CIFC ASSET MANAGEMENT LLC Top 13F Holdings (2022)

CIFC ASSET MANAGEMENT LLC

ownership team - last updated 2022-03-31
Name Title Start Date Direct/Indirect % Ownership
MCGANN, ROBERT, VINCENT CHIEF FINANCIAL OFFICER 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
GUGGENHEIM INVESTMENT MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2005-10-01
CAPSTONE INVESTMENT ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2008-04-01
DIROCCO, JOHN, STEPHEN CHIEF OPERATING OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2017-09-01
BALANCE ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2005-08-01
CIFC ASSET MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2017-09-01
BELL POINT CAPITAL MANAGEMENT LP COO direct 2011-07-01
REEF ROAD CAPITAL LLC CHIEF OPERATING OFFICER direct 2013-02-01
REEF ROAD CAPITAL LLC CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER direct 2013-02-01
WELDON, JULIAN, MARTIN HENRY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC GENEAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
DEERFIELD CAPITAL MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
GARRISON INVESTMENT GROUP LP VICE-PRESIDENT AND SECRETARY direct 2009-01-01
GARRISON INVESTMENT GROUP LP CHIEF COMPLIANCE OFFICER direct 2009-01-01
GARRISON CAPITAL ADVISERS LLC CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER direct 2010-11-01
GARRISON CAPITAL ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2010-11-01
CIFC ASSET MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (OF REGISTRANT AND EACH RELYING ADVISER) direct 2015-08-01
CIFC ASSET MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
GARRISON LOAN MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
CIFC ASSET MANAGEMENT HOLDINGS LLC SOLE MEMBER 04/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2013-03-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER direct 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CIFC INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER OF CIFC ASSET MANGT., CYPRESSTREE INVT. MANGT., COLUMBUS NOVA CREDIT INVTS. MANGT. & PARTHENON FUNDING direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-04-01
VACCARO, STEPHEN, JOSEPH CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2011-04-01
DEERFIELD CAPITAL MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2014-02-01
DEERFIELD CAPITAL MANAGEMENT LLC CO-PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC CHIEF CREDIT OFFICER direct 2010-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2010-12-01
COMMERCIAL INDUSTRIAL FINANCE CORP CHIEF CREDIT OFFICER direct 2006-01-01
COMMERCIAL INDUSTRIAL FINANCE CORP CO-CHIEF INVESTMENT OFFICER direct 2006-01-01
CIFC ASSET MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC CO-PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CIFC ASSET MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER (OF REGISTRANT AND EACH RELYING ADVISER) direct 2014-02-01
CIFC ASSET MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2014-02-01
AL-THANI, HAMAD BIN KHALIFA SOLE MEMBER SUPREME UNIVERSAL HOLDINGS LIMITED 11/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2012-11-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2012-11-01
CIFC CORP. SOLE MEMBER CIFC ASSET MANAGEMENT HOLDINGS LLC 04/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2013-03-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER direct 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CIFC INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER OF CIFC ASSET MANGT., CYPRESSTREE INVT. MANGT., COLUMBUS NOVA CREDIT INVTS. MANGT. & PARTHENON FUNDING direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-04-01
CENTRICUS FINANCIAL INVESTMENTS LP LIMITED PARTNER CENTRICUS HOLDINGS I LP 08/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
SUPREME UNIVERSAL HOLDINGS LIMITED LIMITED PARTNER CENTRICUS FINANCIAL INVESTMENTS LP 11/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CIFC LLC SOLE MEMBER CIFC HOLDINGS I LLC 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CENTRICUS HOLDINGS I LP SOLE MEMBER CIFC LLC 11/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2016-11-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CIFC FUNDING 2021-VI, LTD. Cayman Islands 805-3266914368 Securitized Asset Fund 501,123,694 0
