WHITEBOX ADVISORS LLC

HTTP://WWW.WHITEBOXADVISORS.COM • MINNEAPOLIS, MN • Investment Advisor • Hedge Fund • Activist Investor How do I update this listing?

Download 13F Summary Create Email Alert

Whitebox Advisors is based out of Minneapolis. Whitebox Advisors is a hedge fund with 25 clients and discretionary assets under management (AUM) of $10,628,950,544 (Form ADV from 2023-01-25). Their last reported 13F filing for Q4 2022 included $3,616,399,774 in managed 13F securities and a top 10 holdings concentration of 30.5%. Whitebox Advisors's largest holding is Palo Alto Networks Inc with shares held of 101,512,000. Whalewisdom has at least 92 13F filings, 72 13D filings, 309 13G filings, and 64 Form 4 filings

12/31/2022

13F Activity

  • Market Value $3.616 Billion
  • Prior Market Value $3.601 Billion
  • New Purchases38 stocks
  • Additional Purchases51 stocks
  • Sold out of217 stocks
  • Reduced holdings in36 stocks
  • Top 10 Holdings % 30.50 %
  • Turnover % [1]:33.12%
  • Turnover Alt % [2]: 20.97 %
  • Time Held Top20:3.55 quarters
  • Time Held Top10:4.30 quarters
  • Time Held All:3.86 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.

12/31/2022

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2023-02-14

Performance for Q4 2022: 3.69%
Performance Last 4 Quarters: 41.3%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required
Refresh Advanced Export Download CSV Download Excel (.xlsx) Download TSV
Filter by:

Click to See Additional Filters

Security Types:

Refresh
*Shares are split adjusted

Global (ex. US) Holdings

A premium subscription (standard or higher) is required to view global (non-US) holdings

Stale Holdings (no activity in past 21-months or sold out)

Source: Refinitiv. Stale holdings data removed after 21-months of inactivity.

View Last Form Adv Compilation Report on Record

WHITEBOX ADVISORS LLC
Classified as Hedge Fund
3033 EXCELSIOR BOULEVARD SUITE 500
MINNEAPOLIS MN    55416
Country: United States
Business Phone: 612-253-6001
Fax: 612-253-6100
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 63
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: 9,399,980,000
Total Number of Clients: 25
Amount of client funds and securities by related persons: 10,629,000,000
Total Number of clients from related persons: 25
Disclosures: 11.C (2),11.C (4),11.C (5),11.D (2)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

Sign in to see

Insider Transactions in the past year

Loading...

WHITEBOX ADVISORS LLC

ownership team - last updated 2022-06-01
Name Title Start Date Direct/Indirect % Ownership
LUTZ, BRIAN, GERALD PARTNER, PORTFOLIO MANAGER - CONVERTIBLE ARBITRAGE 05/01/2022 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC PARTNER, PORTFOLIO MANAGER - CONVERTIBLE ARBITRAGE direct 2022-05-01
CONRAD, LISA, RAGGI CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL 04/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ANGELO, GORDON ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2009-06-01
CBAM PARTNERS, LLC CHIEF COMPLIANCE OFFICER OF REGISTRANT AND RELYING ADVISOR direct 2017-03-01
STANFIELD CAPITAL PARTNERS LLC GENERAL COUNSEL direct 1998-04-01 2001-03-26
STANFIELD CAPITAL PARTNERS LLC GENERAL COUNSEL direct 1998-05-01 2003-08-20
ANGELO, GORDON & CO., L.P. CHIEF COMPLIANCE OFFICER direct 2009-06-01 2011-03-31
SILVERMINE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2012-07-01 2016-04-28
CHAIN BRIDGE ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2017-03-01 2017-04-17
MERCER, JACOB, PAUL PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING 01/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING direct 2017-01-01
STUKAS, NICKOLAS, ARTHUR PARTNER, HEAD OF CREDIT RELATIVE VALUE 05/01/2022 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC PARTNER, HEAD OF CREDIT RELATIVE VALUE direct 2022-05-01
KARIM, MUQUARRAB, BIN CHIEF OPERATING OFFICER 07/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SABA CAPITAL MANAGEMENT, L.P. CHIEF FINANCIAL OFFICER direct 2014-05-01
SABA CAPITAL MANAGEMENT, L.P. CHIEF FINANCIAL OFFICER (SABA CAPITAL MANAGEMENT, LP) direct 2014-05-01
SABA CAPITAL MANAGEMENT, L.P. CHIEF OPERATIONS OFFICER (SABA CAPITAL MANAGEMENT, LP) direct 2014-05-01
SKAGDAY, INC. MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
VOGEL, ROBERT, JACOB PARTNER, CHIEF INVESTMENT OFFICER 01/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
DYAL CAPITAL PARTNERS II (A) LP NON-VOTING MEMBER OF WHITEBOX ADVISORS, LLC 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
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
ATALAYA CAPITAL MANAGEMENT LP LIMITED PARTNER OF ATALAYA CAPITAL MANAGEMENT LP direct 2017-07-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LP direct 2017-03-01
LOFTON, BRIAN, JOSEPH CHIEF RISK OFFICER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF RISK OFFICER direct 2014-05-01
RIEPE, ROBERT, JOHN CHIEF FINANCIAL OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2017-06-01
ROOS, PAUL PARTNER, HEAD OF STRUCTURED CREDIT 06/01/2021 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC PARTNER, HEAD OF STRUCTURED CREDIT direct 2021-06-01
DYAL CAPITAL PARTNERS II (B) LP NON-VOTING MEMBER OF WHITEBOX GENERAL PARTNER LLC 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX GENERAL PARTNER LLC direct 2015-08-01
DYAL II OFFSHORE INVESTORS LP MEMBER DYAL US II LLC 12/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
JANA PARTNERS LLC MEMBER indirect 2014-07-01
DYAL CAPITAL PARTNERS II GP LLC MANAGING MEMBER DYAL US II LLC 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL II OFFSHORE INVESTORS LP LIMITED PARTNER DYAL CAYMAN OFFSHORE II LP 12/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
JANA PARTNERS LLC MEMBER indirect 2014-07-01
DYAL CAYMAN OFFSHORE II LP LIMITED PARTNER DYAL CAPITAL PARTNERS II (B) LP 12/01/2013 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC LIMITED PARTNER indirect 2013-12-01
DYAL CAPITAL PARTNERS II GP LLC GENERAL PARTNER DYAL CAPITAL PARTNERS II (A) LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL CAPITAL PARTNERS II GP LLC GENERAL PARTNER DYAL II US INVESTORS LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL CAPITAL PARTNERS II GP LLC GENERAL PARTNER DYAL II OFFSHORE INVESTORS LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL CAPITAL PARTNERS II GP LLC GENERAL PARTNER DYAL CAPITAL PARTNERS II (B) LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL CAPITAL PARTNERS II GP LLC GENERAL PARTNER DYAL CAYMAN OFFSHORE II LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
BLUE OWL CAPITAL INC. MANAGING MEMBER BLUE OWL CAPITAL GP LLC 05/01/2021 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NB DYAL ADVISORS LLC SOLE MEMBER indirect 2021-05-01
OWL ROCK CAPITAL ADVISORS LLC SOLE MEMBER indirect 2021-05-01
OWL ROCK CAPITAL PRIVATE FUND ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
PLATINUM EQUITY ADVISORS, LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
OWL ROCK DIVERSIFIED ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
OWL ROCK TECHNOLOGY ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
DYAL GP HOLDINGS LLC MANAGING MEMBER DYAL CAPITAL PARTNERS II GP LLC 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
NB DYAL ADVISORS LLC SOLE MEMBER indirect 2021-05-01
OWL ROCK CAPITAL ADVISORS LLC SOLE MEMBER indirect 2021-05-01
OWL ROCK CAPITAL PRIVATE FUND ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
PLATINUM EQUITY ADVISORS, LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
OWL ROCK DIVERSIFIED ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
OWL ROCK TECHNOLOGY ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
NBSH BLUE INVESTMENTS, LLC LIMITED PARTNER BLUE OWL CAPITAL CARRY LP 05/01/2021 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
NB DYAL ADVISORS LLC MEMBER indirect 2021-05-01
OWL ROCK TECHNOLOGY ADVISORS LLC MEMBER indirect 2021-05-01
PLATINUM EQUITY ADVISORS, LLC LIMITED PARTNER indirect 2021-05-01
OWL ROCK CAPITAL ADVISORS LLC MEMBER indirect 2021-05-01
OWL ROCK CAPITAL PRIVATE FUND ADVISORS LLC MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC LIMITED PARTNER indirect 2021-05-01
OWL ROCK DIVERSIFIED ADVISORS LLC MEMBER indirect 2021-05-01
BLUE OWL CAPITAL CARRY LP MEMBER DYAL GP HOLDINGS LLC 05/01/2021 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PLATINUM EQUITY ADVISORS, LLC MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC MEMBER indirect 2021-05-01
BLUE OWL CAPITAL GP LLC GENERAL PARTNER BLUE OWL CAPITAL CARRY LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
NB DYAL ADVISORS LLC MEMBER indirect 2021-05-01
OWL ROCK TECHNOLOGY ADVISORS LLC MEMBER indirect 2021-05-01
PLATINUM EQUITY ADVISORS, LLC GENERAL PARTNER indirect 2021-05-01
OWL ROCK CAPITAL ADVISORS LLC MEMBER indirect 2021-05-01
OWL ROCK CAPITAL PRIVATE FUND ADVISORS LLC MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
OWL ROCK DIVERSIFIED ADVISORS LLC MEMBER indirect 2021-05-01
DYAL II US INVESTORS LP LIMITED PARTNER DYAL CAPITAL PARTNERS II (B) LP 09/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
JANA PARTNERS LLC LIMITED PARTNER indirect 2014-07-01
DYAL II US INVESTORS LP LIMITED PARTNER DYAL CAPITAL PARTNERS II (A) LP 09/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
JANA PARTNERS LLC LIMITED PARTNER indirect 2014-07-01
VOGEL, ROBERT, JACOB SOLE OWNER SKAGDAY, INC. 07/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
DYAL US II LLC LIMITED PARTNER DYAL CAPITAL PARTNERS II (A) LP 12/01/2013 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
JANA PARTNERS LLC LIMITED PARTNER indirect 2014-07-01
DYAL GP HOLDINGS LLC MANAGING MEMBER DYAL CAPITAL PARTNERS II GP LLC 05/01/2021 Indirect Other
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
NBSH ACQUISITION LLC MANAGING MEMBER NBSH BLUE INVESTMENTS, LLC 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MEMBER indirect 2009-05-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-05-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER indirect 2009-02-01
ATALAYA CAPITAL MANAGEMENT LP MEMBER indirect 2009-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WHITEBOX MULTI-STRATEGY PARTNERS, L.P. Cayman Islands 805-2480595175 Hedge Fund 3,868,610,672 5,000,000 Master Fund
WHITEBOX ASYMMETRIC PARTNERS, L.P. Cayman Islands 805-4346843958 Hedge Fund 15,935,953 1,000,000 Master Fund
WHITEBOX TERM CREDIT FUND III LP United States 805-4576254397 Other Private Fund CLOSED END FUND 5,393,608 5,000,000 Master Fund
WHITEBOX CREDIT PARTNERS, L.P. Cayman Islands 805-9946380785 Hedge Fund 46,472,275 5,000,000 Master Fund
WHITEBOX KFA ADVANTAGE, LLC United States 805-3593135748 Hedge Fund 518,901,305 0
WHITEBOX RELATIVE VALUE PARTNERS, L.P. Cayman Islands 805-2985047095 Hedge Fund 3,915,303,281 5,000,000 Master Fund
WHITEBOX CLO III LTD Cayman Islands 805-6650678793 Securitized Asset Fund 423,120,000 250,000
WHITEBOX GT FUND, L.P. United States 805-8357721713 Hedge Fund 372,762,158 0
WHITEBOX INSTITUTIONAL PARTNERS, L.P. United States 805-2227173487 Hedge Fund 8,380,161 0
WHITEBOX CLO I LTD Cayman Islands 805-9123460055 Securitized Asset Fund 401,450,000 250,000
WHITEBOX CLO II LTD Cayman Islands 805-5358933690 Securitized Asset Fund 404,400,000 250,000
PANDORA SELECT PARTNERS, L.P. Cayman Islands 805-3521175008 Hedge Fund 422,425,647 10,000,000 Master Fund
WHITEBOX CAJA BLANCA FUND, LP United States 805-6832944534 Hedge Fund 225,795,484 0

