Waterfall Asset Management, LLC

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Waterfall Asset Management is based out of New York. Waterfall Asset Management is a hedge fund with 34 clients and discretionary assets under management (AUM) of $13,535,666,936 (Form ADV from 2021-09-23). Whalewisdom has at least 5 13D filings, 1 13G filings, and 9 Form 4 filings

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Contact Info

waterfall asset management, llc
1140 AVENUE OF THE AMERICAS, 7TH FLOOR
NEW YORK NY    10036

Business Phone: (212) 257-4600
SEC SIC CODE:
6798-REAL ESTATE INVESTMENT TRUSTS

View Last Form Adv Compilation Report on Record

WATERFALL ASSET MANAGEMENT, LLC
1251 AVENUE OF THE AMERICAS 50TH FLOOR
NEW YORK NY    10020
Country: United States

Business Phone: 212-257-4600
Fax: 212-257-4699
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 147
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees,SEE SCHEDULE D - MISCELLANEOUS
Amount of client funds and securities: 0
Total Number of Clients: 34
Amount of client funds and securities by related persons: 6,596,960,000
Total Number of clients from related persons: 21
Disclosures:
Data above was derived from SEC filings.

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WATERFALL ASSET MANAGEMENT, LLC

ownership team - last updated 2021-09-23
Name Title Start Date Direct/Indirect % Ownership
CAPASSE, THOMAS, EDWARD MANAGER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
ROSS, JACK, JAY MANAGER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
NICK, KENNETH, ADAM GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSET CONSULTING GROUP INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM INVESTMENT ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-03-01
GUGGENHEIM REAL ESTATE LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GS GAMMA ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2005-10-01
GUGGENHEIM PARTNERS ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-08-01
WATERFALL ASSET MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2011-10-01
LOGAN CIRCLE PARTNERS, L.P. CHIEF COMPLIANCE OFFICER direct 2007-03-01
BUTTACAVOLI, THOMAS, V. MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2011-04-01
WATERFALL PARTNERS HOLDINGS, LP MEMBER 01/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2016-01-01
WATERFALL PARTNERS GP, LLC GENERAL PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2016-01-01
CAPASSE, THOMAS, EDWARD LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
ROSS, JACK, JAY LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WATERFALL ROCK ISLAND, LLC United States 805-4861671856 Hedge Fund 405,458,412 0
WATERFALL VICTORIA MASTER FUND, LTD. Cayman Islands 805-2564738507 Hedge Fund 4,296,929,319 1,000,000 Master Fund
WATERFALL SENTINEL MASTER FUND I-B LP Cayman Islands 805-4074331466 Private Equity Fund 124,373,919 5,000,000 Master Fund
WATERFALL VICTORIA MASTER FUND II, LTD. Cayman Islands 805-7696290216 Hedge Fund 2,803,576,279 1,000,000 Master Fund
SHARB INVESTORS LP United States 805-7340978547 Private Equity Fund 23,127,846 1,000,000
WATERFALL OSPREY MASTER FUND, LP Cayman Islands 805-5225684463 Hedge Fund 194,281,407 0 Master Fund
WATERFALL DELTA OFFSHORE MASTER FUND, LP Cayman Islands 805-1086901543 Hedge Fund 836,348,871 500,000 Master Fund
WATERFALL SENTINEL MASTER FUND I-A LP Cayman Islands 805-2128739156 Private Equity Fund 124,373,919 5,000,000 Master Fund
WATERFALL ITHACA FUND, LLC United States 805-3495402251 Real Estate Fund 1,955,230 50,000
WATERFALL SANDSTONE FUND, LP Cayman Islands 805-4489347300 Hedge Fund 901,846,521 0
WATERFALL EDEN MASTER FUND, LTD. Cayman Islands 805-4120410215 Hedge Fund 3,780,775,321 1,000,000 Master Fund
WSMF I AV LP United States 805-6228355123 Private Equity Fund 5,250,000 1,000,000

