UBS OCONNOR LLC

HTTP://WWW.UBS.COM/OCONNOR CHICAGO, IL Investment Advisor Hedge Fund How do I update this listing?

UBS Oconnor is based out of Chicago. UBS Oconnor is a large advisory firm with 25 clients and discretionary assets under management (AUM) of $8,275,413,204 (Form ADV from 2019-06-25). Their last reported 13F filing for Q2 2019 included $3,846,089,000 in managed 13F securities and a top 10 holdings concentration of 62.14%. UBS Oconnor's largest holding is Red Hat Inc with shares held of 2,954,679. UBS Oconnor has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 362 13F filings, and 9 13G filings

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Equal-WT
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68

S&P 500
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06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $3.846 Billion
  • Prior Market Value $2.268 Billion
  • New Purchases94 stocks
  • Additional Purchases54 stocks
  • Sold out of82 stocks
  • Reduced holdings in60 stocks
  • Top 10 Holdings % 62.14 %
  • Turnover % [1]:74.89%
  • Turnover Alt % [2]: 68.79 %
  • Time Held Top20:1.45 quarters
  • Time Held Top10:0.20 quarters
  • Time Held All:3.29 quarters

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

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

Portfolio Performance

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

Performance for Q2 2019: 1.94%
Performance Last 4 Quarters: 11.66%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
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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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13F Filings Available:
  • 2019-06-30 - 13F-HR (Subscription required)
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View Last Form Adv Compilation Report on Record

UBS OCONNOR LLC
Classified as Hedge Fund
ONE NORTH WACKER DRIVE, 32ND FLOOR
CHICAGO IL    60606
Country: United States

Business Phone: 312-525-6000
Fax: 312-525-5042
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 121
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: 8,341,550,000
Total Number of Clients: 25
Amount of client funds and securities by related persons: 223,997,000
Total Number of clients from related persons: 4
Disclosures: 11.A (1).,11.A (2),11.C (1),11.C (2),11.C (4),11.C (5),11.D (1),11.D (2),11.D (4),11.D (5),11.E (2),11.H (1).(a),11.H (2)
Data above was derived from SEC filings.