WHITEBOX ADVISORS LLC

ownership team - last updated 2022-03-31
Name Title Start Date Direct/Indirect % Ownership
DYAL CAPITAL PARTNERS II (A) LP MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
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
ATALAYA CAPITAL MANAGEMENT LP LIMITED PARTNER OF ATALAYA CAPITAL MANAGEMENT LP direct 2017-07-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LP direct 2017-03-01
MERCER, JACOB, PAUL PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING 01/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING direct 2017-01-01
KARIM, MUQUARRAB, BIN CHIEF OPERATING OFFICER 07/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SABA CAPITAL MANAGEMENT, L.P. CHIEF FINANCIAL OFFICER direct 2014-05-01
SABA CAPITAL MANAGEMENT, L.P. CHIEF FINANCIAL OFFICER (SABA CAPITAL MANAGEMENT, LP) direct 2014-05-01
SABA CAPITAL MANAGEMENT, L.P. CHIEF OPERATIONS OFFICER (SABA CAPITAL MANAGEMENT, LP) direct 2014-05-01
SKAGDAY, INC. MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
DYAL CAPITAL PARTNERS II (B) LP MEMBER OF WHITEBOX GENERAL PARTNER LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX GENERAL PARTNER LLC direct 2015-08-01
VOGEL, ROBERT, JACOB PARTNER 01/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
CONRAD, LISA, RAGGI CHIEF COMPLIANCE OFFICER 04/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ANGELO, GORDON ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2009-06-01
CBAM PARTNERS, LLC CHIEF COMPLIANCE OFFICER OF REGISTRANT AND RELYING ADVISOR direct 2017-03-01
STANFIELD CAPITAL PARTNERS LLC GENERAL COUNSEL direct 1998-04-01 2001-03-26
STANFIELD CAPITAL PARTNERS LLC GENERAL COUNSEL direct 1998-05-01 2003-08-20
ANGELO, GORDON & CO., L.P. CHIEF COMPLIANCE OFFICER direct 2009-06-01 2011-03-31
SILVERMINE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2012-07-01 2016-04-28
CHAIN BRIDGE ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2017-03-01 2017-04-17
LOFTON, BRIAN, JOSEPH CHIEF RISK OFFICER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF RISK OFFICER direct 2014-05-01
RIEPE, ROBERT, JOHN CHIEF FINANCIAL OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2017-06-01
ROOS, PAUL PARTNER, HEAD OF STRUCTURED CREDIT 06/01/2021 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC PARTNER, HEAD OF STRUCTURED CREDIT direct 2021-06-01
DYAL II OFFSHORE INVESTORS LP LIMITED PARTNER DYAL CAYMAN OFFSHORE II LP 12/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
JANA PARTNERS LLC MEMBER indirect 2014-07-01
BLUE OWL CAPITAL CARRY LP MEMBER DYAL GP HOLDINGS LLC 05/01/2021 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PLATINUM EQUITY ADVISORS, LLC MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC MEMBER indirect 2021-05-01
DYAL CAYMAN OFFSHORE II LP LIMITED PARTNER DYAL CAPITAL PARTNERS II (B) LP 12/01/2013 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC LIMITED PARTNER indirect 2013-12-01
DYAL CAPITAL PARTNERS II GP LLC GENERAL PARTNER DYAL CAPITAL PARTNERS II (A) LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL CAPITAL PARTNERS II GP LLC GENERAL PARTNER DYAL II US INVESTORS LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL CAPITAL PARTNERS II GP LLC GENERAL PARTNER DYAL II OFFSHORE INVESTORS LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL CAPITAL PARTNERS II GP LLC GENERAL PARTNER DYAL CAPITAL PARTNERS II (B) LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL CAPITAL PARTNERS II GP LLC GENERAL PARTNER DYAL CAYMAN OFFSHORE II LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL CAPITAL PARTNERS II GP LLC MANAGING MEMBER DYAL US II LLC 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL II OFFSHORE INVESTORS LP MEMBER DYAL US II LLC 12/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
JANA PARTNERS LLC MEMBER indirect 2014-07-01
BLUE OWL CAPITAL INC. MANAGING MEMBER BLUE OWL CAPITAL GP LLC 05/01/2021 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NB DYAL ADVISORS LLC SOLE MEMBER indirect 2021-05-01
OWL ROCK CAPITAL ADVISORS LLC SOLE MEMBER indirect 2021-05-01
OWL ROCK CAPITAL PRIVATE FUND ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
PLATINUM EQUITY ADVISORS, LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
OWL ROCK DIVERSIFIED ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
OWL ROCK TECHNOLOGY ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
DYAL GP HOLDINGS LLC MANAGING MEMBER DYAL CAPITAL PARTNERS II GP LLC 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
NB DYAL ADVISORS LLC SOLE MEMBER indirect 2021-05-01
OWL ROCK CAPITAL ADVISORS LLC SOLE MEMBER indirect 2021-05-01
OWL ROCK CAPITAL PRIVATE FUND ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
PLATINUM EQUITY ADVISORS, LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
OWL ROCK DIVERSIFIED ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
OWL ROCK TECHNOLOGY ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
NBSH BLUE INVESTMENTS, LLC LIMITED PARTNER BLUE OWL CAPITAL CARRY LP 05/01/2021 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
NB DYAL ADVISORS LLC MEMBER indirect 2021-05-01
OWL ROCK TECHNOLOGY ADVISORS LLC MEMBER indirect 2021-05-01
PLATINUM EQUITY ADVISORS, LLC LIMITED PARTNER indirect 2021-05-01
OWL ROCK CAPITAL ADVISORS LLC MEMBER indirect 2021-05-01
OWL ROCK CAPITAL PRIVATE FUND ADVISORS LLC MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC LIMITED PARTNER indirect 2021-05-01
OWL ROCK DIVERSIFIED ADVISORS LLC MEMBER indirect 2021-05-01
BLUE OWL CAPITAL GP LLC GENERAL PARTNER BLUE OWL CAPITAL CARRY LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
NB DYAL ADVISORS LLC MEMBER indirect 2021-05-01
OWL ROCK TECHNOLOGY ADVISORS LLC MEMBER indirect 2021-05-01
PLATINUM EQUITY ADVISORS, LLC GENERAL PARTNER indirect 2021-05-01
OWL ROCK CAPITAL ADVISORS LLC MEMBER indirect 2021-05-01
OWL ROCK CAPITAL PRIVATE FUND ADVISORS LLC MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
OWL ROCK DIVERSIFIED ADVISORS LLC MEMBER indirect 2021-05-01
DYAL II US INVESTORS LP LIMITED PARTNER DYAL CAPITAL PARTNERS II (B) LP 09/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
JANA PARTNERS LLC LIMITED PARTNER indirect 2014-07-01
DYAL II US INVESTORS LP LIMITED PARTNER DYAL CAPITAL PARTNERS II (A) LP 09/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
JANA PARTNERS LLC LIMITED PARTNER indirect 2014-07-01
VOGEL, ROBERT, JACOB SOLE OWNER SKAGDAY, INC. 07/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
DYAL US II LLC LIMITED PARTNER DYAL CAPITAL PARTNERS II (A) LP 12/01/2013 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
JANA PARTNERS LLC LIMITED PARTNER indirect 2014-07-01
DYAL GP HOLDINGS LLC MANAGING MEMBER DYAL CAPITAL PARTNERS II GP LLC 05/01/2021 Indirect Other
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
NBSH ACQUISITION LLC MANAGING MEMBER NBSH BLUE INVESTMENTS, LLC 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MEMBER indirect 2009-05-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-05-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER indirect 2009-02-01
ATALAYA CAPITAL MANAGEMENT LP MEMBER indirect 2009-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PANDORA SELECT PARTNERS, L.P. Cayman Islands 805-3521175008 Hedge Fund 422,425,647 10,000,000 Master Fund
WHITEBOX CAJA BLANCA FUND, LP United States 805-6832944534 Hedge Fund 225,795,484 0
WHITEBOX MULTI-STRATEGY PARTNERS, L.P. Cayman Islands 805-2480595175 Hedge Fund 3,868,610,672 5,000,000 Master Fund
WHITEBOX ASYMMETRIC PARTNERS, L.P. Cayman Islands 805-4346843958 Hedge Fund 15,935,953 1,000,000 Master Fund
WHITEBOX TERM CREDIT FUND III LP United States 805-4576254397 Other Private Fund CLOSED END FUND 5,393,608 5,000,000 Master Fund
WHITEBOX CREDIT PARTNERS, L.P. Cayman Islands 805-9946380785 Hedge Fund 46,472,275 5,000,000 Master Fund
WHITEBOX KFA ADVANTAGE, LLC United States 805-3593135748 Hedge Fund 518,901,305 0
WHITEBOX RELATIVE VALUE PARTNERS, L.P. Cayman Islands 805-2985047095 Hedge Fund 3,915,303,281 5,000,000 Master Fund
WHITEBOX CLO III LTD Cayman Islands 805-6650678793 Securitized Asset Fund 423,120,000 250,000
WHITEBOX GT FUND, L.P. United States 805-8357721713 Hedge Fund 372,762,158 0
WHITEBOX INSTITUTIONAL PARTNERS, L.P. United States 805-2227173487 Hedge Fund 8,380,161 0
WHITEBOX CLO I LTD Cayman Islands 805-9123460055 Securitized Asset Fund 401,450,000 250,000
WHITEBOX CLO II LTD Cayman Islands 805-5358933690 Securitized Asset Fund 404,400,000 250,000