WATERFALL ASSET MANAGEMENT, LLC

ownership team - last updated 2021-03-30
Name Title Start Date Direct/Indirect % Ownership
CAPASSE, THOMAS, EDWARD MANAGER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
ROSS, JACK, JAY MANAGER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
BREAKSTONE, BRIAN CHIEF FINANCIAL OFFICER 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2008-04-01
NICK, KENNETH, ADAM GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSET CONSULTING GROUP INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM INVESTMENT ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-03-01
GUGGENHEIM REAL ESTATE LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GS GAMMA ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2005-10-01
GUGGENHEIM PARTNERS ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-08-01
WATERFALL ASSET MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2011-10-01
LOGAN CIRCLE PARTNERS, L.P. CHIEF COMPLIANCE OFFICER direct 2007-03-01
BUTTACAVOLI, THOMAS, V. MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2011-04-01
WATERFALL PARTNERS HOLDINGS, LP MEMBER 01/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2016-01-01
CAPASSE, THOMAS, EDWARD MANAGER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
ROSS, JACK, JAY MANAGER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
BREAKSTONE, BRIAN CHIEF FINANCIAL OFFICER 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2008-04-01
NICK, KENNETH, ADAM GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSET CONSULTING GROUP INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM INVESTMENT ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-03-01
GUGGENHEIM REAL ESTATE LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GS GAMMA ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2005-10-01
GUGGENHEIM PARTNERS ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-08-01
WATERFALL ASSET MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2011-10-01
LOGAN CIRCLE PARTNERS, L.P. CHIEF COMPLIANCE OFFICER direct 2007-03-01
BUTTACAVOLI, THOMAS, V. MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2011-04-01
WATERFALL PARTNERS HOLDINGS, LP MEMBER 01/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2016-01-01
WATERFALL PARTNERS GP, LLC GENERAL PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2016-01-01
CAPASSE, THOMAS, EDWARD LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
ROSS, JACK, JAY LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
WATERFALL PARTNERS GP, LLC GENERAL PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2016-01-01
CAPASSE, THOMAS, EDWARD LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
ROSS, JACK, JAY LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WATERFALL OSPREY MASTER FUND, LP Cayman Islands 805-5225684463 Hedge Fund 194,281,407 0 Master Fund
WATERFALL DELTA OFFSHORE MASTER FUND, LP Cayman Islands 805-1086901543 Hedge Fund 836,348,871 500,000 Master Fund
WATERFALL SENTINEL MASTER FUND I-A LP Cayman Islands 805-2128739156 Private Equity Fund 124,373,919 5,000,000 Master Fund
WATERFALL ITHACA FUND, LLC United States 805-3495402251 Real Estate Fund 1,955,230 50,000
WATERFALL SANDSTONE FUND, LP Cayman Islands 805-4489347300 Hedge Fund 901,846,521 0
WATERFALL EDEN MASTER FUND, LTD. Cayman Islands 805-4120410215 Hedge Fund 3,780,775,321 1,000,000 Master Fund
WATERFALL ROCK ISLAND, LLC United States 805-4861671856 Hedge Fund 405,458,412 0
WATERFALL VICTORIA MASTER FUND, LTD. Cayman Islands 805-2564738507 Hedge Fund 4,296,929,319 1,000,000 Master Fund
WATERFALL SENTINEL MASTER FUND I-B LP Cayman Islands 805-4074331466 Private Equity Fund 124,373,919 5,000,000 Master Fund
WATERFALL VICTORIA MASTER FUND II, LTD. Cayman Islands 805-7696290216 Hedge Fund 2,803,576,279 1,000,000 Master Fund
SHARB INVESTORS LP United States 805-7340978547 Private Equity Fund 23,127,846 1,000,000

WATERFALL ASSET MANAGEMENT, LLC

ownership team - last updated 2020-08-28
Name Title Start Date Direct/Indirect % Ownership
CAPASSE, THOMAS, EDWARD MANAGER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
ROSS, JACK, JAY MANAGER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
BREAKSTONE, BRIAN CHIEF FINANCIAL OFFICER 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2008-04-01
NICK, KENNETH, ADAM GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSET CONSULTING GROUP INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM INVESTMENT ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-03-01
GUGGENHEIM REAL ESTATE LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GS GAMMA ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2005-10-01
GUGGENHEIM PARTNERS ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-08-01
WATERFALL ASSET MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2011-10-01
LOGAN CIRCLE PARTNERS, L.P. CHIEF COMPLIANCE OFFICER direct 2007-03-01
BUTTACAVOLI, THOMAS, V. MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2011-04-01
WATERFALL PARTNERS HOLDINGS, LP MEMBER 01/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2016-01-01
WATERFALL PARTNERS GP, LLC GENERAL PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2016-01-01
CAPASSE, THOMAS, EDWARD LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
ROSS, JACK, JAY LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WATERFALL OSPREY MASTER FUND, LP Cayman Islands 805-5225684463 Hedge Fund 24,242,518 0 Master Fund
WATERFALL DELTA OFFSHORE MASTER FUND, LP Cayman Islands 805-1086901543 Hedge Fund 773,541,625 500,000 Master Fund
WATERFALL SENTINEL MASTER FUND I-A LP Cayman Islands 805-2128739156 Private Equity Fund 79,535,595 5,000,000 Master Fund
WATERFALL ITHACA FUND, LLC United States 805-3495402251 Real Estate Fund 2,021,868 50,000
WATERFALL SANDSTONE FUND, LP Cayman Islands 805-4489347300 Hedge Fund 901,724,103 0
WATERFALL EDEN MASTER FUND, LTD. Cayman Islands 805-4120410215 Hedge Fund 4,719,493,409 1,000,000 Master Fund
WATERFALL ROCK ISLAND, LLC United States 805-4861671856 Hedge Fund 296,991,904 0
WATERFALL VICTORIA MASTER FUND, LTD. Cayman Islands 805-2564738507 Hedge Fund 3,473,597,689 1,000,000 Master Fund
WATERFALL SENTINEL MASTER FUND I-B LP Cayman Islands 805-4074331466 Private Equity Fund 79,535,595 5,000,000 Master Fund
WATERFALL VICTORIA MASTER FUND II, LTD. Cayman Islands 805-7696290216 Hedge Fund 2,472,921,557 1,000,000 Master Fund