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UBS OCONNOR LLC

ownership team - last updated 2019-06-25
Name Title Start Date Direct/Indirect % Ownership
VAGRA, NICHOLAS, JAMES CHIEF OPERATING OFFICER HEAD OF OCONNOR 01/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
UBS OCONNOR LLC CHIEF OPERATING OFFICER direct 2001-08-01
UBS OCONNOR LLC CHIEF OPERATING OFFICER direct 2004-01-01
UBS OCONNOR LLC CHIEF OPERATING OFFICER HEAD OF OCONNOR direct 2004-01-01
UBS EUCALYPTUS MANAGEMENT, L.L.C. CHIEF OPERATING OFFICER direct 2010-10-01
UBS WILLOW MANAGEMENT, L.L.C. CHIEF OPERATING OFFICER direct 2010-10-01
UBS JUNIPER MANAGEMENT, L.L.C. CHIEF OPERATING OFFICER direct 2010-10-01
DSI INTERNATIONAL MANAGEMENT, INC. CHIEF OPERATING OFFICER direct 2004-01-01
UBS TAMARACK MANAGEMENT, L.L.C. CHIEF OPERATING OFFICER direct 2010-10-01
UBS ALTERNATIVE AND QUANTITATIVE INVESTMENTS LLC CHIEF OPERATING OFFICER direct 2004-04-01
UBS O'CONNOR LIMITED CHIEF OPERATING OFFICER direct 2004-01-01
HOLLENBECK, ANDREW, D GENERAL COUNSEL 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
UBS OCONNOR LLC GENERAL COUNSEL direct 2013-11-01
UBS AMERICAS HOLDING LLC HOLDING COMPANY 08/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FSIB LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS HOLDINGS (SINGAPORE) indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MEMBER/HOLDING COMPANY OF MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 1999-04-01
ACKER FINLEY ASSET MANAGEMENT USA INC. SHAREHOLDER direct 1999-07-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP SHAREHOLDER indirect 2000-01-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER direct 2000-02-01
LAZARD PENSION MANAGEMENT INC GENERAL MEMBER indirect 2000-03-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC GENERAL MEMBER indirect 2000-03-01
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 2000-06-01
PANGAEA ASSET MANAGEMENT, LLC MEMBER indirect 2000-06-01
ACCESS INVESTMENT ADVISORS LLC SHAREHOLDER indirect 2000-08-01
MARTIN CURRIE GLOBAL INVESTORS LIMITED PARENT COMPANY direct 2000-08-01
KOBRICK FUNDS LLC SHAREHOLDER indirect 2000-10-01
KOBRICK FUNDS LLC SUPERVISOR indirect 2000-10-01
KOBRICK FUNDS LLC SHAREHOLDER indirect 2000-10-01
LAZARD DEBT RECOVERY MANAGEMENT OWNER indirect 2001-04-01
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 2001-05-01
YORK ASSET MANAGEMENT LIMITED OWNER indirect 2001-05-01
LADENBURG THALMANN FUND MANAGEMENT LLC SHAREHOLDER indirect 2001-05-01
YORK ASSET MANAGEMENT LIMITED OWNER direct 2001-05-01
AGF PRIVATE INVESTMENT ADVISORS INC. PARENT COMPANY direct 2001-07-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP SHAREHOLDER indirect 2001-09-01
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2001-10-01
SUTRO & CO. INCORPORATED INDIRECT OWNER indirect 2001-10-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
YORK ASSET MANAGEMENT LIMITED TRUSTEE indirect 2001-12-01
BTC CAPITAL MANAGEMENT, INC. CONTROL PERSON indirect 2002-03-01
POLYGON INVESTMENTS LTD. EQUITYHOLDER direct 2002-11-01
REAL ESTATE CAPITAL PARTNERS LP OWNER indirect 2002-12-01
ALPHA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2003-01-01
ALPHA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2003-01-01
THUNDER BAY CAPITAL MANAGEMENT, LP NON - VOTING LIMITED PARTNER direct 2003-02-01
THUNDER BAY CAPITAL MANAGEMENT, LP TRUSTEE- AB 2003 TRUST direct 2003-02-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP TRUSTEE indirect 2003-05-01
AEON CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2003-07-01
BIOPHARMA CAPITAL LIMITED SHAREHOLDER direct 2003-11-01
ALPHA INVESTMENT MANAGEMENT LLC MEMBER direct 2004-01-01
REAL ESTATE CAPITAL PARTNERS LP OWNER indirect 2004-07-01
MCLEAN BUDDEN LIMITED. SHAREHOLDER indirect 2004-11-01
RYAN LABS ASSET MANAGEMENT INC. SOLE SHAREHOLDER indirect 2004-12-01
LAJU (CAYMAN) LIMITED LISTED COMPANY indirect 1969-07-01
SUN LIFE INSTITUTIONAL INVESTMENTS (U.S.) LLC SOLE SHAREHOLDER indirect 2004-12-01
MARTIN CURRIE INC PARENT COMPANY direct 1978-10-01
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED PARENT COMPANY direct 1978-10-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1979-06-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 2005-03-01
ALPHA INVESTMENT MANAGEMENT LLC SOLE SHAREHOLDER indirect 1984-05-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP DESIGNATED MEMBER direct 2005-03-01
BLACKSQUARE CAPITAL LLP OWNER indirect 2005-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
POLYGON CREDIT HOLDINGS LTD. EQUITYHOLDER direct 2005-07-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
CYPRESS CAPITAL MANAGEMENT US LIMITED PARENT COMPANY direct 2005-11-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 indirect 2006-01-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 3: SHAREHOLDER OF SHAREHOLDER 2 indirect 2006-01-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 2006-04-01
BOSTON ADVISORS, LLC MEMBER direct 2006-04-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
FIRST STATE (HONG KONG) LLC ULTIMATE HOLDING COMPANY indirect 2006-04-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2006-04-01
K.J. HARRISON & PARTNERS (USA) INC. CORPORATION direct 2006-12-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED indirect 2007-06-01
HIGHSTREET ASSET MANAGEMENT U.S. INC. PARENT COMPANY indirect 2007-09-01
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. SHAREHOLDER indirect 1985-06-01
CYPRESS CAPITAL MANAGEMENT US LIMITED 100% OWNER PARENT indirect 2007-10-01
CYPRESS CAPITAL MANAGEMENT US LIMITED SHAREHOLDER indirect 1985-06-01
LASAIR CAPITAL LLC CLASS B MEMBER indirect 2007-10-01
AGF PRIVATE INVESTMENT ADVISORS INC. SHAREHOLDER indirect 1985-06-01
AGF PRIVATE INVESTMENT ADVISORS INC. SHAREHOLDER indirect 2007-10-01
LASAIR CAPITAL LLC MANAGING MEMBER direct 2007-10-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 indirect 1986-02-01
CYPRESS CAPITAL MANAGEMENT US LIMITED SHAREHOLDER indirect 2007-10-01
AGF PRIVATE INVESTMENT ADVISORS INC. 100% OWNER PARENT indirect 2007-10-01
HIGHSTREET ASSET MANAGEMENT U.S. INC. PARENT COMPANY indirect 2007-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 1: SHAREHOLDER OF APPLICANT direct 1986-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 indirect 2008-06-01
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01
HIGHSTREET U.S. ASSET MANAGEMENT INC. PARENT COMPANY direct 2009-02-01
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. DIRECT OWNER direct 2009-06-01
DAISHIN INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER direct 1988-03-01
KESTREL PARTNERS LLP SHAREHOLDER indirect 2009-06-01
HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-12-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1989-07-01
FINANCIALADVICE4ME, LLC MEMBER direct 2009-12-01
BMO ASSET MANAGEMENT CORP. SOLE SHAREHOLDER OF BMO FINANCIAL CORP. indirect 1989-09-01
HANWHA ASSET MANAGEMENT (USA) LTD. DIRECT OWNER indirect 2010-06-01
MONEGY, INC. SOLE SHAREHOLDER OF BMO FINANCIAL CORP. indirect 1989-09-01
INSTITUTIONAL SHAREHOLDER SERVICES INC. GENERAL PARTNER indirect 2010-08-01
CICC INVESTMENT MANAGEMENT (USA), INC. SOLE SHAREHOLDER indirect 2010-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 2: SHAREHOLDER OF 1 indirect 1991-03-01
CICC INVESTMENT MANAGEMENT (USA), INC. SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SHAREHOLDER indirect 2010-11-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1992-03-01
CICC INVESTMENT MANAGEMENT (USA), INC. SOLE SHAREHOLDER indirect 2010-11-01
NEPHILA CAPITAL LTD. SHAREHOLDER indirect 2010-12-01
FUJI-LORD ABBETT INTERNATIONAL, LTD SHAREHOLDER direct 1992-06-01
NEPHILA ADVISORS LLC SHAREHOLDER indirect 2010-12-01
EDINBURGH FUND MANAGERS PLC SHAREHOLDER direct 1995-04-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 6: SHAREHOLDER OF SHAREHOLDER 5 indirect 2012-02-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER direct 2012-06-01
SWISS AMERICAN ADVISORS LTD. SHAREHOLDER direct 2012-06-01
ELEVAR EQUITY MANAGEMENT LIMITED OWNER direct 2012-11-01
FORTIS ADVISORS, LLC GENERAL PARTNER indirect 2013-09-01
ARGO INFRASTRUCTURE PARTNERS LLC GENERAL PARTNER indirect 2013-12-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1995-12-01
F&C MANAGEMENT LIMITED INDIRECT SHAREHOLDER indirect 2014-01-01
PALADIN INVESTMENT ASSOCIATES, LLC SHAREHOLDER indirect 1995-12-01
INSTITUTIONAL SHAREHOLDER SERVICES INC. OWNER indirect 2014-04-01
ABERDEEN AMERICA INC. MINORITY SHAREHOLDER direct 1996-05-01
AQM CAPITAL LLC MEMBER direct 2014-06-01
KYOBO LIFE ASSET MANAGEMENT (AMERICA) CO., LTD. SOLE MEMBER direct 1996-07-01
RESOLVE ASSET MANAGEMENT INC. OWNER direct 2014-11-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2014-11-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2014-11-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2015-03-01
RYAN LABS ASSET MANAGEMENT INC. SOLE SHAREHOLDER indirect 2015-04-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01
PRIME ADVISORS INC SOLE SHAREHOLDER indirect 2015-07-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01
UBS OCONNOR LLC HOLDING COMPANY direct 2015-08-01
UBS ASSET MANAGEMENT (AMERICAS) INC. SHAREHOLDER indirect 2015-08-01
UBS HEDGE FUND SOLUTIONS LLC HOLDING COMPANY direct 2015-08-01
MCLEAN BUDDEN LIMITED. SHAREHOLDER indirect 1997-12-01
INDOCAM INTERNATIONAL INVESTMENT SERVICES PARENT direct 1998-01-01
FFCM LLC MEMBER direct 2015-11-01
FFCM LLC MEMBER indirect 2015-11-01
ASHMORE INVESTMENT MANAGEMENT LTD PARENT COMPANY direct 1999-02-01
THREESIXTY ELEMENTS S.A. SHAREHOLDER direct 2016-02-01
ASHMORE INVESTMENT MANAGEMENT LTD ULTIMATE PARENT COMPANY indirect 1999-02-01
MAXIMAI INVESTMENT PARTNERS, LLC MANAGING MEMBER direct 2016-09-01
ASHMORE INVESTMENT ADVISORS LIMITED PARENT COMPANY direct 1999-02-01
TILLRIDGE CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2016-12-01
ASHMORE INVESTMENT ADVISORS LIMITED ULTIMATE PARENT COMPANY indirect 1999-02-01
BROOKFIELD SOUNDVEST CAPITAL MANAGEMENT LTD. OWNER direct 2017-01-01
HANWHA ASSET MANAGEMENT (USA) LTD. DIRECT OWNER direct 2017-02-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS SINGAPORE direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED direct 1999-04-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE (HONG KONG) LLC MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01 2001-01-31
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01 2001-01-31
LAZARD ASSET MANAGEMENT CANADA INC SHAREHOLDER indirect 1984-06-01 2001-02-22
LAZARD ASSET MANAGEMENT CANADA INC SHAREHOLDER indirect 1984-06-01 2001-02-22
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1979-06-01 2001-02-28
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1997-05-01 2001-02-28
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-03-28
LADENBURG THALMANN ASSET MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-03-28
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2001-03-28
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LIMITED indirect 2000-06-01 2001-03-29
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-05-11
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2001-05-11
CLAY FINLAY INC 100% SHAREHOLDER OF CLAY FINLAY INC. direct 2001-04-01 2001-05-16
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF UNITED ASSET MANAGEMENT direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL (SOUTH AFRICA) LTD. direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 8.71% SHAREHOLDER OF OLD MUTUAL PLC direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL (NETHERLANDS) B.V. direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL LIFE ASSURANCE CO. (SOUTH AFRICA) LIMITED direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100 SHAREHOLDER OF OM GROUP (UK) LIMITED direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL LIFE HOLDINGS (SOUTH AFRICA) LIMITED direct 2000-09-01 2001-05-17
RS GROWTH GROUP LLC LIMITED PARTNER indirect 1999-03-01 2001-05-22
RS VALUE GROUP LLC LIMITED PARTNER indirect 1999-02-01 2001-05-25
RS INVESTMENT MANAGEMENT LP LLC direct 1999-03-01 2001-05-25
RS INVESTMENT MANAGEMENT INC LLC direct 1999-03-01 2001-05-25
ACADIAN ASSET MANAGEMENT INC 100% SHAREHOLDER OF REGISTRANT direct 2001-04-01 2001-06-06
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 1999-10-01 2001-06-12
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 2000-04-01 2001-06-12
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 1993-03-01 2001-06-12
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LTD indirect 1999-04-01 2001-09-25
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1996-07-01 2001-11-28
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1996-07-01 2001-11-28
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01 2001-11-28
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1997-05-01 2001-11-28
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF CMG FIRST STATE INVESTMENTS GROUP LIMITED indirect 2000-06-01 2001-12-03