WHITEBOX ADVISORS LLC

ownership team - last updated 2021-08-16
Name Title Start Date Direct/Indirect % Ownership
DYAL CAPITAL PARTNERS II (A) LP MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
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
ATALAYA CAPITAL MANAGEMENT LP LIMITED PARTNER OF ATALAYA CAPITAL MANAGEMENT LP direct 2017-07-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LP direct 2017-03-01
MERCER, JACOB, PAUL PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING 01/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING direct 2017-01-01
KARIM, MUQUARRAB, BIN CHIEF OPERATING OFFICER 07/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SABA CAPITAL MANAGEMENT, L.P. CHIEF FINANCIAL OFFICER direct 2014-05-01
SABA CAPITAL MANAGEMENT, L.P. CHIEF FINANCIAL OFFICER (SABA CAPITAL MANAGEMENT, LP) direct 2014-05-01
SABA CAPITAL MANAGEMENT, L.P. CHIEF OPERATIONS OFFICER (SABA CAPITAL MANAGEMENT, LP) direct 2014-05-01
SKAGDAY, INC. MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
DYAL CAPITAL PARTNERS II (B) LP MEMBER OF WHITEBOX GENERAL PARTNER LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX GENERAL PARTNER LLC direct 2015-08-01
VOGEL, ROBERT, JACOB PARTNER 01/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
CONRAD, LISA, RAGGI CHIEF COMPLIANCE OFFICER 04/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ANGELO, GORDON ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2009-06-01
CBAM PARTNERS, LLC CHIEF COMPLIANCE OFFICER OF REGISTRANT AND RELYING ADVISOR direct 2017-03-01
STANFIELD CAPITAL PARTNERS LLC GENERAL COUNSEL direct 1998-04-01 2001-03-26
STANFIELD CAPITAL PARTNERS LLC GENERAL COUNSEL direct 1998-05-01 2003-08-20
ANGELO, GORDON & CO., L.P. CHIEF COMPLIANCE OFFICER direct 2009-06-01 2011-03-31
SILVERMINE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2012-07-01 2016-04-28
CHAIN BRIDGE ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2017-03-01 2017-04-17
LOFTON, BRIAN, JOSEPH CHIEF RISK OFFICER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF RISK OFFICER direct 2014-05-01
RIEPE, ROBERT, JOHN CHIEF FINANCIAL OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2017-06-01
ROOS, PAUL PARTNER, HEAD OF STRUCTURED CREDIT 06/01/2021 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC PARTNER, HEAD OF STRUCTURED CREDIT direct 2021-06-01
DYAL II OFFSHORE INVESTORS LP LIMITED PARTNER DYAL CAYMAN OFFSHORE II LP 12/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
JANA PARTNERS LLC MEMBER indirect 2014-07-01
BLUE OWL CAPITAL CARRY LP MEMBER DYAL GP HOLDINGS LLC 05/01/2021 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PLATINUM EQUITY ADVISORS, LLC MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC MEMBER indirect 2021-05-01
DYAL CAYMAN OFFSHORE II LP LIMITED PARTNER DYAL CAPITAL PARTNERS II (B) LP 12/01/2013 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC LIMITED PARTNER indirect 2013-12-01
DYAL CAPITAL PARTNERS II GP LLC GENERAL PARTNER DYAL CAPITAL PARTNERS II (A) LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL CAPITAL PARTNERS II GP LLC GENERAL PARTNER DYAL II US INVESTORS LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL CAPITAL PARTNERS II GP LLC GENERAL PARTNER DYAL II OFFSHORE INVESTORS LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL CAPITAL PARTNERS II GP LLC GENERAL PARTNER DYAL CAPITAL PARTNERS II (B) LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL CAPITAL PARTNERS II GP LLC GENERAL PARTNER DYAL CAYMAN OFFSHORE II LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL CAPITAL PARTNERS II GP LLC MANAGING MEMBER DYAL US II LLC 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL II OFFSHORE INVESTORS LP MEMBER DYAL US II LLC 12/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
JANA PARTNERS LLC MEMBER indirect 2014-07-01
BLUE OWL CAPITAL INC. MANAGING MEMBER BLUE OWL CAPITAL GP LLC 05/01/2021 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NB DYAL ADVISORS LLC SOLE MEMBER indirect 2021-05-01
OWL ROCK CAPITAL ADVISORS LLC SOLE MEMBER indirect 2021-05-01
OWL ROCK CAPITAL PRIVATE FUND ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
PLATINUM EQUITY ADVISORS, LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
OWL ROCK DIVERSIFIED ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
OWL ROCK TECHNOLOGY ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
DYAL GP HOLDINGS LLC MANAGING MEMBER DYAL CAPITAL PARTNERS II GP LLC 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
NB DYAL ADVISORS LLC SOLE MEMBER indirect 2021-05-01
OWL ROCK CAPITAL ADVISORS LLC SOLE MEMBER indirect 2021-05-01
OWL ROCK CAPITAL PRIVATE FUND ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
PLATINUM EQUITY ADVISORS, LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
OWL ROCK DIVERSIFIED ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
OWL ROCK TECHNOLOGY ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
NBSH BLUE INVESTMENTS, LLC LIMITED PARTNER BLUE OWL CAPITAL CARRY LP 05/01/2021 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
NB DYAL ADVISORS LLC MEMBER indirect 2021-05-01
OWL ROCK TECHNOLOGY ADVISORS LLC MEMBER indirect 2021-05-01
PLATINUM EQUITY ADVISORS, LLC LIMITED PARTNER indirect 2021-05-01
OWL ROCK CAPITAL ADVISORS LLC MEMBER indirect 2021-05-01
OWL ROCK CAPITAL PRIVATE FUND ADVISORS LLC MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC LIMITED PARTNER indirect 2021-05-01
OWL ROCK DIVERSIFIED ADVISORS LLC MEMBER indirect 2021-05-01
BLUE OWL CAPITAL GP LLC GENERAL PARTNER BLUE OWL CAPITAL CARRY LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
NB DYAL ADVISORS LLC MEMBER indirect 2021-05-01
OWL ROCK TECHNOLOGY ADVISORS LLC MEMBER indirect 2021-05-01
PLATINUM EQUITY ADVISORS, LLC GENERAL PARTNER indirect 2021-05-01
OWL ROCK CAPITAL ADVISORS LLC MEMBER indirect 2021-05-01
OWL ROCK CAPITAL PRIVATE FUND ADVISORS LLC MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
OWL ROCK DIVERSIFIED ADVISORS LLC MEMBER indirect 2021-05-01
DYAL II US INVESTORS LP LIMITED PARTNER DYAL CAPITAL PARTNERS II (B) LP 09/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
JANA PARTNERS LLC LIMITED PARTNER indirect 2014-07-01
DYAL II US INVESTORS LP LIMITED PARTNER DYAL CAPITAL PARTNERS II (A) LP 09/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
JANA PARTNERS LLC LIMITED PARTNER indirect 2014-07-01
VOGEL, ROBERT, JACOB SOLE OWNER SKAGDAY, INC. 07/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
DYAL US II LLC LIMITED PARTNER DYAL CAPITAL PARTNERS II (A) LP 12/01/2013 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
JANA PARTNERS LLC LIMITED PARTNER indirect 2014-07-01
DYAL GP HOLDINGS LLC MANAGING MEMBER DYAL CAPITAL PARTNERS II GP LLC 05/01/2021 Indirect Other
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
NBSH ACQUISITION LLC MANAGING MEMBER NBSH BLUE INVESTMENTS, LLC 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MEMBER indirect 2009-05-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-05-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER indirect 2009-02-01
ATALAYA CAPITAL MANAGEMENT LP MEMBER indirect 2009-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WHITEBOX KFA ADVANTAGE, LLC United States 805-3593135748 Hedge Fund 470,004,382 10,000,000
WHITEBOX RELATIVE VALUE PARTNERS, L.P. Cayman Islands 805-2985047095 Hedge Fund 3,465,709,473 5,000,000 Master Fund
WHITEBOX GT FUND, L.P. United States 805-8357721713 Hedge Fund 222,520,083 5,000,000
WHITEBOX INSTITUTIONAL PARTNERS, L.P. United States 805-2227173487 Hedge Fund 31,424,495 10,000,000
WHITEBOX CLO I LTD Cayman Islands 805-9123460055 Securitized Asset Fund 401,450,000 250,000
WHITEBOX CLO II LTD Cayman Islands 805-5358933690 Securitized Asset Fund 404,400,000 250,000
PANDORA SELECT PARTNERS, L.P. Cayman Islands 805-3521175008 Hedge Fund 574,482,022 10,000,000 Master Fund
WHITEBOX CAJA BLANCA FUND, LP United States 805-6832944534 Other Private Fund LOCKUP FUND 319,442,234 10,000,000
WHITEBOX MULTI-STRATEGY PARTNERS, L.P. Cayman Islands 805-2480595175 Hedge Fund 3,636,908,988 5,000,000 Master Fund
WHITEBOX ASYMMETRIC PARTNERS, L.P. Cayman Islands 805-4346843958 Hedge Fund 312,846,319 1,000,000 Master Fund
WHITEBOX TERM CREDIT FUND III LP United States 805-4576254397 Other Private Fund LOCKUP FUND 15,502,158 5,000,000 Master Fund
WHITEBOX CREDIT PARTNERS, L.P. Cayman Islands 805-9946380785 Hedge Fund 120,372,025 5,000,000 Master Fund

WHITEBOX ADVISORS LLC

ownership team - last updated 2021-06-23
Name Title Start Date Direct/Indirect % Ownership
DYAL CAPITAL PARTNERS II (A) LP MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
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
ATALAYA CAPITAL MANAGEMENT LP LIMITED PARTNER OF ATALAYA CAPITAL MANAGEMENT LP direct 2017-07-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LP direct 2017-03-01
MERCER, JACOB, PAUL PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING 01/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING direct 2017-01-01
KARIM, MUQUARRAB, BIN CHIEF OPERATING OFFICER 07/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SABA CAPITAL MANAGEMENT, L.P. CHIEF FINANCIAL OFFICER direct 2014-05-01
SABA CAPITAL MANAGEMENT, L.P. CHIEF FINANCIAL OFFICER (SABA CAPITAL MANAGEMENT, LP) direct 2014-05-01
SABA CAPITAL MANAGEMENT, L.P. CHIEF OPERATIONS OFFICER (SABA CAPITAL MANAGEMENT, LP) direct 2014-05-01
SKAGDAY, INC. MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
DYAL CAPITAL PARTNERS II (B) LP MEMBER OF WHITEBOX GENERAL PARTNER LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX GENERAL PARTNER LLC direct 2015-08-01
VOGEL, ROBERT, JACOB PARTNER 01/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
CONRAD, LISA, RAGGI CHIEF COMPLIANCE OFFICER 04/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ANGELO, GORDON ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2009-06-01
CBAM PARTNERS, LLC CHIEF COMPLIANCE OFFICER OF REGISTRANT AND RELYING ADVISOR direct 2017-03-01
STANFIELD CAPITAL PARTNERS LLC GENERAL COUNSEL direct 1998-04-01 2001-03-26
STANFIELD CAPITAL PARTNERS LLC GENERAL COUNSEL direct 1998-05-01 2003-08-20
ANGELO, GORDON & CO., L.P. CHIEF COMPLIANCE OFFICER direct 2009-06-01 2011-03-31
SILVERMINE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2012-07-01 2016-04-28
CHAIN BRIDGE ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2017-03-01 2017-04-17
TWITCHELL, PAUL, STEPHEN PARTNER 12/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GLOBAL HEAD OF EVENT STRATEGIES direct 2014-12-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF EVENT direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF NON-CORPORATE CREDIT AND MACRO direct 2014-12-01
LOFTON, BRIAN, JOSEPH CHIEF RISK OFFICER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF RISK OFFICER direct 2014-05-01
RIEPE, ROBERT, JOHN CHIEF FINANCIAL OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2017-06-01
DYAL II OFFSHORE INVESTORS LP LIMITED PARTNER DYAL CAYMAN OFFSHORE II LP 12/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
JANA PARTNERS LLC MEMBER indirect 2014-07-01
BLUE OWL CAPITAL CARRY LP MEMBER DYAL GP HOLDINGS LLC 05/01/2021 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PLATINUM EQUITY ADVISORS, LLC MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC MEMBER indirect 2021-05-01
DYAL CAYMAN OFFSHORE II LP LIMITED PARTNER DYAL CAPITAL PARTNERS II (B) LP 12/01/2013 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC LIMITED PARTNER indirect 2013-12-01
DYAL CAPITAL PARTNERS II GP LLC GENERAL PARTNER DYAL CAPITAL PARTNERS II (A) LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL CAPITAL PARTNERS II GP LLC GENERAL PARTNER DYAL II US INVESTORS LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL CAPITAL PARTNERS II GP LLC GENERAL PARTNER DYAL II OFFSHORE INVESTORS LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL CAPITAL PARTNERS II GP LLC GENERAL PARTNER DYAL CAPITAL PARTNERS II (B) LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL CAPITAL PARTNERS II GP LLC GENERAL PARTNER DYAL CAYMAN OFFSHORE II LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL CAPITAL PARTNERS II GP LLC MANAGING MEMBER DYAL US II LLC 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
DYAL II OFFSHORE INVESTORS LP MEMBER DYAL US II LLC 12/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
JANA PARTNERS LLC MEMBER indirect 2014-07-01
BLUE OWL CAPITAL INC. MANAGING MEMBER BLUE OWL CAPITAL GP LLC 05/01/2021 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NB DYAL ADVISORS LLC SOLE MEMBER indirect 2021-05-01
OWL ROCK CAPITAL ADVISORS LLC SOLE MEMBER indirect 2021-05-01
OWL ROCK CAPITAL PRIVATE FUND ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
PLATINUM EQUITY ADVISORS, LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
OWL ROCK DIVERSIFIED ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
OWL ROCK TECHNOLOGY ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
DYAL GP HOLDINGS LLC SOLE OWNER DYAL CAPITAL PARTNERS II GP LLC 05/01/2021 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NB DYAL ADVISORS LLC SOLE MEMBER indirect 2021-05-01
OWL ROCK CAPITAL ADVISORS LLC SOLE MEMBER indirect 2021-05-01
OWL ROCK CAPITAL PRIVATE FUND ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
PLATINUM EQUITY ADVISORS, LLC MANAGING MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
OWL ROCK DIVERSIFIED ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
WHITEBOX ADVISORS LLC MANAGING MEMBER indirect 2021-05-01
OWL ROCK TECHNOLOGY ADVISORS LLC SOLE MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2021-05-01
NBSH BLUE INVESTMENTS, LLC LIMITED PARTNER BLUE OWL CAPITAL CARRY LP 05/01/2021 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
NB DYAL ADVISORS LLC MEMBER indirect 2021-05-01
OWL ROCK TECHNOLOGY ADVISORS LLC MEMBER indirect 2021-05-01
PLATINUM EQUITY ADVISORS, LLC LIMITED PARTNER indirect 2021-05-01
OWL ROCK CAPITAL ADVISORS LLC MEMBER indirect 2021-05-01
OWL ROCK CAPITAL PRIVATE FUND ADVISORS LLC MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC LIMITED PARTNER indirect 2021-05-01
OWL ROCK DIVERSIFIED ADVISORS LLC MEMBER indirect 2021-05-01
BLUE OWL CAPITAL GP LLC GENERAL PARTNER BLUE OWL CAPITAL CARRY LP 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
NB DYAL ADVISORS LLC MEMBER indirect 2021-05-01
OWL ROCK TECHNOLOGY ADVISORS LLC MEMBER indirect 2021-05-01
PLATINUM EQUITY ADVISORS, LLC GENERAL PARTNER indirect 2021-05-01
OWL ROCK CAPITAL ADVISORS LLC MEMBER indirect 2021-05-01
OWL ROCK CAPITAL PRIVATE FUND ADVISORS LLC MEMBER indirect 2021-05-01
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2021-05-01
OWL ROCK DIVERSIFIED ADVISORS LLC MEMBER indirect 2021-05-01
DYAL II US INVESTORS LP LIMITED PARTNER DYAL CAPITAL PARTNERS II (B) LP 09/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
JANA PARTNERS LLC LIMITED PARTNER indirect 2014-07-01
DYAL II US INVESTORS LP LIMITED PARTNER DYAL CAPITAL PARTNERS II (A) LP 09/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
JANA PARTNERS LLC LIMITED PARTNER indirect 2014-07-01
VOGEL, ROBERT, JACOB SOLE OWNER SKAGDAY, INC. 07/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
DYAL US II LLC LIMITED PARTNER DYAL CAPITAL PARTNERS II (A) LP 12/01/2013 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
JANA PARTNERS LLC LIMITED PARTNER indirect 2014-07-01
DYAL GP HOLDINGS LLC MANAGING MEMBER DYAL CAPITAL PARTNERS II GP LLC 05/01/2021 Indirect Other
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
NBSH ACQUISITION LLC MANAGING MEMBER NBSH BLUE INVESTMENTS, LLC 05/01/2021 Indirect Other
Fund Name Position direct/indirect start date end date
NEUBERGER BERMAN ASIA LIMITED MEMBER indirect 2009-05-01
GREEN COURT CAPITAL MANAGEMENT LIMITED MEMBER indirect 2017-04-01
NEUBERGER BERMAN LOAN ADVISERS LLC MEMBER indirect 2009-05-01
HALCYON CAPITAL MANAGEMENT LP MEMBER indirect 2009-05-01
NEUBERGER BERMAN SINGAPORE PTE. LIMITED MEMBER indirect 2009-05-01
NEUBERGER BERMAN EUROPE LIMITED MEMBER indirect 2009-05-01
SOUND POINT CAPITAL MANAGEMENT, LP MEMBER indirect 2009-02-01
ATALAYA CAPITAL MANAGEMENT LP MEMBER indirect 2009-02-01
CAPSTONE INVESTMENT ADVISORS, LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE FUND MANAGEMENT LLC MEMBER indirect 2009-05-01
NB ALTERNATIVES ADVISERS LLC MEMBER indirect 2009-05-01
WATERFALL ASSET MANAGEMENT, LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN FIXED INCOME LLC MEMBER indirect 2009-05-01
NB ALTERNATIVE INVESTMENT MANAGEMENT LLC MEMBER indirect 2009-05-01
MKP CAPITAL MANAGEMENT, L.L.C. MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01
NEUBERGER BERMAN MANAGEMENT LLC MEMBER indirect 2009-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WHITEBOX CLO II LTD Cayman Islands 805-5358933690 Securitized Asset Fund 404,400,000 250,000
PANDORA SELECT PARTNERS, L.P. Cayman Islands 805-3521175008 Hedge Fund 574,482,022 10,000,000 Master Fund
WHITEBOX CAJA BLANCA FUND, LP United States 805-6832944534 Other Private Fund LOCKUP FUND 319,442,234 10,000,000
WHITEBOX MULTI-STRATEGY PARTNERS, L.P. Cayman Islands 805-2480595175 Hedge Fund 3,636,908,988 5,000,000 Master Fund
WHITEBOX ASYMMETRIC PARTNERS, L.P. Cayman Islands 805-4346843958 Hedge Fund 312,846,319 1,000,000 Master Fund
WHITEBOX TERM CREDIT FUND III LP United States 805-4576254397 Other Private Fund LOCKUP FUND 15,502,158 5,000,000 Master Fund
WHITEBOX CREDIT PARTNERS, L.P. Cayman Islands 805-9946380785 Hedge Fund 120,372,025 5,000,000 Master Fund
WHITEBOX KFA ADVANTAGE, LLC United States 805-3593135748 Hedge Fund 470,004,382 10,000,000
WHITEBOX RELATIVE VALUE PARTNERS, L.P. Cayman Islands 805-2985047095 Hedge Fund 3,465,709,473 5,000,000 Master Fund
WHITEBOX GT FUND, L.P. United States 805-8357721713 Hedge Fund 222,520,083 5,000,000
WHITEBOX INSTITUTIONAL PARTNERS, L.P. United States 805-2227173487 Hedge Fund 31,424,495 10,000,000
WHITEBOX CLO I LTD Cayman Islands 805-9123460055 Securitized Asset Fund 401,450,000 250,000