WATERFALL ASSET MANAGEMENT, LLC

ownership team - last updated 2020-05-15
Name Title Start Date Direct/Indirect % Ownership
CAPASSE, THOMAS, EDWARD MANAGER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
ROSS, JACK, JAY MANAGER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
BREAKSTONE, BRIAN CHIEF FINANCIAL OFFICER 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2008-04-01
NICK, KENNETH, ADAM GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSET CONSULTING GROUP INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM INVESTMENT ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-03-01
GUGGENHEIM REAL ESTATE LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GS GAMMA ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2005-10-01
GUGGENHEIM PARTNERS ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-08-01
WATERFALL ASSET MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2011-10-01
LOGAN CIRCLE PARTNERS, L.P. CHIEF COMPLIANCE OFFICER direct 2007-03-01
BUTTACAVOLI, THOMAS, V. MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2011-04-01
WATERFALL PARTNERS HOLDINGS, LP MEMBER 01/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2016-01-01
WATERFALL PARTNERS GP, LLC GENERAL PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2016-01-01
CAPASSE, THOMAS, EDWARD LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
ROSS, JACK, JAY LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WATERFALL DELTA OFFSHORE MASTER FUND, LP Cayman Islands 805-1086901543 Hedge Fund 773,541,625 500,000 Master Fund
WATERFALL SENTINEL MASTER FUND I-A LP Cayman Islands 805-2128739156 Private Equity Fund 79,535,595 5,000,000 Master Fund
WATERFALL ITHACA FUND, LLC United States 805-3495402251 Real Estate Fund 2,021,868 50,000
WATERFALL SANDSTONE FUND, LP Cayman Islands 805-4489347300 Hedge Fund 901,724,103 0
WATERFALL EDEN MASTER FUND, LTD. Cayman Islands 805-4120410215 Hedge Fund 4,719,493,409 1,000,000 Master Fund
WATERFALL ROCK ISLAND, LLC United States 805-4861671856 Hedge Fund 296,991,904 0
WATERFALL VICTORIA MASTER FUND, LTD. Cayman Islands 805-2564738507 Hedge Fund 3,473,597,689 1,000,000 Master Fund
WATERFALL SENTINEL MASTER FUND I-B LP Cayman Islands 805-4074331466 Private Equity Fund 79,535,595 5,000,000 Master Fund
WATERFALL VICTORIA MASTER FUND II, LTD. Cayman Islands 805-7696290216 Hedge Fund 2,472,921,557 1,000,000 Master Fund

WATERFALL ASSET MANAGEMENT, LLC

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

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WATERFALL DELTA OFFSHORE MASTER FUND, LP Cayman Islands 805-1086901543 Hedge Fund 773,541,625 500,000 Master Fund
WATERFALL SENTINEL MASTER FUND I-A LP Cayman Islands 805-2128739156 Private Equity Fund 79,535,595 5,000,000 Master Fund
WATERFALL ITHACA FUND, LLC United States 805-3495402251 Real Estate Fund 2,021,868 50,000
WATERFALL SANDSTONE FUND, LP Cayman Islands 805-4489347300 Hedge Fund 901,724,103 0
WATERFALL EDEN MASTER FUND, LTD. Cayman Islands 805-4120410215 Hedge Fund 4,719,493,409 1,000,000 Master Fund
WATERFALL ROCK ISLAND, LLC United States 805-4861671856 Hedge Fund 296,991,904 0
WATERFALL VICTORIA MASTER FUND, LTD. Cayman Islands 805-2564738507 Hedge Fund 3,473,597,689 1,000,000 Master Fund
WATERFALL SENTINEL MASTER FUND I-B LP Cayman Islands 805-4074331466 Private Equity Fund 79,535,595 5,000,000 Master Fund
WATERFALL VICTORIA MASTER FUND II, LTD. Cayman Islands 805-7696290216 Hedge Fund 2,472,921,557 1,000,000 Master Fund