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF CMG FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01 2001-12-03
AMERICAN SKANDIA ADVISORY SERVICES, INC. INDIRECT PARENT OF APPLICANT indirect 2000-10-01 2001-12-14
JURIKA & VOYLES LP SHAREHOLDER indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP SUPERVISOR indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP SHAREHOLDER indirect 2000-10-01 2002-01-15
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 13% OF LADENBURG THALMANN FINANACIAL SERVICES direct 1999-12-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2002-01-28
REICH & TANG ASSET MANAGEMENT LP SHAREHOLDER indirect 2000-10-01 2002-01-28
REICH & TANG ASSET MANAGEMENT,LLC SHAREHOLDER indirect 2000-10-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 16.3% OF LADENBURG THALMANN FINANCIAL SERVICES direct 2001-05-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 57.6% OF LADENBURG THALMANN FINANACIAL SERVICES direct 2001-05-01 2002-01-28
RREEF AMERICA LLC AFFILIATE indirect 1998-01-01 2002-03-27
AGF PRIVATE INVESTMENT ADVISORS INC. PARENT COMPANY direct 1971-03-01 2002-05-02
BIOPHARMA CAPITAL LIMITED SHAREHOLDER indirect 2001-04-01 2002-06-17
BIOPHARMA CAPITAL LIMITED TRUST indirect 2001-04-01 2002-06-17
PROEQUITIES INC PARENT direct 1984-08-01 2002-06-25
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF CMG FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01 2002-09-25
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LTD indirect 1999-04-01 2002-09-25
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2000-06-01 2003-01-13
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2000-12-01 2003-01-13
AMERICAN SKANDIA ADVISORY SERVICES, INC. INDIRECT PARENT OF APPLICANT indirect 2000-10-01 2003-03-26
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 6 direct 1986-02-01 2003-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 7 direct 1995-03-01 2003-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 8 direct 1995-07-01 2003-03-27
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2003-03-31
BIOPHARMA CAPITAL LIMITED SHAREHOLDER direct 2001-04-01 2003-05-20
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF BANKMONT FINANCIAL CORP. indirect 1989-09-01 2003-07-31
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF ROBECO INTERNATIONAL B.V. indirect 1997-02-01 2003-09-02
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF ROBECO GROUP N.V. indirect 1997-02-01 2003-09-02
HIM MONEGY, INC. SOLE SHAREHOLDER OF BANKMONT FINANCIAL CORP. indirect 1989-09-01 2003-10-09
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2003-12-04
NEEDELMAN ASSET MANAGEMENT INC MEMBER indirect 2002-08-01 2003-12-09
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY PTY LIMITED indirect 1999-04-01 2004-01-27
THUNDER BAY CAPITAL MANAGEMENT, LP NON-VOTING LIMITED PARTNER - CALEDONIAN BANK & TRUST LIMITED TRUSTEE indirect 2003-02-01 2004-03-19
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 1995-06-01 2004-03-31
HORNBLOWER FISCHER CAPITAL MANAGEMENT CORP. SHAREHOLDER direct 2002-11-01 2004-08-10
CLAYMORE FUND MANAGEMENT COMPANY LLC INDIRECT SHAREHOLDER direct 2001-05-01 2004-08-11
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF APPLICANT direct 1999-03-01 2004-10-12
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 6 direct 2001-05-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 7 direct 2001-05-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 5 direct 1986-02-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 4 direct 1986-02-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 2 direct 1986-11-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER direct 1986-11-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 3 direct 1986-12-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 1 direct 1991-03-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 8 direct 1995-03-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 9 direct 1995-07-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 10 direct 1995-07-01 2004-12-13
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2003-10-01 2005-03-02
LAZARD ASSET MANAGEMENT LLC GENERAL MEMBER indirect 2000-03-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC OWNER indirect 2001-04-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 direct 2001-05-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 8: SHAREHOLDER OF 7 direct 2001-05-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 1986-02-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 9: SHAREHOLDER OF 8 direct 1995-03-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 10: SHAREHOLDER OF 9 direct 1995-07-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 11: SHAREHOLDER OF 10 direct 1995-07-01 2005-03-29
LAZARD ASSET MANAGEMENT (CANADA)INC GENERAL MEMBER indirect 2000-03-01 2005-03-30
LAZARD ALTERNATIVES, LLC GENERAL MEMBER indirect 2000-03-01 2005-03-30
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF APPLICANT direct 2003-12-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF THE COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 1999-04-01 2005-06-07
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 2000-06-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2000-06-01 2005-10-03
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL HOLDING COMPANY (NO.2) PTY LIMITED indirect 1999-04-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF THE COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 1999-04-01 2005-10-03
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL HOLDING COMPANY PTY LIMITED indirect 1999-04-01 2005-10-03
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2006-03-31
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY LIMITED indirect 1999-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC ULTIMATE HOLDING COMPANY indirect 2000-06-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2000-06-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 2005-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 2005-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY (NO.2) PTY LIMITED indirect 1999-04-01 2006-04-10
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01 2006-06-02
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01 2006-06-07
DAISHIN INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER direct 1999-08-01 2006-06-28
STANDARD PACIFIC CAPITAL LLC MEMBER indirect 2006-01-01 2006-07-20
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2004-11-01 2006-12-04
AGF PRIVATE INVESTMENT ADVISORS INC. 100% OWNER PARENT indirect 2001-07-01 2007-02-05
CYPRESS CAPITAL MANAGEMENT US LIMITED 100% OWNER PARENT indirect 2004-06-01 2007-02-09
FIRST STATE (HONG KONG) LLC MEMBER/HOLDING COMPANY OF MANAGING MEMBER direct 1999-04-01 2007-03-07
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2005-02-01 2007-03-24
MARTIN CURRIE INC INDIRECT OWNER indirect 2001-12-01 2007-03-29
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2007-03-30
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 1986-02-01 2007-08-09
FAIRFIELD GREENWICH ADVISORS LLC SHAREHOLDER indirect 2001-10-01 2008-03-26
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 2005-03-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 indirect 2005-03-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 direct 2006-01-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 indirect 2006-01-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 direct 1986-02-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 1986-02-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 direct 1986-11-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 indirect 1986-11-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 indirect 1986-12-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 direct 1986-12-01 2008-03-27
JUNO MOTHER EARTH ASSET MANAGEMENT, LLC MEMBER direct 2007-01-01 2008-04-30
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 3: SHAREHOLDER OF 2 direct 2006-01-01 2008-06-10
HAMON US INVESTMENT ADVISORS LTD CORPORATION direct 1989-07-01 2008-07-10
HAMON U.S. INVESTMENT ADVISORS LIMITED CORPORATION indirect 1992-03-01 2008-07-10
HAMON US INVESTMENT ADVISORS LTD CORPORATION indirect 1995-12-01 2008-07-10
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. SHAREHOLDER indirect 2007-10-01 2009-06-09
AGF ASSET MANAGEMENT GROUP US LIMITED SHAREHOLDER direct 2007-10-01 2009-06-09
YORK ASSET MANAGEMENT INC. OWNER indirect 2001-05-01 2010-01-12
YORK ASSET MANAGEMENT INC. TRUSTEE indirect 2001-12-01 2010-01-12
YORK ASSET MANAGEMENT INC. OWNER direct 2009-12-01 2010-01-12
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2010-03-26
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2010-03-26
TETRAGON FINANCIAL MANAGEMENT L.P. MEMBER indirect 2005-05-01 2010-12-22
TETRAGON FINANCIAL MANAGEMENT L.P. LIMITED PARTNER direct 2005-07-01 2010-12-22
TETRAGON FINANCIAL MANAGEMENT L.P. LIMITED PARTNER indirect 2007-12-01 2010-12-22
POLYGON MANAGEMENT L.P. GENERAL PARTNER direct 2009-06-01 2010-12-22
POLYGON MANAGEMENT L.P. GENERAL PARTNER indirect 2010-06-01 2010-12-22
POLYGON MANAGEMENT L.P. LIMITED PARTNER direct 2010-06-01 2010-12-22
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 4: SHAREHOLDER OF SHAREHOLDER 3 indirect 2006-01-01 2011-03-31
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-04-01
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2011-06-30
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2010-10-01 2011-06-30
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-08-05
HIM MONEGY, INC. SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-08-08
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER direct 1989-07-01 2012-03-28
BISCAYNEAMERICAS ADVISERS L.L.C. MEMBER OF V-HENRIQUEZ HOLDINGS, LLC indirect 2005-12-01 2012-03-30
BISCAYNEAMERICAS ADVISERS L.L.C. SHAREHOLDER OF LW INVESTMENT MANAGEMENT, LTD. indirect 2007-12-01 2012-03-30
HIM MONEGY, INC. SOLE SHAREHOLDER OF HARRIS INVESTMENT MANAGEMENT, INC. indirect 1989-09-01 2012-03-30
SALLFORT ADVISORS LTD. SHAREHOLDER direct 2009-12-01 2012-04-24
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 direct 2005-03-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 2006-01-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 direct 1986-02-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 direct 2008-06-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 2: SHAREHOLDER OF 1 direct 1991-03-01 2012-07-16
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS HOLDINGS indirect 1999-04-01 2012-08-16
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER indirect 1999-04-01 2012-08-16
HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-12-01 2012-12-13
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2004-11-01 2013-01-04
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2013-01-04
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 1997-12-01 2013-01-04
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01 2013-01-18
MARTIN CURRIE INC INDIRECT SHAREHOLDER indirect 2007-11-01 2014-07-30
KYOBO LIFE ASSET MANAGEMENT (AMERICA) CO., LTD. DIRECT OWNER direct 1996-07-01 2015-01-12
CABEZON INVESTMENT GROUP, LLC OWNER indirect 2001-08-01 2015-03-31
CABEZON INVESTMENT GROUP, LLC OWNER indirect 2003-03-01 2015-03-31
GUGGENHEIM PARTNERS LATIN AMERICA, INC. MEMBER indirect 2012-10-01 2015-03-31
UBS AGRIVEST LLC SHAREHOLDER indirect 2015-08-01 2015-09-01
UBS REALTY INVESTORS LLC SHAREHOLDER indirect 2015-08-01 2015-09-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED indirect 1999-04-01 2015-09-29
RESOLVE ASSET MANAGEMENT INC. OWNER direct 2015-02-01 2015-12-11
THREESIXTY ELEMENTS S.A. OWNER direct 2015-07-01 2016-01-12
HERITAGE INSTITUTIONAL SERVICES, LLC OWNER indirect 2010-12-01 2016-04-19
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2005-01-01 2016-06-15
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01 2016-07-25
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2005-01-01 2016-10-14
SUN CAPITAL ADVISERS LLC SOLE SHAREHOLDER indirect 2004-12-01 2016-12-21
DEVERE USA INC. SHAREHOLDER indirect 2012-02-01 2017-04-26
DEVERE USA INC. SHAREHOLDER indirect 2012-02-01 2017-05-31
Harford, Suni HEAD OF INVESTMENTS, UBS ASSET MANAGEMENT 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
UBS ASSET MANAGEMENT (AMERICAS) INC. VICE PRESIDENT direct 2017-09-01
RUSSELL, KEVIN, GARY CHIEF INVESTMENT OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
UBS OCONNOR LLC CHIEF INVESTMENT OFFICER direct 2016-01-01
ESPOSITO, MICHAEL, NICHOLAS CHIEF COMPLIANCE OFFICER 06/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
UBS OCONNOR LLC CHIEF COMPLIANCE OFFICER direct 2019-06-01
UBS GROUP AG PARENT COMPANY UBS AG 11/01/2014 Indirect 75% or more
UBS AG (ZURICH) MEMBER UBS AMERICAS HOLDING LLC 04/01/2004 Indirect 75% or more

