Investments, LP AZIMUT HOLDING SPA 0.48% 2018-05-23 Italy
Two Sigma Investments, LP AZIMUT HOLDING SPA 0.5% 2018-05-22 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.49% 2017-05-22 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.51% 2017-02-03 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.49% 2015-10-28 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.59% 2015-08-27 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.67% 2015-07-13 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.7% 2015-07-10 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.6% 2015-06-26 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.51% 2015-06-19 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.49% 2015-04-08 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.55% 2015-04-07 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.69% 2015-03-30 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.75% 2015-03-26 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.83% 2015-03-17 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.74% 2015-03-16 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.66% 2015-03-13 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.78% 2015-03-09 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.61% 2015-03-05 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.58% 2015-02-25 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.6% 2015-02-24 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.5% 2015-02-02 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.47% 2014-12-31 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.59% 2014-12-26 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.6% 2014-12-09 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.59% 2014-12-05 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.61% 2014-12-04 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.59% 2014-11-24 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.6% 2014-11-21 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.59% 2014-11-20 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.61% 2014-11-19 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.59% 2014-11-12 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.67% 2014-11-07 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.7% 2014-10-28 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.69% 2014-10-14 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.7% 2014-09-18 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.69% 2014-08-26 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.7% 2014-07-24 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.67% 2014-06-17 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.7% 2014-06-03 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.69% 2014-05-30 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.71% 2014-05-28 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.69% 2014-05-27 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.79% 2014-05-09 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.8% 2014-05-06 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.74% 2014-05-02 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.63% 2014-05-01 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.51% 2014-04-30 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.44% 2014-03-10 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.57% 2014-03-07 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.71% 2014-03-04 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.62% 2014-02-28 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.46% 2013-09-26 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.5% 2013-09-23 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.49% 2013-09-20 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.5% 2013-09-18 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.49% 2013-09-17 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.51% 2013-09-16 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.49% 2013-08-19 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.5% 2013-07-09 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.49% 2013-05-31 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.59% 2013-05-10 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.6% 2013-04-17 Italy
Two Sigma Investments, LP CTI BIOPHARMA CORP 0.5% 2013-04-03 Italy
Two Sigma Equity Portfolio, LLC Dawn Corporation 0.48% 2018-12-12 Japan
Two Sigma Spectrum Portfolio, LLC Dawn Corporation 0.49% 2018-11-13 Japan
Two Sigma Equity Portfolio, LLC Dawn Corporation 0.52% 2018-05-25 Japan
Two Sigma Spectrum Portfolio, LLC Dawn Corporation 0.52% 2018-05-25 Japan
Two Sigma Investments, LP DEUTSCHE BANK AKTIENGESELLSCHAFT 0.51% 2018-05-16 GERMANY
Two Sigma Equity Portfolio, LLC Japan Engine Corporation 0.49% 2018-01-05 Japan
Two Sigma Spectrum Portfolio, LLC Japan Engine Corporation 0.49% 2017-12-04 Japan
Two Sigma Equity Portfolio, LLC Japan Engine Corporation 0.53% 2017-09-27 Japan
Two Sigma Spectrum Portfolio, LLC Japan Engine Corporation 0.51% 2017-09-27 Japan
Two Sigma Spectrum Portfolio, LLC MINATO HOLDINGS INC. 0.48% 2019-01-15 Japan
Two Sigma Spectrum Portfolio, LLC MINATO HOLDINGS INC. 0.58% 2019-01-09 Japan
Two Sigma Spectrum Portfolio, LLC MINATO HOLDINGS INC. 0.66% 2019-01-04 Japan
Two Sigma Spectrum Portfolio, LLC MINATO HOLDINGS INC. 0.79% 2018-12-25 Japan
Two Sigma Spectrum Portfolio, LLC MINATO HOLDINGS INC. 0.8500000000000001% 2018-12-04 Japan
Two Sigma Spectrum Portfolio, LLC MINATO HOLDINGS INC. 0.96% 2018-11-28 Japan
Two Sigma Spectrum Portfolio, LLC MINATO HOLDINGS INC. 1.09% 2018-11-12 Japan
Two Sigma Spectrum Portfolio, LLC MINATO HOLDINGS INC. 1.18% 2018-04-20 Japan
Two Sigma Spectrum Portfolio, LLC MINATO HOLDINGS INC. 1.2% 2017-09-27 Japan
Two Sigma Spectrum Portfolio, LLC SORGHUM JAPAN HOLDINGS Corp. 0.45999999999999996% 2017-12-06 Japan
Two Sigma Equity Portfolio, LLC SORGHUM JAPAN HOLDINGS Corp. 0.49% 2017-12-04 Japan
Two Sigma Equity Portfolio, LLC SORGHUM JAPAN HOLDINGS Corp. 0.53% 2017-08-18 Japan
Two Sigma Spectrum Portfolio, LLC SORGHUM JAPAN HOLDINGS Corp. 0.53% 2017-08-18 Japan
Two Sigma Equity Portfolio, LLC Toho Zinc CO.,Ltd. 0.44999999999999996% 2017-11-07 Japan
Two Sigma Spectrum Portfolio, LLC Toho Zinc CO.,Ltd. 0.45999999999999996% 2017-11-07 Japan
Two Sigma Equity Portfolio, LLC Toho Zinc CO.,Ltd. 0.58% 2017-09-27 Japan
Two Sigma Spectrum Portfolio, LLC Toho Zinc CO.,Ltd. 0.5700000000000001% 2017-09-27 Japan
Two Sigma Spectrum Portfolio, LLC Tokuyama Corporation 0.5% 2017-09-27 Japan

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