WATERFALL ASSET MANAGEMENT, LLC

ownership team - last updated 2019-07-09
Name Title Start Date Direct/Indirect % Ownership
NICK, KENNETH, ADAM GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSET CONSULTING GROUP INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM INVESTMENT ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-03-01
GUGGENHEIM REAL ESTATE LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GS GAMMA ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2005-10-01
GUGGENHEIM PARTNERS ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-08-01
WATERFALL ASSET MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2011-10-01
LOGAN CIRCLE PARTNERS, L.P. CHIEF COMPLIANCE OFFICER direct 2007-03-01
CAPASSE, THOMAS, EDWARD MANAGER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
ROSS, JACK, JAY MANAGER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
BREAKSTONE, BRIAN CHIEF FINANCIAL OFFICER 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2008-04-01
BUTTACAVOLI, THOMAS, V. MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2011-04-01
WATERFALL PARTNERS HOLDINGS, LP MEMBER 01/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2016-01-01
NB DYAL ASSOCIATES LP GENERAL PARTNER DYAL CAPITAL PARTNERS (A) LP 04/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-04-01
DYAL U.S. LLC LIMITED PARTNER DYAL CAPITAL PARTNERS (A) LP 04/01/2010 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. LIMITED PARTNER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC LIMITED PARTNER indirect 2010-02-01
DYAL OFFSHORE INVESTORS LP MEMBER DYAL U.S. LLC 04/01/2010 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2010-02-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2010-02-01
DYAL OFFSHORE INVESTORS II LP MEMBER DYAL U.S. LLC 04/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2012-04-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2012-04-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2012-04-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2012-04-01
NB DYAL GP HOLDINGS LLC GENERAL PARTNER NB DYAL ASSOCIATES LP 02/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2015-04-01
BLUE HARBOUR GROUP, L.P. GENERAL PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2013-08-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
HALCYON CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2010-02-01
NB ALTERNATIVES GP HOLDINGS LLC MANAGING MEMBER NB DYAL GP HOLDINGS LLC 02/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2010-02-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
NB ALTERNATIVES HOLDINGS LLC MANAGING MEMBER NB ALTERNATIVES GP HOLDINGS LLC 02/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN GROUP LLC MANAGING MEMBER NB ALTERNATIVES HOLDINGS LLC 02/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN INVESTMENT ADVISERS LLC MEMBER indirect 2009-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC HOLDING COMPANY indirect 2009-02-01
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED HOLDING COMPANY indirect 2009-05-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-02-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01
NBSH ACQUISITION, LLC MEMBER NEUBERGER BERMAN GROUP LLC 05/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-05-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01
WATERFALL PARTNERS GP, LLC GENERAL PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2016-01-01
DYAL CAPITAL PARTNERS (A) LP LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HALCYON ASSET MANAGEMENT LLC MEMBER direct 2012-12-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER (MKP CAPITAL MANAGEMENT, L.L.C.) direct 2013-01-01
SCOPIA CAPITAL MANAGEMENT LLC MEMBER OF SCOPIA CAPITAL MANAGEMENT LLC direct 2013-01-01
SCOPIA CAPITAL MANAGEMENT LP LIMITED PARTNER OF SCOPIA CAPITAL MANAGEMENT LP direct 2013-01-01
SCOPIA FUND MANAGEMENT, LLC MEMBER OF SCOPIA FUND MANAGEMENT LLC direct 2013-01-01
MAST CAPITAL MANAGEMENT, LLC MEMBER OF MAST CAPITAL MANAGEMENT, LLC direct 2012-06-01
PINNACLE ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2013-08-01
HALCYON ASSET-BACKED ADVISORS L.P. LIMITED PARTNER indirect 2012-12-01
HALCYON ASSET-BACKED ADVISORS L.P. PARTNER indirect 2012-12-01
JANA PARTNERS LLC NON-MANAGING MEMBER OF JANA PARTNERS LLC direct 2015-03-01
JANA PARTNERS LLC DIRECT OWNER OF RELYING ADVISER direct 2015-03-01
BLUE HARBOUR GROUP, L.P. LIMITED PARTNER (OF BLUE HARBOUR GROUP, L.P.) direct 2014-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER direct 2013-05-01
HALCYON CAPITAL MANAGEMENT LP LIMITED PARTNER direct 2012-12-01
CAPASSE, THOMAS, EDWARD LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
ROSS, JACK, JAY LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
NB DYAL ASSOCIATES LP GENERAL PARTNER DYAL OFFSHORE INVESTORS LP 04/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-04-01
NB DYAL ASSOCIATES LP GENERAL PARTNER DYAL OFFSHORE INVESTORS II LP 04/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WATERFALL OLYMPIC MASTER FUND, LP Cayman Islands 805-7171297539 Hedge Fund 90,968,311 100,000 Master Fund
WATERFALL ROCK ISLAND, LLC United States 805-4861671856 Hedge Fund 235,232,954 0
WATERFALL VICTORIA MASTER FUND, LTD. Cayman Islands 805-2564738507 Hedge Fund 1,570,646,164 1,000,000 Master Fund
WATERFALL SENTINEL MASTER FUND I-B LP Cayman Islands 805-4074331466 Private Equity Fund 33,000,000 5,000,000 Master Fund
WATERFALL VICTORIA MASTER FUND II, LTD. Cayman Islands 805-7696290216 Hedge Fund 1,105,528,608 1,000,000 Master Fund
WATERFALL DELTA OFFSHORE MASTER FUND, LP Cayman Islands 805-1086901543 Hedge Fund 657,445,857 500,000 Master Fund
WATERFALL SENTINEL MASTER FUND I-A LP Cayman Islands 805-2128739156 Private Equity Fund 33,000,000 5,000,000 Master Fund
WATERFALL SANDSTONE FUND, LP Cayman Islands 805-4489347300 Hedge Fund 783,729,496 0
WATERFALL EDEN MASTER FUND, LTD. Cayman Islands 805-4120410215 Hedge Fund 3,721,439,853 1,000,000 Master Fund