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NINETEEN77 CAPITAL SOLUTIONS LP United States 805-7569811422 Hedge Fund 469,023,500 5,000,000 Master Fund
NINETEEN77 GLOBAL FUNDAMENTAL MARKET NEUTRAL LONG/SHORT MASTER LIMITED Cayman Islands 805-6199890809 Hedge Fund 81,773,100 1,000,000 Master Fund Fund of Funds
NINETEEN77 TRADING VALUE LLC United States 805-1602073469 Hedge Fund 756,540 250,000 Fund of Funds
NINETEEN77 GLOBAL MULTI-STRATEGY ALPHA MASTER LIMITED Cayman Islands 805-5240649620 Hedge Fund 5,310,287,482 5,000,000 Master Fund Fund of Funds
NINETEEN77 GLOBAL MERGER ARBITRAGE MASTER LIMITED Cayman Islands 805-9968480067 Hedge Fund 1,508,762,787 5,000,000 Master Fund
NINETEEN77 GLOBAL MULTI STRATEGY ALPHA IV LIMITED Cayman Islands 805-2802512619 Hedge Fund 69,450,516 100,000
NINETEEN77 CAPITAL SOLUTIONS A LP United States 805-7111287061 Hedge Fund 469,023,500 5,000,000 Master Fund
OC 535 OFFSHORE FUND SPC - SEGREGATED PORTFOLIO 5 Cayman Islands 805-3868060572 Hedge Fund 379,774,519 100,000