CIFC FUNDING 2021-IV, LTD. Cayman Islands 805-5105734241 Securitized Asset Fund 601,004,809 0
CIFC FALCON 2020 LTD. Cayman Islands 805-3959136594 Securitized Asset Fund 350,695,413 0
CIFC FUNDING 2020-IV, LTD. Cayman Islands 805-8318833632 Securitized Asset Fund 400,177,333 0
CIFC FUNDING 2019-III, LTD. Cayman Islands 805-4422573199 Securitized Asset Fund 600,367,551 0
CIFC CLO OPPORTUNITY MASTER FUND III LP Cayman Islands 805-5853846987 Private Equity Fund 134,965,904 5,000,000 Master Fund
CIFC FUNDING 2014-III, LTD. Cayman Islands 805-3583745896 Securitized Asset Fund 690,859,382 0
CIFC FUNDING 2017-III, LTD. Cayman Islands 805-4120339602 Securitized Asset Fund 691,152,239 0
CIFC FUNDING 2019-V, LTD. Cayman Islands 805-6267293809 Securitized Asset Fund 502,901,096 0
CIFC SENIOR SECURED CORPORATE LOAN MASTER FUND LP Cayman Islands 805-8777574050 Other Private Fund PRIVATE INVESTMENT FUND 922,260,823 5,000,000 Master Fund
CIFC EUROPEAN FUNDING CLO II DESIGNATED ACTIVITY COMPANY Ireland 805-5916883659 Securitized Asset Fund 457,307,951 0
CIFC FUNDING 2020-II, LTD. Cayman Islands 805-3719233211 Securitized Asset Fund 450,243,139 0
CIFC CLO OPPORTUNITY MASTER FUND IV, LP Cayman Islands 805-9946423884 Private Equity Fund 113,037,975 5,000,000 Master Fund
CIFC GLOBAL STRATEGIC CREDIT FUND SCSP Luxembourg 805-4131435676 Hedge Fund 37,528,550 5,000,000
CIFC FUNDING 2020-III, LTD. Cayman Islands 805-8177772871 Securitized Asset Fund 500,247,247 0
CIFC FUNDING 2015-III, LTD. Cayman Islands 805-9265189612 Securitized Asset Fund 489,754,894 0
CIFC CLO OPPORTUNITY MASTER FUND (CAYMAN) II LP Cayman Islands 805-3771165799 Private Equity Fund 78,806,085 5,000,000 Master Fund
CIFC FUNDING 2015-II, LTD Cayman Islands 805-2996563597 Securitized Asset Fund 424,257,961 0
CIFC FUNDING 2018-II, LTD. Cayman Islands 805-5570198075 Securitized Asset Fund 795,293,940 0
CIFC FUNDING 2019-II, LTD. Cayman Islands 805-4773771737 Securitized Asset Fund 501,262,869 0
CIFC FUNDING 2019-IV, LTD. Cayman Islands 805-1104225919 Securitized Asset Fund 500,297,456 0
CIFC FUNDING 2019-I, LTD. Cayman Islands 805-9595515088 Securitized Asset Fund 597,287,893 0
CIFC SECONDARY OPPORTUNITIES FUND I LP Cayman Islands 805-7906775449 Private Equity Fund 80,113,790 0
CIFC FUNDING 2013-III-R, LTD. Cayman Islands 805-2172057260 Securitized Asset Fund 394,924,300 0
CIFC FUNDING 2016-I, LTD. Cayman Islands 805-3102764289 Securitized Asset Fund 496,607,629 0
CIFC EVENT DRIVEN OPPORTUNITIES MASTER FUND S.C.SP. Luxembourg 805-1051672994 Hedge Fund 37,692,751 5,000,000 Master Fund
CIFC FUNDING 2018-I, LTD. Cayman Islands 805-3383801571 Securitized Asset Fund 992,726,823 0
CIFC FUNDING 2015-I, LTD. Cayman Islands 805-2098541626 Securitized Asset Fund 592,427,306 0
CIFC FUNDING 2017-II, LTD. Cayman Islands 805-3012190328 Securitized Asset Fund 568,623,689 0
CIFC FUNDING 2017-I, LTD. Cayman Islands 805-4311026852 Securitized Asset Fund 782,276,793 0
CIFC FUNDING 2014, LTD. Cayman Islands 805-9340941185 Securitized Asset Fund 586,405,467 0
CIFC FUNDING 2013-II, LTD. Cayman Islands 805-8121460305 Securitized Asset Fund 616,515,489 0
CIFC FUNDING 2013-IV, LTD. Cayman Islands 805-6745092903 Securitized Asset Fund 494,594,956 0
CIFC FUNDING 2014-V, LTD. Cayman Islands 805-5816401212 Securitized Asset Fund 544,368,985 0
CIFC FUNDING 2015-IV, LTD. Cayman Islands 805-3531069242 Securitized Asset Fund 501,801,598 0
CIFC LOAN OPPORTUNITY FUND I, LTD. Cayman Islands 805-7636598283 Securitized Asset Fund 165,338,444 0
CIFC FUNDING 2013-I, LTD. Cayman Islands 805-2272066428 Securitized Asset Fund 493,971,218 0
CIFC FUNDING 2017-V, LTD. Cayman Islands 805-6452083450 Securitized Asset Fund 694,100,117 0
CIFC FUNDING 2012-II-R, LTD. Cayman Islands 805-8064211228 Securitized Asset Fund 397,926,405 0
CIFC FUNDING 2018-IV, LTD. Cayman Islands 805-9832040675 Securitized Asset Fund 795,526,285 0
CIFC LONG/SHORT CREDIT MASTER FUND LTD. Cayman Islands 805-9357132385 Hedge Fund 5,954,085 5,000,000 Master Fund
CIFC FUNDING 2018-V, LTD. Cayman Islands 805-3004045822 Securitized Asset Fund 544,528,119 0
CIFC LOAN OPPORTUNITY FUND II, LTD. Cayman Islands 805-1696630528 Securitized Asset Fund 128,527,910 0