WATERFALL ASSET MANAGEMENT, LLC

ownership team - last updated 2019-05-06
Name Title Start Date Direct/Indirect % Ownership
CAPASSE, THOMAS, EDWARD MANAGER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
ROSS, JACK, JAY MANAGER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
BREAKSTONE, BRIAN CHIEF FINANCIAL OFFICER 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2008-04-01
NICK, KENNETH, ADAM GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSET CONSULTING GROUP INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM INVESTMENT ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-03-01
GUGGENHEIM REAL ESTATE LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GS GAMMA ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2005-10-01
GUGGENHEIM PARTNERS ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-08-01
WATERFALL ASSET MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2011-10-01
LOGAN CIRCLE PARTNERS, L.P. CHIEF COMPLIANCE OFFICER direct 2007-03-01
BUTTACAVOLI, THOMAS, V. MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2011-04-01
WATERFALL PARTNERS HOLDINGS, LP MEMBER 01/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2016-01-01
NB DYAL ASSOCIATES LP GENERAL PARTNER DYAL CAPITAL PARTNERS (A) LP 04/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-04-01
DYAL U.S. LLC LIMITED PARTNER DYAL CAPITAL PARTNERS (A) LP 04/01/2010 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. LIMITED PARTNER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC LIMITED PARTNER indirect 2010-02-01
DYAL OFFSHORE INVESTORS LP MEMBER DYAL U.S. LLC 04/01/2010 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2010-02-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2010-02-01
DYAL OFFSHORE INVESTORS II LP MEMBER DYAL U.S. LLC 04/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2012-04-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2012-04-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2012-04-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2012-04-01
NB DYAL GP HOLDINGS LLC GENERAL PARTNER NB DYAL ASSOCIATES LP 02/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2015-04-01
BLUE HARBOUR GROUP, L.P. GENERAL PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2013-08-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
HALCYON CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2010-02-01
NB ALTERNATIVES GP HOLDINGS LLC MANAGING MEMBER NB DYAL GP HOLDINGS LLC 02/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2010-02-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
NB ALTERNATIVES HOLDINGS LLC MANAGING MEMBER NB ALTERNATIVES GP HOLDINGS LLC 02/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN GROUP LLC MANAGING MEMBER NB ALTERNATIVES HOLDINGS LLC 02/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN INVESTMENT ADVISERS LLC MEMBER indirect 2009-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC HOLDING COMPANY indirect 2009-02-01
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED HOLDING COMPANY indirect 2009-05-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-02-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01
NBSH ACQUISITION, LLC MEMBER NEUBERGER BERMAN GROUP LLC 05/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-05-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01
WATERFALL PARTNERS GP, LLC GENERAL PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2016-01-01
DYAL CAPITAL PARTNERS (A) LP LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HALCYON ASSET MANAGEMENT LLC MEMBER direct 2012-12-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER (MKP CAPITAL MANAGEMENT, L.L.C.) direct 2013-01-01
SCOPIA CAPITAL MANAGEMENT LLC MEMBER OF SCOPIA CAPITAL MANAGEMENT LLC direct 2013-01-01
SCOPIA CAPITAL MANAGEMENT LP LIMITED PARTNER OF SCOPIA CAPITAL MANAGEMENT LP direct 2013-01-01
SCOPIA FUND MANAGEMENT, LLC MEMBER OF SCOPIA FUND MANAGEMENT LLC direct 2013-01-01
MAST CAPITAL MANAGEMENT, LLC MEMBER OF MAST CAPITAL MANAGEMENT, LLC direct 2012-06-01
PINNACLE ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2013-08-01
HALCYON ASSET-BACKED ADVISORS L.P. LIMITED PARTNER indirect 2012-12-01
HALCYON ASSET-BACKED ADVISORS L.P. PARTNER indirect 2012-12-01
JANA PARTNERS LLC NON-MANAGING MEMBER OF JANA PARTNERS LLC direct 2015-03-01
JANA PARTNERS LLC DIRECT OWNER OF RELYING ADVISER direct 2015-03-01
BLUE HARBOUR GROUP, L.P. LIMITED PARTNER (OF BLUE HARBOUR GROUP, L.P.) direct 2014-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER direct 2013-05-01
HALCYON CAPITAL MANAGEMENT LP LIMITED PARTNER direct 2012-12-01
CAPASSE, THOMAS, EDWARD LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
ROSS, JACK, JAY LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
NB DYAL ASSOCIATES LP GENERAL PARTNER DYAL OFFSHORE INVESTORS LP 04/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-04-01
NB DYAL ASSOCIATES LP GENERAL PARTNER DYAL OFFSHORE INVESTORS II LP 04/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WATERFALL SENTINEL MASTER FUND I-B LP Cayman Islands 805-4074331466 Private Equity Fund 33,000,000 5,000,000 Master Fund
WATERFALL VICTORIA MASTER FUND II, LTD. Cayman Islands 805-7696290216 Hedge Fund 1,105,528,608 1,000,000 Master Fund
WATERFALL DELTA OFFSHORE MASTER FUND, LP Cayman Islands 805-1086901543 Hedge Fund 657,445,857 500,000 Master Fund
WATERFALL SENTINEL MASTER FUND I-A LP Cayman Islands 805-2128739156 Private Equity Fund 33,000,000 5,000,000 Master Fund
WATERFALL SANDSTONE FUND, LP Cayman Islands 805-4489347300 Hedge Fund 783,729,496 0
WATERFALL EDEN MASTER FUND, LTD. Cayman Islands 805-4120410215 Hedge Fund 3,721,439,853 1,000,000 Master Fund
WATERFALL VICTORIA MASTER FUND, LTD. Cayman Islands 805-2564738507 Hedge Fund 1,570,646,164 1,000,000 Master Fund
WATERFALL OLYMPIC MASTER FUND, LP Cayman Islands 805-7171297539 Hedge Fund 90,968,311 100,000 Master Fund
WATERFALL ROCK ISLAND, LLC United States 805-4861671856 Hedge Fund 235,232,954 0