UBS OCONNOR LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
VAGRA, NICHOLAS, JAMES CHIEF OPERATING OFFICER HEAD OF OCONNOR 01/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
UBS OCONNOR LLC CHIEF OPERATING OFFICER direct 2001-08-01
UBS OCONNOR LLC CHIEF OPERATING OFFICER direct 2004-01-01
UBS OCONNOR LLC CHIEF OPERATING OFFICER HEAD OF OCONNOR direct 2004-01-01
UBS EUCALYPTUS MANAGEMENT, L.L.C. CHIEF OPERATING OFFICER direct 2010-10-01
UBS WILLOW MANAGEMENT, L.L.C. CHIEF OPERATING OFFICER direct 2010-10-01
UBS JUNIPER MANAGEMENT, L.L.C. CHIEF OPERATING OFFICER direct 2010-10-01
DSI INTERNATIONAL MANAGEMENT, INC. CHIEF OPERATING OFFICER direct 2004-01-01
UBS TAMARACK MANAGEMENT, L.L.C. CHIEF OPERATING OFFICER direct 2010-10-01
UBS ALTERNATIVE AND QUANTITATIVE INVESTMENTS LLC CHIEF OPERATING OFFICER direct 2004-04-01
UBS O'CONNOR LIMITED CHIEF OPERATING OFFICER direct 2004-01-01
DIGANGI, SALVATORE CHIEF COMPLIANCE OFFICER 09/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
UBS OCONNOR LLC CHIEF COMPLIANCE OFFICER direct 2013-09-01
HOLLENBECK, ANDREW, D GENERAL COUNSEL 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
UBS OCONNOR LLC GENERAL COUNSEL direct 2013-11-01
UBS AMERICAS HOLDING LLC HOLDING COMPANY 08/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FSIB LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS HOLDINGS (SINGAPORE) indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) MEMBER/HOLDING COMPANY OF MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 1999-04-01
ACKER FINLEY ASSET MANAGEMENT USA INC. SHAREHOLDER direct 1999-07-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP SHAREHOLDER indirect 2000-01-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01
K.K. JERMYN CAPITAL SHAREHOLDER direct 2000-02-01
LAZARD PENSION MANAGEMENT INC GENERAL MEMBER indirect 2000-03-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC GENERAL MEMBER indirect 2000-03-01
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 2000-06-01
PANGAEA ASSET MANAGEMENT, LLC MEMBER indirect 2000-06-01
ACCESS INVESTMENT ADVISORS LLC SHAREHOLDER indirect 2000-08-01
MARTIN CURRIE GLOBAL INVESTORS LIMITED PARENT COMPANY direct 2000-08-01
KOBRICK FUNDS LLC SHAREHOLDER indirect 2000-10-01
KOBRICK FUNDS LLC SUPERVISOR indirect 2000-10-01
KOBRICK FUNDS LLC SHAREHOLDER indirect 2000-10-01
LAZARD DEBT RECOVERY MANAGEMENT OWNER indirect 2001-04-01
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 2001-05-01
YORK ASSET MANAGEMENT LIMITED OWNER indirect 2001-05-01
LADENBURG THALMANN FUND MANAGEMENT LLC SHAREHOLDER indirect 2001-05-01
YORK ASSET MANAGEMENT LIMITED OWNER direct 2001-05-01
AGF PRIVATE INVESTMENT ADVISORS INC. PARENT COMPANY direct 2001-07-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP SHAREHOLDER indirect 2001-09-01
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2001-10-01
SUTRO & CO. INCORPORATED INDIRECT OWNER indirect 2001-10-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 2001-11-01
YORK ASSET MANAGEMENT LIMITED TRUSTEE indirect 2001-12-01
BTC CAPITAL MANAGEMENT, INC. CONTROL PERSON indirect 2002-03-01
POLYGON INVESTMENTS LTD. EQUITYHOLDER direct 2002-11-01
REAL ESTATE CAPITAL PARTNERS LP OWNER indirect 2002-12-01
ALPHA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2003-01-01
ALPHA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2003-01-01
THUNDER BAY CAPITAL MANAGEMENT, LP NON - VOTING LIMITED PARTNER direct 2003-02-01
THUNDER BAY CAPITAL MANAGEMENT, LP TRUSTEE- AB 2003 TRUST direct 2003-02-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP TRUSTEE indirect 2003-05-01
AEON CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2003-07-01
BIOPHARMA CAPITAL LIMITED SHAREHOLDER direct 2003-11-01
ALPHA INVESTMENT MANAGEMENT LLC MEMBER direct 2004-01-01
REAL ESTATE CAPITAL PARTNERS LP OWNER indirect 2004-07-01
MCLEAN BUDDEN LIMITED. SHAREHOLDER indirect 2004-11-01
RYAN LABS ASSET MANAGEMENT INC. SOLE SHAREHOLDER indirect 2004-12-01
LAJU (CAYMAN) LIMITED LISTED COMPANY indirect 1969-07-01
SUN LIFE INSTITUTIONAL INVESTMENTS (U.S.) LLC SOLE SHAREHOLDER indirect 2004-12-01
MARTIN CURRIE INC PARENT COMPANY direct 1978-10-01
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED PARENT COMPANY direct 1978-10-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1979-06-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 2005-03-01
ALPHA INVESTMENT MANAGEMENT LLC SOLE SHAREHOLDER indirect 1984-05-01
TRAFALGAR CAPITAL MANAGEMENT (UK) LLP DESIGNATED MEMBER direct 2005-03-01
BLACKSQUARE CAPITAL LLP OWNER indirect 2005-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
POLYGON CREDIT HOLDINGS LTD. EQUITYHOLDER direct 2005-07-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
CYPRESS CAPITAL MANAGEMENT US LIMITED PARENT COMPANY direct 2005-11-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 indirect 2006-01-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 3: SHAREHOLDER OF SHAREHOLDER 2 indirect 2006-01-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
LAZARD DEBT RECOVERY MANAGEMENT SHAREHOLDER indirect 1984-06-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 2006-04-01
BOSTON ADVISORS, LLC MEMBER direct 2006-04-01
LAZARD DEBT RECOVERY MANAGEMENT, LLC SHAREHOLDER indirect 1984-06-01
FIRST STATE (HONG KONG) LLC ULTIMATE HOLDING COMPANY indirect 2006-04-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2006-04-01
K.J. HARRISON & PARTNERS (USA) INC. CORPORATION direct 2006-12-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED indirect 2007-06-01
HIGHSTREET ASSET MANAGEMENT U.S. INC. PARENT COMPANY indirect 2007-09-01
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. SHAREHOLDER indirect 1985-06-01
CYPRESS CAPITAL MANAGEMENT US LIMITED 100% OWNER PARENT indirect 2007-10-01
CYPRESS CAPITAL MANAGEMENT US LIMITED SHAREHOLDER indirect 1985-06-01
LASAIR CAPITAL LLC CLASS B MEMBER indirect 2007-10-01
AGF PRIVATE INVESTMENT ADVISORS INC. SHAREHOLDER indirect 1985-06-01
AGF PRIVATE INVESTMENT ADVISORS INC. SHAREHOLDER indirect 2007-10-01
LASAIR CAPITAL LLC MANAGING MEMBER direct 2007-10-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 indirect 1986-02-01
CYPRESS CAPITAL MANAGEMENT US LIMITED SHAREHOLDER indirect 2007-10-01
AGF PRIVATE INVESTMENT ADVISORS INC. 100% OWNER PARENT indirect 2007-10-01
HIGHSTREET ASSET MANAGEMENT U.S. INC. PARENT COMPANY indirect 2007-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 1: SHAREHOLDER OF APPLICANT direct 1986-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 indirect 2008-06-01
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01
HIGHSTREET U.S. ASSET MANAGEMENT INC. PARENT COMPANY direct 2009-02-01
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. DIRECT OWNER direct 2009-06-01
DAISHIN INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER direct 1988-03-01
KESTREL PARTNERS LLP SHAREHOLDER indirect 2009-06-01
HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-12-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1989-07-01
FINANCIALADVICE4ME, LLC MEMBER direct 2009-12-01
BMO ASSET MANAGEMENT CORP. SOLE SHAREHOLDER OF BMO FINANCIAL CORP. indirect 1989-09-01
HANWHA ASSET MANAGEMENT (USA) LTD. DIRECT OWNER indirect 2010-06-01
MONEGY, INC. SOLE SHAREHOLDER OF BMO FINANCIAL CORP. indirect 1989-09-01
INSTITUTIONAL SHAREHOLDER SERVICES INC. GENERAL PARTNER indirect 2010-08-01
CICC INVESTMENT MANAGEMENT (USA), INC. SOLE SHAREHOLDER indirect 2010-11-01
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 2: SHAREHOLDER OF 1 indirect 1991-03-01
CICC INVESTMENT MANAGEMENT (USA), INC. SHAREHOLDER indirect 2010-11-01
CICC INVESTMENT MANAGEMENT (USA), INC. SHAREHOLDER indirect 2010-11-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1992-03-01
CICC INVESTMENT MANAGEMENT (USA), INC. SOLE SHAREHOLDER indirect 2010-11-01
NEPHILA CAPITAL LTD. SHAREHOLDER indirect 2010-12-01
FUJI-LORD ABBETT INTERNATIONAL, LTD SHAREHOLDER direct 1992-06-01
NEPHILA ADVISORS LLC SHAREHOLDER indirect 2010-12-01
EDINBURGH FUND MANAGERS PLC SHAREHOLDER direct 1995-04-01
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 6: SHAREHOLDER OF SHAREHOLDER 5 indirect 2012-02-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER direct 2012-06-01
SWISS AMERICAN ADVISORS LTD. SHAREHOLDER direct 2012-06-01
ELEVAR EQUITY MANAGEMENT LIMITED OWNER direct 2012-11-01
FORTIS ADVISORS, LLC GENERAL PARTNER indirect 2013-09-01
ARGO INFRASTRUCTURE PARTNERS LLC GENERAL PARTNER indirect 2013-12-01
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER indirect 1995-12-01
F&C MANAGEMENT LIMITED INDIRECT SHAREHOLDER indirect 2014-01-01
PALADIN INVESTMENT ASSOCIATES, LLC SHAREHOLDER indirect 1995-12-01
INSTITUTIONAL SHAREHOLDER SERVICES INC. OWNER indirect 2014-04-01
ABERDEEN AMERICA INC. MINORITY SHAREHOLDER direct 1996-05-01
AQM CAPITAL LLC MEMBER direct 2014-06-01
KYOBO LIFE ASSET MANAGEMENT (AMERICA) CO., LTD. SOLE MEMBER direct 1996-07-01
RESOLVE ASSET MANAGEMENT INC. OWNER direct 2014-11-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2014-11-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2014-11-01
SOLUS ALTERNATIVE ASSET MANAGEMENT LP LIMITED PARTNER direct 2015-03-01
RYAN LABS ASSET MANAGEMENT INC. SOLE SHAREHOLDER indirect 2015-04-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01
PRIME ADVISORS INC SOLE SHAREHOLDER indirect 2015-07-01
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01
UBS OCONNOR LLC HOLDING COMPANY direct 2015-08-01
UBS ASSET MANAGEMENT (AMERICAS) INC. SHAREHOLDER indirect 2015-08-01
UBS HEDGE FUND SOLUTIONS LLC HOLDING COMPANY direct 2015-08-01
MCLEAN BUDDEN LIMITED. SHAREHOLDER indirect 1997-12-01
INDOCAM INTERNATIONAL INVESTMENT SERVICES PARENT direct 1998-01-01
FFCM LLC MEMBER direct 2015-11-01
FFCM LLC MEMBER indirect 2015-11-01
ASHMORE INVESTMENT MANAGEMENT LTD PARENT COMPANY direct 1999-02-01
THREESIXTY ELEMENTS S.A. SHAREHOLDER direct 2016-02-01
ASHMORE INVESTMENT MANAGEMENT LTD ULTIMATE PARENT COMPANY indirect 1999-02-01
MAXIMAI INVESTMENT PARTNERS, LLC MANAGING MEMBER direct 2016-09-01
ASHMORE INVESTMENT ADVISORS LIMITED PARENT COMPANY direct 1999-02-01
TILLRIDGE CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 2016-12-01
ASHMORE INVESTMENT ADVISORS LIMITED ULTIMATE PARENT COMPANY indirect 1999-02-01
BROOKFIELD SOUNDVEST CAPITAL MANAGEMENT LTD. OWNER direct 2017-01-01
HANWHA ASSET MANAGEMENT (USA) LTD. DIRECT OWNER direct 2017-02-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS SINGAPORE direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED direct 1999-04-01
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
FIRST STATE (HONG KONG) LLC MANAGING MEMBER direct 1999-04-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01 2001-01-31
LAZARD PENSION MANAGEMENT INC SHAREHOLDER indirect 1984-06-01 2001-01-31
LAZARD ASSET MANAGEMENT CANADA INC SHAREHOLDER indirect 1984-06-01 2001-02-22
LAZARD ASSET MANAGEMENT CANADA INC SHAREHOLDER indirect 1984-06-01 2001-02-22
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1979-06-01 2001-02-28
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1997-05-01 2001-02-28
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-03-28
LADENBURG THALMANN ASSET MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-03-28
LADENBURG THALMANN FUND MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2001-03-28
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LIMITED indirect 2000-06-01 2001-03-29
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 1999-12-01 2001-05-11
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2001-05-11
CLAY FINLAY INC 100% SHAREHOLDER OF CLAY FINLAY INC. direct 2001-04-01 2001-05-16
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF UNITED ASSET MANAGEMENT direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL (SOUTH AFRICA) LTD. direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 8.71% SHAREHOLDER OF OLD MUTUAL PLC direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL (NETHERLANDS) B.V. direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL LIFE ASSURANCE CO. (SOUTH AFRICA) LIMITED direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100 SHAREHOLDER OF OM GROUP (UK) LIMITED direct 2000-09-01 2001-05-17
NORTHERN CAPITAL MANAGEMENT LLC 100% SHAREHOLDER OF OLD MUTUAL LIFE HOLDINGS (SOUTH AFRICA) LIMITED direct 2000-09-01 2001-05-17
RS GROWTH GROUP LLC LIMITED PARTNER indirect 1999-03-01 2001-05-22
RS VALUE GROUP LLC LIMITED PARTNER indirect 1999-02-01 2001-05-25
RS INVESTMENT MANAGEMENT LP LLC direct 1999-03-01 2001-05-25
RS INVESTMENT MANAGEMENT INC LLC direct 1999-03-01 2001-05-25
ACADIAN ASSET MANAGEMENT INC 100% SHAREHOLDER OF REGISTRANT direct 2001-04-01 2001-06-06
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 1999-10-01 2001-06-12
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 2000-04-01 2001-06-12
CDC IXIS ASSET MANAGEMENT SHAREHOLDER direct 1993-03-01 2001-06-12
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LTD indirect 1999-04-01 2001-09-25
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1996-07-01 2001-11-28
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1996-07-01 2001-11-28
CREDIT AGRICOLE ASSET MANAGEMENT US ADVISORY SERVICES STOCKHOLDER indirect 1997-05-01 2001-11-28
INDOCAM INTERNATIONAL INVESTMENT SERVICES STOCKHOLDER indirect 1997-05-01 2001-11-28
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF CMG FIRST STATE INVESTMENTS GROUP LIMITED indirect 2000-06-01 2001-12-03
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF CMG FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01 2001-12-03