WHITEBOX ADVISORS LLC

ownership team - last updated 2021-03-26
Name Title Start Date Direct/Indirect % Ownership
HARDY, CHRISTOPHER, RIDGELY CHIEF COMPLIANCE OFFICER 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2015-10-01
THE HELP NETWORK, INC. CHIEF COMPLIANCE OFFICER direct 2000-10-01 2001-03-30
THE HELP NETWORK, INC. COO/CCO/V.P. direct 2000-10-01 2001-12-11
MERCER, JACOB, PAUL PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING 01/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING direct 2017-01-01
KARIM, MUQUARRAB, BIN CHIEF OPERATING OFFICER 07/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SABA CAPITAL MANAGEMENT, L.P. CHIEF FINANCIAL OFFICER direct 2014-05-01
SABA CAPITAL MANAGEMENT, L.P. CHIEF FINANCIAL OFFICER (SABA CAPITAL MANAGEMENT, LP) direct 2014-05-01
SABA CAPITAL MANAGEMENT, L.P. CHIEF OPERATIONS OFFICER (SABA CAPITAL MANAGEMENT, LP) direct 2014-05-01
SKAGDAY, INC. MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
VOGEL, ROBERT, JACOB PARTNER 01/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
TWITCHELL, PAUL, STEPHEN PARTNER 12/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GLOBAL HEAD OF EVENT STRATEGIES direct 2014-12-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF EVENT direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF NON-CORPORATE CREDIT AND MACRO direct 2014-12-01
LOFTON, BRIAN, JOSEPH CHIEF RISK OFFICER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF RISK OFFICER direct 2014-05-01
RIEPE, ROBERT, JOHN CHIEF FINANCIAL OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2017-06-01
DYAL CAPITAL PARTNERS II (A) LP MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
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
ATALAYA CAPITAL MANAGEMENT LP LIMITED PARTNER OF ATALAYA CAPITAL MANAGEMENT LP direct 2017-07-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LP direct 2017-03-01
DYAL CAPITAL PARTNERS II (B) LP MEMBER OF WHITEBOX GENERAL PARTNER LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX GENERAL PARTNER LLC direct 2015-08-01
VOGEL, ROBERT, JACOB SOLE OWNER SKAGDAY, INC. 07/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
NB DYAL ASSOCIATES II LP GENERAL PARTNER DYAL CAPITAL PARTNERS II (A) LP AND DYAL CAPITAL PARTNERS II (B) LP 09/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2013-09-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2013-09-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WHITEBOX CLO II LTD Cayman Islands 805-5358933690 Securitized Asset Fund 404,400,000 250,000
PANDORA SELECT PARTNERS, L.P. Cayman Islands 805-3521175008 Hedge Fund 574,482,022 10,000,000 Master Fund
WHITEBOX CAJA BLANCA FUND, LP United States 805-6832944534 Other Private Fund LOCKUP FUND 319,442,234 10,000,000
WHITEBOX MULTI-STRATEGY PARTNERS, L.P. Cayman Islands 805-2480595175 Hedge Fund 3,636,908,988 5,000,000 Master Fund
WHITEBOX RELATIVE VALUE PARTNERS, L.P. Cayman Islands 805-2985047095 Hedge Fund 3,465,709,473 5,000,000 Master Fund
WHITEBOX GT FUND, L.P. United States 805-8357721713 Hedge Fund 222,520,083 5,000,000
WHITEBOX INSTITUTIONAL PARTNERS, L.P. United States 805-2227173487 Hedge Fund 31,424,495 10,000,000
WHITEBOX CLO I LTD Cayman Islands 805-9123460055 Securitized Asset Fund 401,450,000 250,000
WHITEBOX ASYMMETRIC PARTNERS, L.P. Cayman Islands 805-4346843958 Hedge Fund 312,846,319 1,000,000 Master Fund
WHITEBOX TERM CREDIT FUND III LP United States 805-4576254397 Other Private Fund LOCKUP FUND 15,502,158 5,000,000 Master Fund
WHITEBOX CREDIT PARTNERS, L.P. Cayman Islands 805-9946380785 Hedge Fund 120,372,025 5,000,000 Master Fund
WHITEBOX KFA ADVANTAGE, LLC United States 805-3593135748 Hedge Fund 470,004,382 10,000,000

WHITEBOX ADVISORS LLC

ownership team - last updated 2020-11-12
Name Title Start Date Direct/Indirect % Ownership
HARDY, CHRISTOPHER, RIDGELY CHIEF COMPLIANCE OFFICER 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2015-10-01
THE HELP NETWORK, INC. CHIEF COMPLIANCE OFFICER direct 2000-10-01 2001-03-30
THE HELP NETWORK, INC. COO/CCO/V.P. direct 2000-10-01 2001-12-11
MERCER, JACOB, PAUL PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING 01/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING direct 2017-01-01
KARIM, MUQUARRAB, BIN CHIEF OPERATING OFFICER 07/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SABA CAPITAL MANAGEMENT, L.P. CHIEF FINANCIAL OFFICER direct 2014-05-01
SABA CAPITAL MANAGEMENT, L.P. CHIEF FINANCIAL OFFICER (SABA CAPITAL MANAGEMENT, LP) direct 2014-05-01
SABA CAPITAL MANAGEMENT, L.P. CHIEF OPERATIONS OFFICER (SABA CAPITAL MANAGEMENT, LP) direct 2014-05-01
SKAGDAY, INC. MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
VOGEL, ROBERT, JACOB PARTNER 01/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
TWITCHELL, PAUL, STEPHEN PARTNER 12/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GLOBAL HEAD OF EVENT STRATEGIES direct 2014-12-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF EVENT direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF NON-CORPORATE CREDIT AND MACRO direct 2014-12-01
LOFTON, BRIAN, JOSEPH CHIEF RISK OFFICER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF RISK OFFICER direct 2014-05-01
RIEPE, ROBERT, JOHN CHIEF FINANCIAL OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2017-06-01
DYAL CAPITAL PARTNERS II (A) LP MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
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
ATALAYA CAPITAL MANAGEMENT LP LIMITED PARTNER OF ATALAYA CAPITAL MANAGEMENT LP direct 2017-07-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LP direct 2017-03-01
DYAL CAPITAL PARTNERS II (B) LP MEMBER OF WHITEBOX GENERAL PARTNER LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX GENERAL PARTNER LLC direct 2015-08-01
VOGEL, ROBERT, JACOB SOLE OWNER SKAGDAY, INC. 07/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
NB DYAL ASSOCIATES II LP GENERAL PARTNER DYAL CAPITAL PARTNERS II (A) LP AND DYAL CAPITAL PARTNERS II (B) LP 09/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2013-09-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2013-09-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WHITEBOX CLO II LTD Cayman Islands 805-5358933690 Securitized Asset Fund 404,000,000 250,000
PANDORA SELECT PARTNERS, L.P. Cayman Islands 805-3521175008 Hedge Fund 584,637,308 10,000,000 Master Fund
WHITEBOX CAJA BLANCA FUND, LP United States 805-6832944534 Other Private Fund LOCKUP FUND 237,971,195 10,000,000
WHITEBOX MULTI-STRATEGY PARTNERS, L.P. Cayman Islands 805-2480595175 Hedge Fund 3,415,535,265 5,000,000 Master Fund
WHITEBOX RELATIVE VALUE PARTNERS, L.P. Cayman Islands 805-2985047095 Hedge Fund 2,146,833,440 5,000,000 Master Fund
WHITEBOX GT FUND, L.P. United States 805-8357721713 Hedge Fund 122,391,281 5,000,000
WHITEBOX INSTITUTIONAL PARTNERS, L.P. United States 805-2227173487 Hedge Fund 94,975,267 10,000,000
WHITEBOX CLO I LTD Cayman Islands 805-9123460055 Securitized Asset Fund 400,847,591 250,000
WHITEBOX ASYMMETRIC PARTNERS, L.P. Cayman Islands 805-4346843958 Hedge Fund 1,217,161,427 1,000,000 Master Fund
WHITEBOX TERM CREDIT FUND III LP United States 805-4576254397 Other Private Fund LOCKUP FUND 0 5,000,000 Master Fund
WHITEBOX CREDIT PARTNERS, L.P. Cayman Islands 805-9946380785 Hedge Fund 188,079,858 5,000,000 Master Fund
WHITEBOX KFA ADVANTAGE, LLC United States 805-3593135748 Hedge Fund 445,353,851 10,000,000