WATERFALL ASSET MANAGEMENT, LLC

ownership team - last updated 2019-03-26
Name Title Start Date Direct/Indirect % Ownership
CAPASSE, THOMAS, EDWARD MANAGER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
ROSS, JACK, JAY MANAGER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
BREAKSTONE, BRIAN CHIEF FINANCIAL OFFICER 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2008-04-01
NICK, KENNETH, ADAM GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSET CONSULTING GROUP INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM INVESTMENT ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-03-01
GUGGENHEIM REAL ESTATE LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GS GAMMA ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2005-10-01
GUGGENHEIM PARTNERS ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-08-01
WATERFALL ASSET MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2011-10-01
LOGAN CIRCLE PARTNERS, L.P. CHIEF COMPLIANCE OFFICER direct 2007-03-01
BUTTACAVOLI, THOMAS, V. MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2011-04-01
WATERFALL PARTNERS HOLDINGS, LP MEMBER 01/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2016-01-01
NB DYAL ASSOCIATES LP GENERAL PARTNER DYAL CAPITAL PARTNERS (A) LP 04/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-04-01
DYAL U.S. LLC LIMITED PARTNER DYAL CAPITAL PARTNERS (A) LP 04/01/2010 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. LIMITED PARTNER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC LIMITED PARTNER indirect 2010-02-01
DYAL OFFSHORE INVESTORS LP MEMBER DYAL U.S. LLC 04/01/2010 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2010-02-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2010-02-01
DYAL OFFSHORE INVESTORS II LP MEMBER DYAL U.S. LLC 04/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2012-04-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2012-04-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2012-04-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2012-04-01
NB DYAL GP HOLDINGS LLC GENERAL PARTNER NB DYAL ASSOCIATES LP 02/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2015-04-01
BLUE HARBOUR GROUP, L.P. GENERAL PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2013-08-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
HALCYON CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2010-02-01
NB ALTERNATIVES GP HOLDINGS LLC MANAGING MEMBER NB DYAL GP HOLDINGS LLC 02/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2010-02-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
NB ALTERNATIVES HOLDINGS LLC MANAGING MEMBER NB ALTERNATIVES GP HOLDINGS LLC 02/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN GROUP LLC MANAGING MEMBER NB ALTERNATIVES HOLDINGS LLC 02/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN INVESTMENT ADVISERS LLC MEMBER indirect 2009-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC HOLDING COMPANY indirect 2009-02-01
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED HOLDING COMPANY indirect 2009-05-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-02-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01
NBSH ACQUISITION, LLC MEMBER NEUBERGER BERMAN GROUP LLC 05/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-05-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01
WATERFALL PARTNERS GP, LLC GENERAL PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2016-01-01
NB DYAL ASSOCIATES LP GENERAL PARTNER DYAL OFFSHORE INVESTORS LP 04/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-04-01
DYAL CAPITAL PARTNERS (A) LP LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HALCYON ASSET MANAGEMENT LLC MEMBER direct 2012-12-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER (MKP CAPITAL MANAGEMENT, L.L.C.) direct 2013-01-01
SCOPIA CAPITAL MANAGEMENT LLC MEMBER OF SCOPIA CAPITAL MANAGEMENT LLC direct 2013-01-01
SCOPIA CAPITAL MANAGEMENT LP LIMITED PARTNER OF SCOPIA CAPITAL MANAGEMENT LP direct 2013-01-01
SCOPIA FUND MANAGEMENT, LLC MEMBER OF SCOPIA FUND MANAGEMENT LLC direct 2013-01-01
MAST CAPITAL MANAGEMENT, LLC MEMBER OF MAST CAPITAL MANAGEMENT, LLC direct 2012-06-01
PINNACLE ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2013-08-01
HALCYON ASSET-BACKED ADVISORS L.P. LIMITED PARTNER indirect 2012-12-01
HALCYON ASSET-BACKED ADVISORS L.P. PARTNER indirect 2012-12-01
JANA PARTNERS LLC NON-MANAGING MEMBER OF JANA PARTNERS LLC direct 2015-03-01
JANA PARTNERS LLC DIRECT OWNER OF RELYING ADVISER direct 2015-03-01
BLUE HARBOUR GROUP, L.P. LIMITED PARTNER (OF BLUE HARBOUR GROUP, L.P.) direct 2014-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER direct 2013-05-01
HALCYON CAPITAL MANAGEMENT LP LIMITED PARTNER direct 2012-12-01
CAPASSE, THOMAS, EDWARD LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
ROSS, JACK, JAY LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
NB DYAL ASSOCIATES LP GENERAL PARTNER DYAL OFFSHORE INVESTORS II LP 04/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WATERFALL SENTINEL MASTER FUND I-B LP Cayman Islands 805-4074331466 Private Equity Fund 33,000,000 5,000,000 Master Fund
WATERFALL SENTINEL MASTER FUND I-A LP Cayman Islands 805-2128739156 Private Equity Fund 33,000,000 5,000,000 Master Fund
WATERFALL SANDSTONE FUND, LP Cayman Islands 805-4489347300 Hedge Fund 783,729,496 0
WATERFALL EDEN MASTER FUND, LTD. Cayman Islands 805-4120410215 Hedge Fund 3,721,439,853 1,000,000 Master Fund
WATERFALL VICTORIA MASTER FUND, LTD. Cayman Islands 805-2564738507 Hedge Fund 1,570,646,164 1,000,000 Master Fund
WATERFALL VICTORIA MASTER FUND II, LTD. Cayman Islands 805-7696290216 Hedge Fund 1,105,528,608 1,000,000 Master Fund
WATERFALL DELTA OFFSHORE MASTER FUND, LP Cayman Islands 805-1086901543 Hedge Fund 657,445,857 500,000 Master Fund
WATERFALL OLYMPIC MASTER FUND, LP Cayman Islands 805-7171297539 Hedge Fund 90,968,311 100,000 Master Fund
WATERFALL ROCK ISLAND, LLC United States 805-4861671856 Hedge Fund 235,232,954 0