AMERICAN SKANDIA ADVISORY SERVICES, INC. INDIRECT PARENT OF APPLICANT indirect 2000-10-01 2001-12-14
JURIKA & VOYLES LP SHAREHOLDER indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP SUPERVISOR indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP SHAREHOLDER indirect 2000-10-01 2002-01-15
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 13% OF LADENBURG THALMANN FINANACIAL SERVICES direct 1999-12-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC INDIRECT SHAREHOLDER direct 2000-08-01 2002-01-28
REICH & TANG ASSET MANAGEMENT LP SHAREHOLDER indirect 2000-10-01 2002-01-28
REICH & TANG ASSET MANAGEMENT,LLC SHAREHOLDER indirect 2000-10-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 16.3% OF LADENBURG THALMANN FINANCIAL SERVICES direct 2001-05-01 2002-01-28
LADENBURG THALMANN ASSET MANAGEMENT INC OWNS 57.6% OF LADENBURG THALMANN FINANACIAL SERVICES direct 2001-05-01 2002-01-28
RREEF AMERICA LLC AFFILIATE indirect 1998-01-01 2002-03-27
AGF PRIVATE INVESTMENT ADVISORS INC. PARENT COMPANY direct 1971-03-01 2002-05-02
BIOPHARMA CAPITAL LIMITED SHAREHOLDER indirect 2001-04-01 2002-06-17
BIOPHARMA CAPITAL LIMITED TRUST indirect 2001-04-01 2002-06-17
PROEQUITIES INC PARENT direct 1984-08-01 2002-06-25
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF CMG FIRST STATE INVESTMENT MANAGERS (ASIA) LIMITED indirect 1999-04-01 2002-09-25
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE INVESTMENTS GROUP LTD indirect 1999-04-01 2002-09-25
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2000-06-01 2003-01-13
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2000-12-01 2003-01-13
AMERICAN SKANDIA ADVISORY SERVICES, INC. INDIRECT PARENT OF APPLICANT indirect 2000-10-01 2003-03-26
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 6 direct 1986-02-01 2003-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 7 direct 1995-03-01 2003-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 8 direct 1995-07-01 2003-03-27
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2003-03-31
BIOPHARMA CAPITAL LIMITED SHAREHOLDER direct 2001-04-01 2003-05-20
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF BANKMONT FINANCIAL CORP. indirect 1989-09-01 2003-07-31
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF ROBECO INTERNATIONAL B.V. indirect 1997-02-01 2003-09-02
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF ROBECO GROUP N.V. indirect 1997-02-01 2003-09-02
HIM MONEGY, INC. SOLE SHAREHOLDER OF BANKMONT FINANCIAL CORP. indirect 1989-09-01 2003-10-09
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2003-12-04
NEEDELMAN ASSET MANAGEMENT INC MEMBER indirect 2002-08-01 2003-12-09
CMG FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY PTY LIMITED indirect 1999-04-01 2004-01-27
THUNDER BAY CAPITAL MANAGEMENT, LP NON-VOTING LIMITED PARTNER - CALEDONIAN BANK & TRUST LIMITED TRUSTEE indirect 2003-02-01 2004-03-19
FINANCIAL PARTNERS CAPITAL MANAGEMENT INC INDIRECT SHAREHOLDER direct 1995-06-01 2004-03-31
HORNBLOWER FISCHER CAPITAL MANAGEMENT CORP. SHAREHOLDER direct 2002-11-01 2004-08-10
CLAYMORE FUND MANAGEMENT COMPANY LLC INDIRECT SHAREHOLDER direct 2001-05-01 2004-08-11
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF APPLICANT direct 1999-03-01 2004-10-12
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 6 direct 2001-05-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 7 direct 2001-05-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 5 direct 1986-02-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 4 direct 1986-02-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 2 direct 1986-11-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER direct 1986-11-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 3 direct 1986-12-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 1 direct 1991-03-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 8 direct 1995-03-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 9 direct 1995-07-01 2004-12-13
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER OF 10 direct 1995-07-01 2004-12-13
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2003-10-01 2005-03-02
LAZARD ASSET MANAGEMENT LLC GENERAL MEMBER indirect 2000-03-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC OWNER indirect 2001-04-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 direct 2001-05-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 8: SHAREHOLDER OF 7 direct 2001-05-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
LAZARD ASSET MANAGEMENT LLC SHAREHOLDER indirect 1984-06-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 1986-02-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 9: SHAREHOLDER OF 8 direct 1995-03-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 10: SHAREHOLDER OF 9 direct 1995-07-01 2005-03-29
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 11: SHAREHOLDER OF 10 direct 1995-07-01 2005-03-29
LAZARD ASSET MANAGEMENT (CANADA)INC GENERAL MEMBER indirect 2000-03-01 2005-03-30
LAZARD ALTERNATIVES, LLC GENERAL MEMBER indirect 2000-03-01 2005-03-30
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC SHAREHOLDER OF APPLICANT direct 2003-12-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ASSET MANAGEMENT (CANADA)INC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
LAZARD ALTERNATIVES, LLC SHAREHOLDER indirect 1984-06-01 2005-03-30
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF THE COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 1999-04-01 2005-06-07
FIRST STATE INVESTMENTS (SINGAPORE) ULTIMATE HOLDING COMPANY indirect 2000-06-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2000-06-01 2005-10-03
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL HOLDING COMPANY (NO.2) PTY LIMITED indirect 1999-04-01 2005-10-03
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF THE COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 1999-04-01 2005-10-03
CMG FIRST STATE SINGAPORE HOLDING COMPANY OF COLONIAL HOLDING COMPANY PTY LIMITED indirect 1999-04-01 2005-10-03
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2006-03-31
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY LIMITED indirect 1999-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC ULTIMATE HOLDING COMPANY indirect 2000-06-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL FIRST STATE GROUP LIMITED indirect 2000-06-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL MUTUAL LIFE ASSURANCE SOCIETY LIMITED indirect 2005-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COMMONWEALTH INSURANCE HOLDINGS LIMITED indirect 2005-04-01 2006-04-10
FIRST STATE (HONG KONG) LLC HOLDING COMPANY OF COLONIAL HOLDING COMPANY (NO.2) PTY LIMITED indirect 1999-04-01 2006-04-10
K.K. JERMYN CAPITAL SHAREHOLDER indirect 2000-02-01 2006-06-02
JERMYN CAPITAL (SINGAPORE) PTE. LTD. SHAREHOLDER indirect 2000-02-01 2006-06-07
DAISHIN INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER direct 1999-08-01 2006-06-28
STANDARD PACIFIC CAPITAL LLC MEMBER indirect 2006-01-01 2006-07-20
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2004-11-01 2006-12-04
AGF PRIVATE INVESTMENT ADVISORS INC. 100% OWNER PARENT indirect 2001-07-01 2007-02-05
CYPRESS CAPITAL MANAGEMENT US LIMITED 100% OWNER PARENT indirect 2004-06-01 2007-02-09
FIRST STATE (HONG KONG) LLC MEMBER/HOLDING COMPANY OF MANAGING MEMBER direct 1999-04-01 2007-03-07
TBK INVESTMENTS, INC. DIRECT SHAREHOLDER direct 2005-02-01 2007-03-24
MARTIN CURRIE INC INDIRECT OWNER indirect 2001-12-01 2007-03-29
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2007-03-30
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 1986-02-01 2007-08-09
FAIRFIELD GREENWICH ADVISORS LLC SHAREHOLDER indirect 2001-10-01 2008-03-26
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 2005-03-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 indirect 2005-03-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 direct 2006-01-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 7: SHAREHOLDER OF 6 indirect 2006-01-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 direct 1986-02-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 indirect 1986-02-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 direct 1986-11-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 indirect 1986-11-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 indirect 1986-12-01 2008-03-27
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 direct 1986-12-01 2008-03-27
JUNO MOTHER EARTH ASSET MANAGEMENT, LLC MEMBER direct 2007-01-01 2008-04-30
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 3: SHAREHOLDER OF 2 direct 2006-01-01 2008-06-10
HAMON US INVESTMENT ADVISORS LTD CORPORATION direct 1989-07-01 2008-07-10
HAMON U.S. INVESTMENT ADVISORS LIMITED CORPORATION indirect 1992-03-01 2008-07-10
HAMON US INVESTMENT ADVISORS LTD CORPORATION indirect 1995-12-01 2008-07-10
AGF INVESTMENTS AMERICA INC. / PLACEMENTS AGF AMÉRIQUE INC. SHAREHOLDER indirect 2007-10-01 2009-06-09
AGF ASSET MANAGEMENT GROUP US LIMITED SHAREHOLDER direct 2007-10-01 2009-06-09
YORK ASSET MANAGEMENT INC. OWNER indirect 2001-05-01 2010-01-12
YORK ASSET MANAGEMENT INC. TRUSTEE indirect 2001-12-01 2010-01-12
YORK ASSET MANAGEMENT INC. OWNER direct 2009-12-01 2010-01-12
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2010-03-26
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2010-03-26
TETRAGON FINANCIAL MANAGEMENT L.P. MEMBER indirect 2005-05-01 2010-12-22
TETRAGON FINANCIAL MANAGEMENT L.P. LIMITED PARTNER direct 2005-07-01 2010-12-22
TETRAGON FINANCIAL MANAGEMENT L.P. LIMITED PARTNER indirect 2007-12-01 2010-12-22
POLYGON MANAGEMENT L.P. GENERAL PARTNER direct 2009-06-01 2010-12-22
POLYGON MANAGEMENT L.P. GENERAL PARTNER indirect 2010-06-01 2010-12-22
POLYGON MANAGEMENT L.P. LIMITED PARTNER direct 2010-06-01 2010-12-22
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 4: SHAREHOLDER OF SHAREHOLDER 3 indirect 2006-01-01 2011-03-31
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-04-01
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2009-01-01 2011-06-30
THREADNEEDLE INTERNATIONAL LTD. STOCKHOLDER indirect 2010-10-01 2011-06-30
HARRIS INVESTMENT MANAGEMENT INC SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-08-05
HIM MONEGY, INC. SOLE SHAREHOLDER OF HARRIS FINANCIAL CORP. indirect 1989-09-01 2011-08-08
HAMON ASIAN ADVISORS LIMITED SHAREHOLDER direct 1989-07-01 2012-03-28
BISCAYNEAMERICAS ADVISERS L.L.C. MEMBER OF V-HENRIQUEZ HOLDINGS, LLC indirect 2005-12-01 2012-03-30
BISCAYNEAMERICAS ADVISERS L.L.C. SHAREHOLDER OF LW INVESTMENT MANAGEMENT, LTD. indirect 2007-12-01 2012-03-30
HIM MONEGY, INC. SOLE SHAREHOLDER OF HARRIS INVESTMENT MANAGEMENT, INC. indirect 1989-09-01 2012-03-30
SALLFORT ADVISORS LTD. SHAREHOLDER direct 2009-12-01 2012-04-24
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 5: SHAREHOLDER OF 4 direct 2005-03-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 6: SHAREHOLDER OF 5 direct 2006-01-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 4: SHAREHOLDER OF 3 direct 1986-02-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 3: SHAREHOLDER OF 2 direct 2008-06-01 2012-07-16
BARING ASSET MANAGEMENT (ASIA) LIMITED SHAREHOLDER 2: SHAREHOLDER OF 1 direct 1991-03-01 2012-07-16
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS HOLDINGS indirect 1999-04-01 2012-08-16
FIRST STATE INVESTMENTS (SINGAPORE) MANAGING MEMBER indirect 1999-04-01 2012-08-16
HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-12-01 2012-12-13
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2004-11-01 2013-01-04
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2004-11-01 2013-01-04
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 1997-12-01 2013-01-04
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01 2013-01-18
MARTIN CURRIE INC INDIRECT SHAREHOLDER indirect 2007-11-01 2014-07-30
KYOBO LIFE ASSET MANAGEMENT (AMERICA) CO., LTD. DIRECT OWNER direct 1996-07-01 2015-01-12
CABEZON INVESTMENT GROUP, LLC OWNER indirect 2001-08-01 2015-03-31
CABEZON INVESTMENT GROUP, LLC OWNER indirect 2003-03-01 2015-03-31
GUGGENHEIM PARTNERS LATIN AMERICA, INC. MEMBER indirect 2012-10-01 2015-03-31
UBS AGRIVEST LLC SHAREHOLDER indirect 2015-08-01 2015-09-01
UBS REALTY INVESTORS LLC SHAREHOLDER indirect 2015-08-01 2015-09-01
FIRST STATE INVESTMENTS (SINGAPORE) HOLDING COMPANY OF FIRST STATE INVESTMENTS (BERMUDA) LIMITED indirect 1999-04-01 2015-09-29
RESOLVE ASSET MANAGEMENT INC. OWNER direct 2015-02-01 2015-12-11
THREESIXTY ELEMENTS S.A. OWNER direct 2015-07-01 2016-01-12
HERITAGE INSTITUTIONAL SERVICES, LLC OWNER indirect 2010-12-01 2016-04-19
MASSACHUSETTS FINANCIAL SERVICES COMPANY SHAREHOLDER indirect 2005-01-01 2016-06-15
BARING INTERNATIONAL INVESTMENT LTD SHAREHOLDER 5: SHAREHOLDER OF SHAREHOLDER 4 indirect 2012-02-01 2016-07-25
MFS INSTITUTIONAL ADVISORS INC. SHAREHOLDER indirect 2005-01-01 2016-10-14
SUN CAPITAL ADVISERS LLC SOLE SHAREHOLDER indirect 2004-12-01 2016-12-21
DEVERE USA INC. SHAREHOLDER indirect 2012-02-01 2017-04-26
DEVERE USA INC. SHAREHOLDER indirect 2012-02-01 2017-05-31
Harford, Suni HEAD OF INVESTMENTS, UBS ASSET MANAGEMENT 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
UBS ASSET MANAGEMENT (AMERICAS) INC. VICE PRESIDENT direct 2017-09-01
RUSSELL, KEVIN, GARY CHIEF INVESTMENT OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
UBS OCONNOR LLC CHIEF INVESTMENT OFFICER direct 2016-01-01
UBS GROUP AG PARENT COMPANY UBS AG 11/01/2014 Indirect 75% or more
UBS AG (ZURICH) MEMBER UBS AMERICAS HOLDING LLC 04/01/2004 Indirect 75% or more