WHITEBOX ADVISORS LLC

ownership team - last updated 2020-09-14
Name Title Start Date Direct/Indirect % Ownership
HARDY, CHRISTOPHER, RIDGELY CHIEF COMPLIANCE OFFICER 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2015-10-01
THE HELP NETWORK, INC. CHIEF COMPLIANCE OFFICER direct 2000-10-01 2001-03-30
THE HELP NETWORK, INC. COO/CCO/V.P. direct 2000-10-01 2001-12-11
MERCER, JACOB, PAUL PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING 01/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING direct 2017-01-01
KARIM, MUQUARRAB, BIN CHIEF OPERATING OFFICER 07/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SABA CAPITAL MANAGEMENT, L.P. CHIEF FINANCIAL OFFICER direct 2014-05-01
SABA CAPITAL MANAGEMENT, L.P. CHIEF FINANCIAL OFFICER (SABA CAPITAL MANAGEMENT, LP) direct 2014-05-01
SABA CAPITAL MANAGEMENT, L.P. CHIEF OPERATIONS OFFICER (SABA CAPITAL MANAGEMENT, LP) direct 2014-05-01
SKAGDAY, INC. MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
VOGEL, ROBERT, JACOB PARTNER 01/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
TWITCHELL, PAUL, STEPHEN PARTNER 12/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GLOBAL HEAD OF EVENT STRATEGIES direct 2014-12-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF EVENT direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF NON-CORPORATE CREDIT AND MACRO direct 2014-12-01
LOFTON, BRIAN, JOSEPH CHIEF RISK OFFICER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF RISK OFFICER direct 2014-05-01
RIEPE, ROBERT, JOHN CHIEF FINANCIAL OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2017-06-01
DYAL CAPITAL PARTNERS II (A) LP MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
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
ATALAYA CAPITAL MANAGEMENT LP LIMITED PARTNER OF ATALAYA CAPITAL MANAGEMENT LP direct 2017-07-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LP direct 2017-03-01
DYAL CAPITAL PARTNERS II (B) LP MEMBER OF WHITEBOX GENERAL PARTNER LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX GENERAL PARTNER LLC direct 2015-08-01
VOGEL, ROBERT, JACOB SOLE OWNER SKAGDAY, INC. 07/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
NB DYAL ASSOCIATES II LP GENERAL PARTNER DYAL CAPITAL PARTNERS II (A) LP AND DYAL CAPITAL PARTNERS II (B) LP 09/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2013-09-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2013-09-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PANDORA SELECT PARTNERS, L.P. Cayman Islands 805-3521175008 Hedge Fund 584,637,308 10,000,000 Master Fund
WHITEBOX CAJA BLANCA FUND, LP United States 805-6832944534 Other Private Fund LOCKUP FUND 237,971,195 10,000,000
WHITEBOX MULTI-STRATEGY PARTNERS, L.P. Cayman Islands 805-2480595175 Hedge Fund 3,415,535,265 5,000,000 Master Fund
WHITEBOX RELATIVE VALUE PARTNERS, L.P. Cayman Islands 805-2985047095 Hedge Fund 2,146,833,440 5,000,000 Master Fund
WHITEBOX GT FUND, L.P. United States 805-8357721713 Hedge Fund 122,391,281 5,000,000
WHITEBOX INSTITUTIONAL PARTNERS, L.P. United States 805-2227173487 Hedge Fund 94,975,267 10,000,000
WHITEBOX CLO I LTD Cayman Islands 805-9123460055 Securitized Asset Fund 400,847,591 250,000
WHITEBOX ASYMMETRIC PARTNERS, L.P. Cayman Islands 805-4346843958 Hedge Fund 1,217,161,427 1,000,000 Master Fund
WHITEBOX TERM CREDIT FUND III LP United States 805-4576254397 Other Private Fund LOCKUP FUND 0 5,000,000 Master Fund
WHITEBOX CREDIT PARTNERS, L.P. Cayman Islands 805-9946380785 Hedge Fund 188,079,858 5,000,000 Master Fund
WHITEBOX KFA ADVANTAGE, LLC United States 805-3593135748 Hedge Fund 445,353,851 10,000,000

WHITEBOX ADVISORS LLC

ownership team - last updated 2020-05-22
Name Title Start Date Direct/Indirect % Ownership
HARDY, CHRISTOPHER, RIDGELY CHIEF COMPLIANCE OFFICER 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2015-10-01
THE HELP NETWORK, INC. CHIEF COMPLIANCE OFFICER direct 2000-10-01 2001-03-30
THE HELP NETWORK, INC. COO/CCO/V.P. direct 2000-10-01 2001-12-11
MERCER, JACOB, PAUL PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING 01/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING direct 2017-01-01
SKAGDAY, INC. MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
VOGEL, ROBERT, JACOB PARTNER 01/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
STREFLING, MARK, MCLYNN PARTNER, CHIEF EXECUTIVE OFFICER & GENERAL COUNSEL 02/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER direct 2008-01-01
WHITEBOX ADVISORS LLC GENERAL COUNSEL/CHIEF OPERATING OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC PARTNER, CHIEF OPERATING OFFICER & GENERAL COUNSEL direct 2008-02-01
WHITEBOX ADVISORS LLC PARTNER, CHIEF EXECUTIVE OFFICER & GENERAL COUNSEL direct 2008-02-01
WHITEBOX ADVISORS LLC GENERAL COUNSEL/CHIEF LEGAL OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER / CHIEF COMPLIANCE OFFICER direct 2009-02-01
TWITCHELL, PAUL, STEPHEN PARTNER 12/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GLOBAL HEAD OF EVENT STRATEGIES direct 2014-12-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF EVENT direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF NON-CORPORATE CREDIT AND MACRO direct 2014-12-01
LOFTON, BRIAN, JOSEPH CHIEF RISK OFFICER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF RISK OFFICER direct 2014-05-01
RIEPE, ROBERT, JOHN CHIEF FINANCIAL OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2017-06-01
DYAL CAPITAL PARTNERS II (A) LP MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
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
ATALAYA CAPITAL MANAGEMENT LP LIMITED PARTNER OF ATALAYA CAPITAL MANAGEMENT LP direct 2017-07-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LP direct 2017-03-01
DYAL CAPITAL PARTNERS II (B) LP MEMBER OF WHITEBOX GENERAL PARTNER LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX GENERAL PARTNER LLC direct 2015-08-01
VOGEL, ROBERT, JACOB SOLE OWNER SKAGDAY, INC. 07/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
NB DYAL ASSOCIATES II LP GENERAL PARTNER DYAL CAPITAL PARTNERS II (A) LP AND DYAL CAPITAL PARTNERS II (B) LP 09/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2013-09-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2013-09-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WHITEBOX CREDIT PARTNERS, L.P. Cayman Islands 805-9946380785 Hedge Fund 188,079,858 5,000,000 Master Fund
WHITEBOX KFA ADVANTAGE, LLC United States 805-3593135748 Hedge Fund 445,353,851 10,000,000
PANDORA SELECT PARTNERS, L.P. Cayman Islands 805-3521175008 Hedge Fund 584,637,308 10,000,000 Master Fund
WHITEBOX TERM CREDIT FUND II L.P. United States 805-1599991111 Other Private Fund LOCKUP FUND 0 5,000,000 Master Fund
WHITEBOX CAJA BLANCA FUND, LP United States 805-6832944534 Other Private Fund LOCKUP FUND 237,971,195 10,000,000
WHITEBOX MULTI-STRATEGY PARTNERS, L.P. Cayman Islands 805-2480595175 Hedge Fund 3,415,535,265 5,000,000 Master Fund
WHITEBOX RELATIVE VALUE PARTNERS, L.P. Cayman Islands 805-2985047095 Hedge Fund 2,146,833,440 5,000,000 Master Fund
WHITEBOX GT FUND, L.P. United States 805-8357721713 Hedge Fund 122,391,281 5,000,000
WHITEBOX INSTITUTIONAL PARTNERS, L.P. United States 805-2227173487 Hedge Fund 94,975,267 10,000,000
WHITEBOX CLO I LTD Cayman Islands 805-9123460055 Securitized Asset Fund 400,847,591 250,000
WHITEBOX ASYMMETRIC PARTNERS, L.P. Cayman Islands 805-4346843958 Hedge Fund 1,217,161,427 1,000,000 Master Fund
WHITEBOX TERM CREDIT FUND III LP United States 805-4576254397 Other Private Fund LOCKUP FUND 0 5,000,000 Master Fund

WHITEBOX ADVISORS 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
WHITEBOX CREDIT PARTNERS, L.P. British Virgin Islands 805-9946380785 Hedge Fund 188,079,858 5,000,000 Master Fund
WHITEBOX KFA ADVANTAGE, LLC United States 805-3593135748 Hedge Fund 445,353,851 10,000,000
PANDORA SELECT PARTNERS, L.P. British Virgin Islands 805-3521175008 Hedge Fund 584,637,308 10,000,000 Master Fund
WHITEBOX TERM CREDIT FUND II L.P. United States 805-1599991111 Other Private Fund LOCKUP FUND 0 5,000,000 Master Fund
WHITEBOX CAJA BLANCA FUND, LP United States 805-6832944534 Other Private Fund LOCKUP FUND 237,971,195 10,000,000
WHITEBOX MULTI-STRATEGY PARTNERS, L.P. British Virgin Islands 805-2480595175 Hedge Fund 3,415,535,265 5,000,000 Master Fund
WHITEBOX RELATIVE VALUE PARTNERS, L.P. British Virgin Islands 805-2985047095 Hedge Fund 2,146,833,440 5,000,000 Master Fund
WHITEBOX GT FUND, L.P. United States 805-8357721713 Hedge Fund 122,391,281 5,000,000
WHITEBOX INSTITUTIONAL PARTNERS, L.P. United States 805-2227173487 Hedge Fund 94,975,267 10,000,000
WHITEBOX CLO I LTD Cayman Islands 805-9123460055 Securitized Asset Fund 400,847,591 250,000
WHITEBOX ASYMMETRIC PARTNERS, L.P. Cayman Islands 805-4346843958 Hedge Fund 1,217,161,427 1,000,000 Master Fund

WHITEBOX ADVISORS LLC

ownership team - last updated 2019-12-17
Name Title Start Date Direct/Indirect % Ownership
HARDY, CHRISTOPHER, RIDGELY CHIEF COMPLIANCE OFFICER 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2015-10-01
THE HELP NETWORK, INC. CHIEF COMPLIANCE OFFICER direct 2000-10-01 2001-03-30
THE HELP NETWORK, INC. COO/CCO/V.P. direct 2000-10-01 2001-12-11
MERCER, JACOB, PAUL PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING 01/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING direct 2017-01-01
SKAGDAY, INC. MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
VOGEL, ROBERT, JACOB PARTNER 01/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
STREFLING, MARK, MCLYNN PARTNER, CHIEF EXECUTIVE OFFICER & GENERAL COUNSEL 02/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER direct 2008-01-01
WHITEBOX ADVISORS LLC GENERAL COUNSEL/CHIEF OPERATING OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC PARTNER, CHIEF OPERATING OFFICER & GENERAL COUNSEL direct 2008-02-01
WHITEBOX ADVISORS LLC PARTNER, CHIEF EXECUTIVE OFFICER & GENERAL COUNSEL direct 2008-02-01
WHITEBOX ADVISORS LLC GENERAL COUNSEL/CHIEF LEGAL OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER / CHIEF COMPLIANCE OFFICER direct 2009-02-01
TWITCHELL, PAUL, STEPHEN PARTNER 12/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GLOBAL HEAD OF EVENT STRATEGIES direct 2014-12-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF EVENT direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF NON-CORPORATE CREDIT AND MACRO direct 2014-12-01
LOFTON, BRIAN, JOSEPH CHIEF RISK OFFICER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF RISK OFFICER direct 2014-05-01
RIEPE, ROBERT, JOHN CHIEF FINANCIAL OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2017-06-01
DYAL CAPITAL PARTNERS II (A) LP MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
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
ATALAYA CAPITAL MANAGEMENT LP LIMITED PARTNER OF ATALAYA CAPITAL MANAGEMENT LP direct 2017-07-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LP direct 2017-03-01
DYAL CAPITAL PARTNERS II (B) LP MEMBER OF WHITEBOX GENERAL PARTNER LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX GENERAL PARTNER LLC direct 2015-08-01
VOGEL, ROBERT, JACOB SOLE OWNER SKAGDAY, INC. 07/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
NB DYAL ASSOCIATES II LP GENERAL PARTNER DYAL CAPITAL PARTNERS II (A) LP AND DYAL CAPITAL PARTNERS II (B) LP 09/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2013-09-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2013-09-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WHITEBOX GT FUND, L.P. United States 805-8357721713 Hedge Fund 110,735,921 5,000,000
WHITEBOX INSTITUTIONAL PARTNERS, L.P. United States 805-2227173487 Hedge Fund 127,249,653 10,000,000
WHITEBOX CLO I LTD Cayman Islands 805-9123460055 Securitized Asset Fund 401,450,000 250,000
WHITEBOX ASYMMETRIC PARTNERS, L.P. Cayman Islands 805-4346843958 Hedge Fund 2,247,066,035 1,000,000 Master Fund
WHITEBOX CREDIT PARTNERS, L.P. British Virgin Islands 805-9946380785 Hedge Fund 231,356,548 5,000,000 Master Fund
WHITEBOX KFA ADVANTAGE, LLC United States 805-3593135748 Hedge Fund 407,879,236 10,000,000
WHITEBOX TERM CREDIT FUND I L.P. United States 805-2082926647 Other Private Fund LOCKUP FUND 97,205,692 10,000,000 Master Fund
PANDORA SELECT PARTNERS, L.P. British Virgin Islands 805-3521175008 Hedge Fund 514,550,090 10,000,000 Master Fund
WHITEBOX TERM CREDIT FUND II L.P. United States 805-1599991111 Other Private Fund LOCKUP FUND 0 5,000,000 Master Fund
WHITEBOX CAJA BLANCA FUND, LP United States 805-6832944534 Other Private Fund LOCKUP FUND 150,528,887 10,000,000
WHITEBOX MULTI-STRATEGY PARTNERS, L.P. British Virgin Islands 805-2480595175 Hedge Fund 3,756,722,296 5,000,000 Master Fund
WHITEBOX RELATIVE VALUE PARTNERS, L.P. British Virgin Islands 805-2985047095 Hedge Fund 1,608,368,182 5,000,000 Master Fund