WATERFALL ASSET MANAGEMENT, LLC

ownership team - last updated 2018-06-18
Name Title Start Date Direct/Indirect % Ownership
CAPASSE, THOMAS, EDWARD MANAGER 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
ROSS, JACK, JAY MANAGER 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
BREAKSTONE, BRIAN CHIEF FINANCIAL OFFICER 04/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2008-04-01
NICK, KENNETH, ADAM GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 10/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSET CONSULTING GROUP INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM INVESTMENT ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-03-01
GUGGENHEIM REAL ESTATE LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GUGGENHEIM ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01
GS GAMMA ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2005-10-01
GUGGENHEIM PARTNERS ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-08-01
WATERFALL ASSET MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2011-10-01
LOGAN CIRCLE PARTNERS, L.P. CHIEF COMPLIANCE OFFICER direct 2007-03-01
THOMAS, BUTTACAVOLI, V. MANAGER 04/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2011-04-01
WATERFALL PARTNERS HOLDINGS, LP MEMBER 01/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2016-01-01
NB DYAL ASSOCIATES, LP GENERAL PARTNER DYAL CAPITAL PARTNERS (A), LP, DYAL OFFSHORE INVESTORS LP, DYAL OFFSHORE INVESTORS II LP 04/01/2010 Indirect Other
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-04-01
DYAL U.S. LLC LIMITED PARTNER DYAL CAPITAL PARTNERS (A), LP 02/01/2010 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. LIMITED PARTNER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC LIMITED PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC LIMITED PARTNER indirect 2010-02-01
DYAL OFFSHORE INVESTORS LP MEMBER DYAL U.S. LLC 02/01/2010 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2010-02-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2010-02-01
DYAL OFFSHORE INVESTORS II LP MEMBER DYAL U.S. LLC 04/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2012-04-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2012-04-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2012-04-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2012-04-01
NB DYAL GP HOLDINGS LLC GENERAL PARTNER NB DYAL ASSOCIATES LP 02/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. GENERAL PARTNER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2015-04-01
BLUE HARBOUR GROUP, L.P. GENERAL PARTNER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2013-08-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
H.I.G. CAPITAL, LLC GENERAL PARTNER indirect 2016-08-01
HALCYON CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2010-02-01
NB ALTERNATIVES GP HOLDINGS LLC MANAGING MEMBER NB DYAL GP HOLDINGS LLC 02/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2010-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2010-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2010-02-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2010-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2010-02-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2010-02-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2010-02-01
NB ALTERNATIVES HOLDINGS LLC MANAGING MEMBER NB ALTERNATIVES GP HOLDINGS LLC 05/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN GROUP LLC MANAGING MEMBER NB ALTERNATIVES HOLDINGS LLC 05/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN LLC HOLDING COMPANY indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
NEUBERGER BERMAN MANAGEMENT LLC HOLDING COMPANY indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC HOLDING COMPANY indirect 2009-02-01
SCOPIA CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN INVESTMENT ADVISERS LLC MEMBER indirect 2009-02-01