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NINETEEN77 CAPITAL SOLUTIONS LP United States 805-7569811422 Hedge Fund 469,023,500 5,000,000 Master Fund
NINETEEN77 GLOBAL FUNDAMENTAL MARKET NEUTRAL LONG/SHORT MASTER LIMITED Cayman Islands 805-6199890809 Hedge Fund 81,773,100 1,000,000 Master Fund Fund of Funds
NINETEEN77 TRADING VALUE LLC United States 805-1602073469 Hedge Fund 756,540 250,000 Fund of Funds
NINETEEN77 GLOBAL MULTI-STRATEGY ALPHA MASTER LIMITED Cayman Islands 805-5240649620 Hedge Fund 5,310,287,482 5,000,000 Master Fund Fund of Funds
NINETEEN77 GLOBAL MERGER ARBITRAGE MASTER LIMITED Cayman Islands 805-9968480067 Hedge Fund 1,508,762,787 5,000,000 Master Fund
NINETEEN77 GLOBAL MULTI STRATEGY ALPHA (LEVERED) MASTER LIMITED Cayman Islands 805-6950097035 Hedge Fund 9,858,528 5,000,000 Master Fund
NINETEEN77 GLOBAL MULTI STRATEGY ALPHA IV LIMITED Cayman Islands 805-2802512619 Hedge Fund 69,450,516 100,000
NINETEEN77 CAPITAL SOLUTIONS A LP United States 805-7111287061 Hedge Fund 469,023,500 5,000,000 Master Fund
OC 535 OFFSHORE FUND SPC - SEGREGATED PORTFOLIO 5 Cayman Islands 805-3868060572 Hedge Fund 379,774,519 100,000