WHITEBOX ADVISORS LLC

ownership team - last updated 2019-09-25
Name Title Start Date Direct/Indirect % Ownership
HARDY, CHRISTOPHER, RIDGELY CHIEF COMPLIANCE OFFICER 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2015-10-01
THE HELP NETWORK, INC. CHIEF COMPLIANCE OFFICER direct 2000-10-01 2001-03-30
THE HELP NETWORK, INC. COO/CCO/V.P. direct 2000-10-01 2001-12-11
MERCER, JACOB, PAUL PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING 01/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING direct 2017-01-01
SKAGDAY, INC. MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
VOGEL, ROBERT, JACOB PARTNER 01/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
STREFLING, MARK, MCLYNN PARTNER, CHIEF EXECUTIVE OFFICER & GENERAL COUNSEL 02/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER direct 2008-01-01
WHITEBOX ADVISORS LLC GENERAL COUNSEL/CHIEF OPERATING OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC PARTNER, CHIEF OPERATING OFFICER & GENERAL COUNSEL direct 2008-02-01
WHITEBOX ADVISORS LLC PARTNER, CHIEF EXECUTIVE OFFICER & GENERAL COUNSEL direct 2008-02-01
WHITEBOX ADVISORS LLC GENERAL COUNSEL/CHIEF LEGAL OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER / CHIEF COMPLIANCE OFFICER direct 2009-02-01
TWITCHELL, PAUL, STEPHEN PARTNER 12/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GLOBAL HEAD OF EVENT STRATEGIES direct 2014-12-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF EVENT direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF NON-CORPORATE CREDIT AND MACRO direct 2014-12-01
LOFTON, BRIAN, JOSEPH CHIEF RISK OFFICER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF RISK OFFICER direct 2014-05-01
RIEPE, ROBERT, JOHN CHIEF FINANCIAL OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2017-06-01
DYAL CAPITAL PARTNERS II (A) LP MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
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
ATALAYA CAPITAL MANAGEMENT LP LIMITED PARTNER OF ATALAYA CAPITAL MANAGEMENT LP direct 2017-07-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LP direct 2017-03-01
DYAL CAPITAL PARTNERS II (B) LP MEMBER OF WHITEBOX GENERAL PARTNER LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX GENERAL PARTNER LLC direct 2015-08-01
VOGEL, ROBERT, JACOB SOLE OWNER SKAGDAY, INC. 07/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
NB DYAL ASSOCIATES II LP GENERAL PARTNER DYAL CAPITAL PARTNERS II (A) LP AND DYAL CAPITAL PARTNERS II (B) LP 09/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2013-09-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2013-09-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WHITEBOX MULTI-STRATEGY PARTNERS, L.P. British Virgin Islands 805-2480595175 Hedge Fund 3,756,722,296 5,000,000 Master Fund
WHITEBOX RELATIVE VALUE PARTNERS, L.P. British Virgin Islands 805-2985047095 Hedge Fund 1,608,368,182 5,000,000 Master Fund
WHITEBOX GT FUND, L.P. United States 805-8357721713 Hedge Fund 110,735,921 5,000,000
WHITEBOX INSTITUTIONAL PARTNERS, L.P. United States 805-2227173487 Hedge Fund 127,249,653 10,000,000
WHITEBOX CLO I LTD Cayman Islands 805-9123460055 Securitized Asset Fund 401,450,000 250,000
WHITEBOX ASYMMETRIC PARTNERS, L.P. Cayman Islands 805-4346843958 Hedge Fund 2,247,066,035 1,000,000 Master Fund
WHITEBOX CREDIT PARTNERS, L.P. British Virgin Islands 805-9946380785 Hedge Fund 231,356,548 5,000,000 Master Fund
WHITEBOX KFA ADVANTAGE, LLC United States 805-3593135748 Hedge Fund 407,879,236 10,000,000
WHITEBOX TERM CREDIT FUND I L.P. United States 805-2082926647 Other Private Fund LOCKUP FUND 97,205,692 10,000,000 Master Fund
PANDORA SELECT PARTNERS, L.P. British Virgin Islands 805-3521175008 Hedge Fund 514,550,090 10,000,000 Master Fund
WHITEBOX TERM CREDIT FUND II L.P. United States 805-1599991111 Other Private Fund LOCKUP FUND 0 5,000,000 Master Fund
WHITEBOX CAJA BLANCA FUND, LP United States 805-6832944534 Other Private Fund LOCKUP FUND 150,528,887 10,000,000

WHITEBOX ADVISORS LLC

ownership team - last updated 2019-06-26
Name Title Start Date Direct/Indirect % Ownership
REDLEAF, ANDREW, JAY FOUNDING PARTNER 06/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC FOUNDING PARTNER direct 1999-06-01
WHITEBOX ADVISORS LLC CHIEF EXECUTIVE OFFICER direct 1999-06-01
WHITEBOX ADVISORS LLC CHIEF EXECUTIVE OFFICER direct 2000-01-01
WHITEBOX ADVISORS LLC CHIEF INVESTMENT OFFICER/CHIEF EXECUTIVE OFFICER direct 2000-01-01
WHITEBOX ADVISORS LLC SOLE MEMBER indirect 2015-08-01
WHITEBOX STRATEGIES, LLC CHIEF EXECUTIVE OFFICER direct 2003-05-01
HARDY, CHRISTOPHER, RIDGELY CHIEF COMPLIANCE OFFICER 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2015-10-01
THE HELP NETWORK, INC. CHIEF COMPLIANCE OFFICER direct 2000-10-01 2001-03-30
THE HELP NETWORK, INC. COO/CCO/V.P. direct 2000-10-01 2001-12-11
WHITEBOX HOLDINGS LLC MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
SKAGDAY, INC. MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
VOGEL, ROBERT, JACOB PARTNER & CO-CHIEF INVESTMENT OFFICER 01/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
STREFLING, MARK, MCLYNN PARTNER, CHIEF EXECUTIVE OFFICER & GENERAL COUNSEL 02/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER direct 2008-01-01
WHITEBOX ADVISORS LLC GENERAL COUNSEL/CHIEF OPERATING OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC PARTNER, CHIEF OPERATING OFFICER & GENERAL COUNSEL direct 2008-02-01
WHITEBOX ADVISORS LLC PARTNER, CHIEF EXECUTIVE OFFICER & GENERAL COUNSEL direct 2008-02-01
WHITEBOX ADVISORS LLC GENERAL COUNSEL/CHIEF LEGAL OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER / CHIEF COMPLIANCE OFFICER direct 2009-02-01
WEDDLE, ELISSA, RAE CHIEF LEGAL OFFICER 11/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2012-11-01
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER direct 2012-11-01
WHITEBOX ADVISORS LLC ASSOCIATE GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER direct 2012-11-01
TWITCHELL, PAUL, STEPHEN PARTNER & CO-CHIEF INVESTMENT OFFICER 12/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GLOBAL HEAD OF EVENT STRATEGIES direct 2014-12-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF EVENT direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF NON-CORPORATE CREDIT AND MACRO direct 2014-12-01
LOFTON, BRIAN, JOSEPH CHIEF RISK OFFICER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF RISK OFFICER direct 2014-05-01
RIEPE, ROBERT, JOHN CHIEF FINANCIAL OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2017-06-01
DYAL CAPITAL PARTNERS II (A) LP MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
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
ATALAYA CAPITAL MANAGEMENT LP LIMITED PARTNER OF ATALAYA CAPITAL MANAGEMENT LP direct 2017-07-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LP direct 2017-03-01
DYAL CAPITAL PARTNERS II (B) LP MEMBER OF WHITEBOX GENERAL PARTNER LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX GENERAL PARTNER LLC direct 2015-08-01
REDLEAF, ANDREW, JAY SOLE MEMBER WHITEBOX HOLDINGS LLC 08/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC FOUNDING PARTNER direct 1999-06-01
WHITEBOX ADVISORS LLC CHIEF EXECUTIVE OFFICER direct 1999-06-01
WHITEBOX ADVISORS LLC CHIEF EXECUTIVE OFFICER direct 2000-01-01
WHITEBOX ADVISORS LLC CHIEF INVESTMENT OFFICER/CHIEF EXECUTIVE OFFICER direct 2000-01-01
WHITEBOX ADVISORS LLC SOLE MEMBER indirect 2015-08-01
WHITEBOX STRATEGIES, LLC CHIEF EXECUTIVE OFFICER direct 2003-05-01
VOGEL, ROBERT, JACOB SOLE OWNER SKAGDAY, INC. 07/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
NB DYAL ASSOCIATES II LP GENERAL PARTNER DYAL CAPITAL PARTNERS II (A) LP AND DYAL CAPITAL PARTNERS II (B) LP 09/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2013-09-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2013-09-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WHITEBOX CREDIT PARTNERS, L.P. British Virgin Islands 805-9946380785 Hedge Fund 231,356,548 5,000,000 Master Fund
WHITEBOX KFA ADVANTAGE, LLC United States 805-3593135748 Hedge Fund 407,879,236 10,000,000 Master Fund
PANDORA SELECT PARTNERS, L.P. British Virgin Islands 805-3521175008 Hedge Fund 514,550,090 10,000,000 Master Fund
WHITEBOX MULTI-STRATEGY PARTNERS, L.P. British Virgin Islands 805-2480595175 Hedge Fund 3,756,722,296 5,000,000 Master Fund
WHITEBOX RELATIVE VALUE PARTNERS, L.P. British Virgin Islands 805-2985047095 Hedge Fund 1,608,368,182 5,000,000 Master Fund
WHITEBOX GT FUND, L.P. United States 805-8357721713 Hedge Fund 110,735,921 5,000,000
WHITEBOX INSTITUTIONAL PARTNERS, L.P. United States 805-2227173487 Hedge Fund 127,249,653 10,000,000
WHITEBOX ASYMMETRIC PARTNERS, L.P. Cayman Islands 805-4346843958 Hedge Fund 2,247,066,035 1,000,000 Master Fund
WHITEBOX TERM CREDIT FUND I L.P. United States 805-2082926647 Other Private Fund LOCKUP FUND 97,205,692 10,000,000 Master Fund
WHITEBOX TERM CREDIT FUND II L.P. United States 805-1599991111 Other Private Fund LOCKUP FUND 0 5,000,000 Master Fund
WHITEBOX CAJA BLANCA FUND, LP United States 805-6832944534 Other Private Fund LOCKUP FUND 150,528,887 10,000,000

WHITEBOX ADVISORS LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
REDLEAF, ANDREW, JAY FOUNDING PARTNER 06/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC FOUNDING PARTNER direct 1999-06-01
WHITEBOX ADVISORS LLC CHIEF EXECUTIVE OFFICER direct 1999-06-01
WHITEBOX ADVISORS LLC CHIEF EXECUTIVE OFFICER direct 2000-01-01
WHITEBOX ADVISORS LLC CHIEF INVESTMENT OFFICER/CHIEF EXECUTIVE OFFICER direct 2000-01-01
WHITEBOX ADVISORS LLC SOLE MEMBER indirect 2015-08-01
WHITEBOX STRATEGIES, LLC CHIEF EXECUTIVE OFFICER direct 2003-05-01
HARDY, CHRISTOPHER, RIDGELY CHIEF COMPLIANCE OFFICER 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2015-10-01
THE HELP NETWORK, INC. CHIEF COMPLIANCE OFFICER direct 2000-10-01 2001-03-30
THE HELP NETWORK, INC. COO/CCO/V.P. direct 2000-10-01 2001-12-11
WHITEBOX HOLDINGS LLC MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
SKAGDAY, INC. MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
VOGEL, ROBERT, JACOB PARTNER & CO-CHIEF INVESTMENT OFFICER 01/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
STREFLING, MARK, MCLYNN PARTNER, CHIEF EXECUTIVE OFFICER & GENERAL COUNSEL 02/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER direct 2008-01-01
WHITEBOX ADVISORS LLC GENERAL COUNSEL/CHIEF OPERATING OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC PARTNER, CHIEF OPERATING OFFICER & GENERAL COUNSEL direct 2008-02-01
WHITEBOX ADVISORS LLC PARTNER, CHIEF EXECUTIVE OFFICER & GENERAL COUNSEL direct 2008-02-01
WHITEBOX ADVISORS LLC GENERAL COUNSEL/CHIEF LEGAL OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER / CHIEF COMPLIANCE OFFICER direct 2009-02-01
WEDDLE, ELISSA, RAE CHIEF LEGAL OFFICER 11/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2012-11-01
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER direct 2012-11-01
WHITEBOX ADVISORS LLC ASSOCIATE GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER direct 2012-11-01
TWITCHELL, PAUL, STEPHEN PARTNER & CO-CHIEF INVESTMENT OFFICER 12/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GLOBAL HEAD OF EVENT STRATEGIES direct 2014-12-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF EVENT direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF NON-CORPORATE CREDIT AND MACRO direct 2014-12-01
LOFTON, BRIAN, JOSEPH CHIEF RISK OFFICER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF RISK OFFICER direct 2014-05-01
RIEPE, ROBERT, JOHN CHIEF FINANCIAL OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2017-06-01
DYAL CAPITAL PARTNERS II (A) LP MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
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
ATALAYA CAPITAL MANAGEMENT LP LIMITED PARTNER OF ATALAYA CAPITAL MANAGEMENT LP direct 2017-07-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LP direct 2017-03-01
DYAL CAPITAL PARTNERS II (B) LP MEMBER OF WHITEBOX GENERAL PARTNER LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX GENERAL PARTNER LLC direct 2015-08-01
REDLEAF, ANDREW, JAY SOLE MEMBER WHITEBOX HOLDINGS LLC 08/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC FOUNDING PARTNER direct 1999-06-01
WHITEBOX ADVISORS LLC CHIEF EXECUTIVE OFFICER direct 1999-06-01
WHITEBOX ADVISORS LLC CHIEF EXECUTIVE OFFICER direct 2000-01-01
WHITEBOX ADVISORS LLC CHIEF INVESTMENT OFFICER/CHIEF EXECUTIVE OFFICER direct 2000-01-01
WHITEBOX ADVISORS LLC SOLE MEMBER indirect 2015-08-01
WHITEBOX STRATEGIES, LLC CHIEF EXECUTIVE OFFICER direct 2003-05-01
VOGEL, ROBERT, JACOB SOLE OWNER SKAGDAY, INC. 07/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
NB DYAL ASSOCIATES II LP GENERAL PARTNER DYAL CAPITAL PARTNERS II (A) LP AND DYAL CAPITAL PARTNERS II (B) LP 09/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2013-09-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2013-09-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WHITEBOX CAJA BLANCA FUND, LP United States 805-6832944534 Other Private Fund LOCKUP FUND 150,528,887 10,000,000
WHITEBOX CREDIT PARTNERS, L.P. British Virgin Islands 805-9946380785 Hedge Fund 231,356,548 5,000,000 Master Fund
WHITEBOX KFA ADVANTAGE, LLC United States 805-3593135748 Hedge Fund 407,879,236 10,000,000 Master Fund
PANDORA SELECT PARTNERS, L.P. British Virgin Islands 805-3521175008 Hedge Fund 514,550,090 10,000,000 Master Fund
WHITEBOX MULTI-STRATEGY PARTNERS, L.P. British Virgin Islands 805-2480595175 Hedge Fund 3,756,722,296 5,000,000 Master Fund
WHITEBOX RELATIVE VALUE PARTNERS, L.P. British Virgin Islands 805-2985047095 Hedge Fund 1,608,368,182 5,000,000 Master Fund
WHITEBOX GT FUND, L.P. United States 805-8357721713 Hedge Fund 110,735,921 5,000,000
WHITEBOX INSTITUTIONAL PARTNERS, L.P. United States 805-2227173487 Hedge Fund 127,249,653 10,000,000
WHITEBOX ASYMMETRIC PARTNERS, L.P. Cayman Islands 805-4346843958 Hedge Fund 2,247,066,035 1,000,000 Master Fund
WHITEBOX TERM CREDIT FUND I L.P. United States 805-2082926647 Other Private Fund LOCKUP FUND 97,205,692 10,000,000 Master Fund