MAST CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-02-01
PINNACLE ASSET MANAGEMENT, L.P. MANAGING MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC HOLDING COMPANY indirect 2009-02-01
NB ALTERNATIVES ADVISERS LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC SOLE MEMBER indirect 2009-02-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
JANA PARTNERS LLC MANAGING MEMBER indirect 2010-02-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED HOLDING COMPANY indirect 2009-05-01
BLUE HARBOUR GROUP, L.P. MANAGING MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MANAGING MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MANAGING MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-02-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MANAGING MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-02-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01
NBSH ACQUISITION, LLC MEMBER NEUBERGER BERMAN GROUP LLC 05/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2009-05-01
ATALAYA CAPITAL MANAGEMENT LP MEMBER indirect 2009-02-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER indirect 2009-02-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MEMBER indirect 2009-05-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-05-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01
WATERFALL PARTNERS GP, LLC GENERAL PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC GENERAL PARTNER indirect 2016-01-01
DYAL CAPITAL (A), LP LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HALCYON ASSET MANAGEMENT LLC MEMBER direct 2012-12-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER (MKP CAPITAL MANAGEMENT, L.L.C.) direct 2013-01-01
SCOPIA CAPITAL MANAGEMENT LLC MEMBER OF SCOPIA CAPITAL MANAGEMENT LLC direct 2013-01-01
SCOPIA CAPITAL MANAGEMENT LP LIMITED PARTNER OF SCOPIA CAPITAL MANAGEMENT LP direct 2013-01-01
SCOPIA FUND MANAGEMENT, LLC MEMBER OF SCOPIA FUND MANAGEMENT LLC direct 2013-01-01
MAST CAPITAL MANAGEMENT, LLC MEMBER OF MAST CAPITAL MANAGEMENT, LLC direct 2012-06-01
PINNACLE ASSET MANAGEMENT, L.P. LIMITED PARTNER direct 2012-12-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER direct 2013-08-01
HALCYON ASSET-BACKED ADVISORS L.P. LIMITED PARTNER indirect 2012-12-01
HALCYON ASSET-BACKED ADVISORS L.P. PARTNER indirect 2012-12-01
JANA PARTNERS LLC NON-MANAGING MEMBER OF JANA PARTNERS LLC direct 2015-03-01
JANA PARTNERS LLC DIRECT OWNER OF RELYING ADVISER direct 2015-03-01
BLUE HARBOUR GROUP, L.P. LIMITED PARTNER (OF BLUE HARBOUR GROUP, L.P.) direct 2014-05-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER direct 2013-05-01
HALCYON CAPITAL MANAGEMENT LP LIMITED PARTNER direct 2012-12-01
CAPASSE, THOMAS, EDWARD LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01
ROSS, JACK, JAY LIMITED PARTNER WATERFALL PARTNERS HOLDINGS, LP 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2005-01-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER/MANAGER direct 2008-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WATERFALL SANDSTONE FUND, LP Cayman Islands 805-4489347300 Hedge Fund 728,155,890 0
WATERFALL EDEN MASTER FUND, LTD. Cayman Islands 805-4120410215 Hedge Fund 3,474,843,666 1,000,000 Master Fund
WATERFALL VICTORIA MASTER FUND, LTD. Cayman Islands 805-2564738507 Hedge Fund 1,112,985,958 1,000,000 Master Fund
WATERFALL VICTORIA MASTER FUND II, LTD. Cayman Islands 805-7696290216 Hedge Fund 27,826,861 1,000,000 Master Fund
WATERFALL DELTA OFFSHORE MASTER FUND, LP Cayman Islands 805-1086901543 Hedge Fund 662,045,771 500,000 Master Fund
WATERFALL OLYMPIC MASTER FUND, LP Cayman Islands 805-7171297539 Hedge Fund 206,239,066 100,000 Master Fund
WATERFALL ROCK ISLAND, LLC United States 805-4861671856 Hedge Fund 174,387,976 0

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