UBS OCONNOR LLC

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

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NINETEEN77 CAPITAL SOLUTIONS LP United States 805-7569811422 Hedge Fund 0 5,000,000 Master Fund
NINETEEN77 GLOBAL FUNDAMENTAL MARKET NEUTRAL LONG/SHORT MASTER LIMITED Cayman Islands 805-6199890809 Hedge Fund 385,589,247 1,000,000 Master Fund Fund of Funds
O'CONNOR GLOBAL FUNDAMENTAL MARKET NEUTRAL LONG/SHORT (LEVERED) MASTER LIMITED Cayman Islands 805-1611295202 Hedge Fund 113,342,089 100,000 Master Fund Fund of Funds
NINETEEN77 US EQUITIES LONG/SHORT SELECT MASTER LIMITED Cayman Islands 805-4513541667 Hedge Fund 113,436,622 1,000,000 Master Fund Fund of Funds
O'CONNOR ASIA PACIFIC EQUITIES LONG/SHORT MASTER LIMITED Cayman Islands 805-9165481178 Hedge Fund 11,400,158 1,000,000 Master Fund
NINETEEN77 TRADING VALUE LLC United States 805-1602073469 Hedge Fund 2,322,322 250,000 Fund of Funds
NINETEEN77 GLOBAL MULTI-STRATEGY ALPHA MASTER LIMITED Cayman Islands 805-5240649620 Hedge Fund 9,418,982,336 5,000,000 Master Fund Fund of Funds
NINETEEN77 GLOBAL MERGER ARBITRAGE MASTER LIMITED Cayman Islands 805-9968480067 Hedge Fund 126,055,625 5,000,000 Master Fund
NINETEEN77 GLOBAL MULTI STRATEGY ALPHA (LEVERED) MASTER LIMITED Cayman Islands 805-6950097035 Hedge Fund 1,457,776,066 5,000,000 Master Fund Fund of Funds
NINETEEN77 GLOBAL MULTI STRATEGY ALPHA IV LIMITED Cayman Islands 805-2802512619 Hedge Fund 629,697,488 100,000
NINETEEN77 CAPITAL SOLUTIONS A LP United States 805-7111287061 Hedge Fund 0 5,000,000 Master Fund

WhaleScore history for UBS OCONNOR LLC

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