WHITEBOX ADVISORS LLC

ownership team - last updated 2018-10-31
Name Title Start Date Direct/Indirect % Ownership
REDLEAF, ANDREW, JAY FOUNDING PARTNER 06/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC FOUNDING PARTNER direct 1999-06-01
WHITEBOX ADVISORS LLC CHIEF EXECUTIVE OFFICER direct 1999-06-01
WHITEBOX ADVISORS LLC CHIEF EXECUTIVE OFFICER direct 2000-01-01
WHITEBOX ADVISORS LLC CHIEF INVESTMENT OFFICER/CHIEF EXECUTIVE OFFICER direct 2000-01-01
WHITEBOX ADVISORS LLC SOLE MEMBER indirect 2015-08-01
WHITEBOX STRATEGIES, LLC CHIEF EXECUTIVE OFFICER direct 2003-05-01
HARDY, CHRISTOPHER, RIDGELY CHIEF COMPLIANCE OFFICER 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2015-10-01
THE HELP NETWORK, INC. CHIEF COMPLIANCE OFFICER direct 2000-10-01 2001-03-30
THE HELP NETWORK, INC. COO/CCO/V.P. direct 2000-10-01 2001-12-11
WHITEBOX HOLDINGS LLC MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
SKAGDAY, INC. MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
VOGEL, ROBERT, JACOB PARTNER & CO-CHIEF INVESTMENT OFFICER 01/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
STREFLING, MARK, MCLYNN PARTNER, CHIEF EXECUTIVE OFFICER & GENERAL COUNSEL 02/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER direct 2008-01-01
WHITEBOX ADVISORS LLC GENERAL COUNSEL/CHIEF OPERATING OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC PARTNER, CHIEF OPERATING OFFICER & GENERAL COUNSEL direct 2008-02-01
WHITEBOX ADVISORS LLC PARTNER, CHIEF EXECUTIVE OFFICER & GENERAL COUNSEL direct 2008-02-01
WHITEBOX ADVISORS LLC GENERAL COUNSEL/CHIEF LEGAL OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER / CHIEF COMPLIANCE OFFICER direct 2009-02-01
WEDDLE, ELISSA, RAE CHIEF LEGAL OFFICER 11/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2012-11-01
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER direct 2012-11-01
WHITEBOX ADVISORS LLC ASSOCIATE GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER direct 2012-11-01
TWITCHELL, PAUL, STEPHEN PARTNER & CO-CHIEF INVESTMENT OFFICER 12/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GLOBAL HEAD OF EVENT STRATEGIES direct 2014-12-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF EVENT direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF NON-CORPORATE CREDIT AND MACRO direct 2014-12-01
LOFTON, BRIAN, JOSEPH CHIEF RISK OFFICER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF RISK OFFICER direct 2014-05-01
RIEPE, ROBERT, JOHN CHIEF FINANCIAL OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2017-06-01
DYAL CAPITAL PARTNERS II (A) LP MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
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
ATALAYA CAPITAL MANAGEMENT LP LIMITED PARTNER OF ATALAYA CAPITAL MANAGEMENT LP direct 2017-07-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LP direct 2017-03-01
DYAL CAPITAL PARTNERS II (B) LP MEMBER OF WHITEBOX GENERAL PARTNER LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX GENERAL PARTNER LLC direct 2015-08-01
REDLEAF, ANDREW, JAY SOLE MEMBER WHITEBOX HOLDINGS LLC 08/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC FOUNDING PARTNER direct 1999-06-01
WHITEBOX ADVISORS LLC CHIEF EXECUTIVE OFFICER direct 1999-06-01
WHITEBOX ADVISORS LLC CHIEF EXECUTIVE OFFICER direct 2000-01-01
WHITEBOX ADVISORS LLC CHIEF INVESTMENT OFFICER/CHIEF EXECUTIVE OFFICER direct 2000-01-01
WHITEBOX ADVISORS LLC SOLE MEMBER indirect 2015-08-01
WHITEBOX STRATEGIES, LLC CHIEF EXECUTIVE OFFICER direct 2003-05-01
VOGEL, ROBERT, JACOB SOLE OWNER SKAGDAY, INC. 07/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
NB DYAL ASSOCIATES II LP GENERAL PARTNER DYAL CAPITAL PARTNERS II (A) LP AND DYAL CAPITAL PARTNERS II (B) LP 09/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2013-09-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2013-09-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WHITEBOX CAJA BLANCA FUND, LP United States 805-6832944534 Other Private Fund LOCKUP FUND 128,677,538 10,000,000
WHITEBOX CREDIT PARTNERS, L.P. British Virgin Islands 805-9946380785 Hedge Fund 265,142,904 5,000,000 Master Fund
WHITEBOX KFA ADVANTAGE, LLC United States 805-3593135748 Hedge Fund 426,019,577 10,000,000 Master Fund
PANDORA SELECT PARTNERS, L.P. British Virgin Islands 805-3521175008 Hedge Fund 594,573,245 10,000,000 Master Fund
WHITEBOX MULTI-STRATEGY PARTNERS, L.P. British Virgin Islands 805-2480595175 Hedge Fund 3,839,996,671 5,000,000 Master Fund
WHITEBOX RELATIVE VALUE PARTNERS, L.P. British Virgin Islands 805-2985047095 Hedge Fund 1,532,127,047 5,000,000 Master Fund
WHITEBOX GT FUND, L.P. United States 805-8357721713 Hedge Fund 115,188,353 5,000,000
WHITEBOX INSTITUTIONAL PARTNERS, L.P. United States 805-2227173487 Hedge Fund 388,540,586 10,000,000
WHITEBOX ASYMMETRIC PARTNERS, L.P. Cayman Islands 805-4346843958 Hedge Fund 2,362,858,557 1,000,000 Master Fund
WHITEBOX TERM CREDIT FUND I L.P. United States 805-2082926647 Other Private Fund LOCKUP FUND 159,506,903 10,000,000 Master Fund

WHITEBOX ADVISORS LLC

ownership team - last updated 2018-05-17
Name Title Start Date Direct/Indirect % Ownership
REDLEAF, ANDREW, JAY FOUNDING PARTNER 06/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC FOUNDING PARTNER direct 1999-06-01
WHITEBOX ADVISORS LLC CHIEF EXECUTIVE OFFICER direct 1999-06-01
WHITEBOX ADVISORS LLC CHIEF EXECUTIVE OFFICER direct 2000-01-01
WHITEBOX ADVISORS LLC CHIEF INVESTMENT OFFICER/CHIEF EXECUTIVE OFFICER direct 2000-01-01
WHITEBOX ADVISORS LLC SOLE MEMBER indirect 2015-08-01
WHITEBOX STRATEGIES, LLC CHIEF EXECUTIVE OFFICER direct 2003-05-01
HARDY, CHRISTOPHER, RIDGELY CHIEF COMPLIANCE OFFICER 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2015-10-01
THE HELP NETWORK, INC. CHIEF COMPLIANCE OFFICER direct 2000-10-01 2001-03-30
THE HELP NETWORK, INC. COO/CCO/V.P. direct 2000-10-01 2001-12-11
WHITEBOX HOLDINGS LLC MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
SKAGDAY, INC. MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
VOGEL, ROBERT, JACOB PARTNER & CO-CHIEF INVESTMENT OFFICER 01/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
STREFLING, MARK, MCLYNN PARTNER, CHIEF EXECUTIVE OFFICER & GENERAL COUNSEL 02/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER direct 2008-01-01
WHITEBOX ADVISORS LLC GENERAL COUNSEL/CHIEF OPERATING OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC PARTNER, CHIEF OPERATING OFFICER & GENERAL COUNSEL direct 2008-02-01
WHITEBOX ADVISORS LLC PARTNER, CHIEF EXECUTIVE OFFICER & GENERAL COUNSEL direct 2008-02-01
WHITEBOX ADVISORS LLC GENERAL COUNSEL/CHIEF LEGAL OFFICER direct 2008-02-01
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER / CHIEF COMPLIANCE OFFICER direct 2009-02-01
WEDDLE, ELISSA, RAE CHIEF LEGAL OFFICER 11/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2012-11-01
WHITEBOX ADVISORS LLC CHIEF LEGAL OFFICER direct 2012-11-01
WHITEBOX ADVISORS LLC ASSOCIATE GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER direct 2012-11-01
TWITCHELL, PAUL, STEPHEN PARTNER & CO-CHIEF INVESTMENT OFFICER 12/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GLOBAL HEAD OF EVENT STRATEGIES direct 2014-12-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF EVENT direct 2014-12-01
WHITEBOX ADVISORS LLC HEAD OF NON-CORPORATE CREDIT AND MACRO direct 2014-12-01
LOFTON, BRIAN, JOSEPH CHIEF RISK OFFICER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF RISK OFFICER direct 2014-05-01
RIEPE, ROBERT, JOHN CHIEF FINANCIAL OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2017-06-01
DYAL CAPITAL PARTNERS II (A) LP MEMBER OF WHITEBOX ADVISORS LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX ADVISORS LLC direct 2015-08-01
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
ATALAYA CAPITAL MANAGEMENT LP LIMITED PARTNER OF ATALAYA CAPITAL MANAGEMENT LP direct 2017-07-01
SOUND POINT CAPITAL MANAGEMENT, LP LIMITED PARTNER OF SOUND POINT CAPITAL MANAGEMENT LP direct 2017-03-01
DYAL CAPITAL PARTNERS II (B) LP MEMBER OF WHITEBOX GENERAL PARTNER LLC 08/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MEMBER OF WHITEBOX GENERAL PARTNER LLC direct 2015-08-01
REDLEAF, ANDREW, JAY SOLE MEMBER WHITEBOX HOLDINGS LLC 08/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC FOUNDING PARTNER direct 1999-06-01
WHITEBOX ADVISORS LLC CHIEF EXECUTIVE OFFICER direct 1999-06-01
WHITEBOX ADVISORS LLC CHIEF EXECUTIVE OFFICER direct 2000-01-01
WHITEBOX ADVISORS LLC CHIEF INVESTMENT OFFICER/CHIEF EXECUTIVE OFFICER direct 2000-01-01
WHITEBOX ADVISORS LLC SOLE MEMBER indirect 2015-08-01
WHITEBOX STRATEGIES, LLC CHIEF EXECUTIVE OFFICER direct 2003-05-01
VOGEL, ROBERT, JACOB SOLE OWNER SKAGDAY, INC. 07/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC MANAGING PARTNER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME direct 2004-01-01
WHITEBOX ADVISORS LLC HEAD OF CORPORATE CREDIT AND RELATIVE VALUE direct 2004-01-01
WHITEBOX ADVISORS LLC PARTNER & CO-CHIEF INVESTMENT OFFICER direct 2004-01-01
WHITEBOX ADVISORS LLC GLOBAL HEAD OF FIXED INCOME STRATEGIES direct 2004-01-01
WHITEBOX ADVISORS LLC SOLE OWNER indirect 2011-07-01
NB DYAL ASSOCIATES II LP GENERAL PARTNER DYAL CAPITAL PARTNERS II (A) LP AND DYAL CAPITAL PARTNERS II (B) LP 09/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
WHITEBOX ADVISORS LLC GENERAL PARTNER indirect 2013-09-01
JANA PARTNERS LLC GENERAL PARTNER indirect 2013-09-01
SOUND POINT CAPITAL MANAGEMENT, LP GENERAL PARTNER indirect 2013-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WHITEBOX CAJA BLANCA FUND, LP United States 805-6832944534 Other Private Fund LOCKUP FUND 128,677,538 10,000,000
WHITEBOX CREDIT PARTNERS, L.P. British Virgin Islands 805-9946380785 Hedge Fund 265,142,904 5,000,000 Master Fund
WHITEBOX KFA ADVANTAGE, LLC United States 805-3593135748 Hedge Fund 426,019,577 10,000,000 Master Fund
PANDORA SELECT PARTNERS, L.P. British Virgin Islands 805-3521175008 Hedge Fund 594,573,245 10,000,000 Master Fund
WHITEBOX MULTI-STRATEGY PARTNERS, L.P. British Virgin Islands 805-2480595175 Hedge Fund 3,839,996,671 5,000,000 Master Fund
WHITEBOX RELATIVE VALUE PARTNERS, L.P. British Virgin Islands 805-2985047095 Hedge Fund 1,532,127,047 5,000,000 Master Fund
WHITEBOX GT FUND, L.P. United States 805-8357721713 Hedge Fund 115,188,353 5,000,000
WHITEBOX INSTITUTIONAL PARTNERS, L.P. United States 805-2227173487 Hedge Fund 388,540,586 10,000,000
WHITEBOX ASYMMETRIC PARTNERS, L.P. Cayman Islands 805-4346843958 Hedge Fund 2,362,858,557 1,000,000 Master Fund
WHITEBOX TERM CREDIT FUND I L.P. United States 805-2082926647 Other Private Fund LOCKUP FUND 159,506,903 10,000,000 Master Fund

WhaleScore history for WHITEBOX ADVISORS LLC

You must have a subscription to view WhaleScore histories

**EXPERIMENTAL** Current International Short Positions

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

Holder Issuer Net Short Position Position Date Origin
Whitebox Advisors LLC ADLER GROUP SA 0.57% 2023-02-15 GERMANY
Whitebox Advisors LLC BICO Group AB 0.51% 2023-02-22 Sweden
Whitebox Advisors LLC Biocartis 0.8999999999999999% 2023-03-16 Belgium
Whitebox Advisors BUWOG AG 0.94% 2015-05-13 GERMANY
Whitebox Advisors LLC CM.com N.V. 0.73% 2022-05-13 NETHERLANDS
Whitebox Advisors LLC MorphoSys AG 0.59% 2022-12-29 GERMANY
WHITEBOX ADVISORS LLC ORPEA 1.06% 2023-02-14 FRANCE
Whitebox Advisors LLC Scandic Hotels Group AB 0.91% 2023-03-15 Sweden

Short Position History (last 100)

Holder Net Short Position Position Date Origin
Whitebox Advisors LLC ADLER GROUP 0.92% 2022-10-07 GERMANY
Whitebox Advisors LLC ADLER GROUP 0.81% 2022-09-21 GERMANY
Whitebox Advisors Adler Group S.A. 0.7% 2022-06-07 GERMANY
Whitebox Advisors Adler Group S.A. 0.65% 2022-05-24 GERMANY
Whitebox Advisors LLC ADLER GROUP SA 0.67% 2023-02-14 GERMANY
Whitebox Advisors LLC ADLER GROUP SA 0.73% 2023-02-08 GERMANY
Whitebox Advisors LLC ADLER GROUP SA 0.89% 2023-02-07 GERMANY
Whitebox Advisors LLC AFREN PLC 0.45% 2015-03-19 UK
Whitebox Advisors LLC AFREN PLC 0.56% 2015-03-18 UK
Whitebox Advisors LLC AFREN PLC 1.04% 2015-03-13 UK
Whitebox Advisors LLC AFREN PLC 0.77% 2015-03-06 UK
Whitebox Advisors LLC AFREN PLC 1.04% 2015-03-05 UK
Whitebox Advisors LLC AFREN PLC 1.38% 2015-03-04 UK
Whitebox Advisors LLC AFREN PLC 1.85% 2015-02-11 UK
Whitebox Advisors LLC AFREN PLC 1.76% 2015-02-10 UK
Whitebox Advisors LLC AFREN PLC 1.49% 2015-02-09 UK
Whitebox Advisors LLC AFREN PLC 1.38% 2015-02-02 UK
Whitebox Advisors LLC AFREN PLC 1.11% 2015-01-30 UK
Whitebox Advisors LLC AFREN PLC 0.84% 2015-01-29 UK
Whitebox Advisors LLC AFREN PLC 1.47% 2015-01-28 UK
Whitebox Advisors LLC AFREN PLC 1.74% 2015-01-27 UK
Whitebox Advisors LLC AFREN PLC 0.84% 2015-01-26 UK
Whitebox Advisors LLC AFREN PLC 0.57% 2015-01-23 UK
Whitebox Advisors LLC AFREN PLC 0.46% 2015-01-16 UK
Whitebox Advisors LLC AFREN PLC 0.61% 2015-01-13 UK
Whitebox Advisors LLC AMIGO HOLDINGS PLC 0.33% 2021-01-28 UK
Whitebox Advisors LLC AMIGO HOLDINGS PLC 1.22% 2020-12-18 UK
Whitebox Advisors LLC Aston Martin Lagonda Global Holdings Plc 0.64% 2022-09-26 UK
Whitebox Advisors LLC Aston Martin Lagonda Global Holdings Plc 0.5% 2022-09-21 UK
Whitebox Advisors BANCA POPOLARE DI MILANO SCARL 0.32% 2016-10-11 Italy
Whitebox Advisors LLC BANCA POPOLARE DI MILANO SCARL 0.32% 2016-10-11 Italy
Whitebox Advisors BANCA POPOLARE DI MILANO SCARL 0.32% 2016-10-11 Italy
Whitebox Advisors BANCA POPOLARE DI MILANO SCARL 0.55% 2016-10-10 Italy
Whitebox Advisors LLC BANCA POPOLARE DI MILANO SCARL 0.55% 2016-10-10 Italy
Whitebox Advisors BANCA POPOLARE DI MILANO SCARL 0.55% 2016-10-10 Italy
Whitebox Advisors BANCA POPOLARE DI MILANO SCARL 0.65% 2016-10-03 Italy
Whitebox Advisors LLC BANCA POPOLARE DI MILANO SCARL 0.65% 2016-10-03 Italy
Whitebox Advisors BANCA POPOLARE DI MILANO SCARL 0.65% 2016-10-03 Italy
Whitebox Advisors BANCA POPOLARE DI MILANO SCARL 0.52% 2016-09-20 Italy
Whitebox Advisors LLC BANCA POPOLARE DI MILANO SCARL 0.52% 2016-09-20 Italy
Whitebox Advisors BANCA POPOLARE DI MILANO SCARL 0.52% 2016-09-20 Italy
Whitebox Advisors LLC Biocartis 0.8% 2023-02-22 Belgium
Whitebox Advisors LLC Biocartis 0.7000000000000001% 2023-01-25 Belgium
Whitebox Advisors LLC Biocartis 0.6% 2023-01-18 Belgium
Whitebox Advisors LLC Biocartis 0.5% 2023-01-12 Belgium
Whitebox Advisors LLC Biocartis 0.5% 2023-01-03 Belgium
Whitebox Advisors LLC Biocartis 0.7000000000000001% 2022-06-10 Belgium
Whitebox Advisors LLC Biocartis 0.6% 2022-05-24 Belgium
Whitebox Advisors LLC Biocartis 0.51% 2022-05-04 Belgium
WHITEBOX ADVISORS LLC CGG 0.04% 2018-02-21 FRANCE
WHITEBOX ADVISORS LLC CGG 1.09% 2017-11-16 FRANCE
WHITEBOX ADVISORS LLC CGG 1.2% 2017-11-15 FRANCE
WHITEBOX ADVISORS LLC CGG 1.04% 2017-11-14 FRANCE
WHITEBOX ADVISORS LLC CGG 1.15% 2017-11-08 FRANCE
WHITEBOX ADVISORS LLC CGG 1.26% 2017-09-07 FRANCE
WHITEBOX ADVISORS LLC CGG 1.13% 2017-08-29 FRANCE
WHITEBOX ADVISORS LLC CGG 1.04% 2017-08-25 FRANCE
WHITEBOX ADVISORS LLC CGG 0.94% 2017-08-24 FRANCE
WHITEBOX ADVISORS LLC CGG 0.82% 2017-08-23 FRANCE
WHITEBOX ADVISORS LLC CGG 0.78% 2017-08-11 FRANCE
WHITEBOX ADVISORS LLC CGG 0.8% 2017-06-28 FRANCE
WHITEBOX ADVISORS LLC CGG 0.78% 2017-06-15 FRANCE
WHITEBOX ADVISORS LLC CGG 0.63% 2017-06-02 FRANCE
WHITEBOX ADVISORS LLC CGG 0.58% 2017-05-18 FRANCE
WHITEBOX ADVISORS LLC CGG 0.73% 2017-05-17 FRANCE
WHITEBOX ADVISORS LLC CGG 1.07% 2017-05-16 FRANCE
WHITEBOX ADVISORS LLC CGG 1.23% 2017-05-15 FRANCE
WHITEBOX ADVISORS LLC CGG 1.34% 2017-03-14 FRANCE
WHITEBOX ADVISORS LLC CGG 1.47% 2017-02-16 FRANCE
WHITEBOX ADVISORS LLC CGG 1.59% 2017-02-15 FRANCE
WHITEBOX ADVISORS LLC CGG 1.69% 2017-01-17 FRANCE
WHITEBOX ADVISORS LLC CGG 1.83% 2016-12-13 FRANCE
WHITEBOX ADVISORS LLC CGG 1.56% 2016-12-12 FRANCE
WHITEBOX ADVISORS LLC CGG 1.4% 2016-11-09 FRANCE
WHITEBOX ADVISORS LLC CGG 1.24% 2016-11-08 FRANCE
WHITEBOX ADVISORS LLC CGG 1.01% 2016-11-04 FRANCE
WHITEBOX ADVISORS LLC CGG 0.91% 2016-10-05 FRANCE
WHITEBOX ADVISORS LLC CGG 0.82% 2016-09-21 FRANCE
WHITEBOX ADVISORS LLC CGG 0.73% 2016-09-15 FRANCE
WHITEBOX ADVISORS LLC CGG 0.63% 2016-09-12 FRANCE
WHITEBOX ADVISORS LLC CGG 0.56% 2016-08-03 FRANCE
WHITEBOX ADVISORS LLC CGG 0.68% 2016-05-11 FRANCE
WHITEBOX ADVISORS LLC CGG 0.71% 2016-03-07 FRANCE
WHITEBOX ADVISORS LLC CGG 0.63% 2016-03-04 FRANCE
WHITEBOX ADVISORS LLC CGG 0.56% 2016-03-02 FRANCE
Whitebox Advisors LLC CINEWORLD GROUP 1.03% 2022-08-24 UK
Whitebox Advisors LLC CINEWORLD GROUP 1.45% 2022-08-23 UK
Whitebox Advisors LLC CINEWORLD GROUP 1.9% 2022-08-22 UK
Whitebox Advisors LLC CINEWORLD GROUP 2.24% 2022-08-19 UK
Whitebox Advisors LLC CINEWORLD GROUP 2.36% 2022-05-30 UK
Whitebox Advisors LLC CINEWORLD GROUP 2.32% 2022-02-02 UK
Whitebox Advisors LLC CINEWORLD GROUP 2.2% 2022-01-10 UK
Whitebox Advisors LLC CINEWORLD GROUP 2.11% 2021-12-16 UK
Whitebox Advisors LLC CINEWORLD GROUP 2.11% 2021-12-15 UK
Whitebox Advisors LLC CINEWORLD GROUP 1.73% 2021-11-10 UK
Whitebox Advisors LLC CINEWORLD GROUP 1.63% 2021-09-29 UK
Whitebox Advisors LLC CINEWORLD GROUP 1.57% 2021-09-27 UK
Whitebox Advisors LLC CINEWORLD GROUP 1.4% 2021-09-08 UK
Whitebox Advisors LLC CINEWORLD GROUP 1.21% 2021-08-12 UK
Whitebox Advisors LLC CINEWORLD GROUP 1.19% 2021-07-12 UK

Elevate your investments