CIFC FUNDING 2018-III, LTD. Cayman Islands 805-1571819066 Securitized Asset Fund 597,183,097 0
CIFC FUNDING 2019-VI, LTD. Cayman Islands 805-4370883632 Securitized Asset Fund 401,301,314 0
CIFC EUROPEAN FUNDING CLO I DESIGNATED ACTIVITY COMPANY Ireland 805-4744358794 Securitized Asset Fund 451,689,740 0
CIFC GLOBAL FLOATING RATE CREDIT FUND, A SUB-FUND OF DMS UCITS PLATFORM ICAV Ireland 805-1090960983 Other Private Fund UCITS 133,498,649 1,000,000
CIFC FUNDING 2014-IV-R, LTD. Cayman Islands 805-2491225387 Securitized Asset Fund 586,894,370 0
CIFC FUNDING 2017-IV, LTD. Cayman Islands 805-6541071505 Securitized Asset Fund 794,109,381 0
CIFC FUNDING 2014-II-R, LTD. Cayman Islands 805-5478045047 Securitized Asset Fund 788,952,823 0
CIFC EUROPEAN FUNDING CLO III DESIGNATED ACTIVITY COMPANY Ireland 805-1225899092 Securitized Asset Fund 398,431,904 0
CIFC FUNDING 2020-I, LTD. Cayman Islands 805-4598416568 Securitized Asset Fund 500,366,406 0
CIFC SECONDARY OPPORTUNITIES FUND II LP Cayman Islands 805-3639223988 Private Equity Fund 128,527,910 0
CIFC LONG/SHORT CREDIT FUND, A SUB-FUND OF CIFC CREDIT FUNDS ICAV Ireland 805-9212611585 Other Private Fund UCITS 519,812,264 1,000,000
CIFC EUROPEAN FUNDING CLO V DESIGNATED ACTIVITY COMPANY Ireland 805-8123195206 Securitized Asset Fund 455,917,867 0
CIFC EUROPEAN FUNDING CLO IV DESIGNATED ACTIVITY COMPANY Ireland 805-5538037453 Securitized Asset Fund 454,878,960 0
CIFC FUNDING 2021-VII, LTD. Cayman Islands 805-5907897499 Securitized Asset Fund 600,417,724 0
CIFC FUNDING 2021-II, LTD. Cayman Islands 805-2341536437 Securitized Asset Fund 500,739,471 0
CIFC FUNDING 2021-III, LTD. Cayman Islands 805-3345319694 Securitized Asset Fund 600,656,089 0
CIFC FUNDING 2021-V, LTD. Cayman Islands 805-1923373623 Securitized Asset Fund 501,342,294 0
CIFC FUNDING 2021-I, LTD. Cayman Islands 805-3578211401 Securitized Asset Fund 500,208,815 0

CIFC ASSET MANAGEMENT LLC

ownership team - last updated 2021-04-29
Name Title Start Date Direct/Indirect % Ownership
DIROCCO, JOHN, STEPHEN CHIEF OPERATING OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2017-09-01
BALANCE ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2005-08-01
CIFC ASSET MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2017-09-01
BELL POINT CAPITAL MANAGEMENT LP COO direct 2011-07-01
REEF ROAD CAPITAL LLC CHIEF OPERATING OFFICER direct 2013-02-01
REEF ROAD CAPITAL LLC CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER direct 2013-02-01
MCGANN, ROBERT, VINCENT CHIEF FINANCIAL OFFICER 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
GUGGENHEIM INVESTMENT MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2005-10-01
CAPSTONE INVESTMENT ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2008-04-01
CIFC ASSET MANAGEMENT HOLDINGS LLC SOLE MEMBER 04/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2013-03-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER direct 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CIFC INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER OF CIFC ASSET MANGT., CYPRESSTREE INVT. MANGT., COLUMBUS NOVA CREDIT INVTS. MANGT. & PARTHENON FUNDING direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-04-01
WELDON, JULIAN, MARTIN HENRY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC GENEAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
DEERFIELD CAPITAL MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
GARRISON INVESTMENT GROUP LP VICE-PRESIDENT AND SECRETARY direct 2009-01-01
GARRISON INVESTMENT GROUP LP CHIEF COMPLIANCE OFFICER direct 2009-01-01
GARRISON CAPITAL ADVISERS LLC CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER direct 2010-11-01
GARRISON CAPITAL ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2010-11-01
CIFC ASSET MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (OF REGISTRANT AND EACH RELYING ADVISER) direct 2015-08-01
CIFC ASSET MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
GARRISON LOAN MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
VACCARO, STEPHEN, JOSEPH CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2011-04-01
DEERFIELD CAPITAL MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2014-02-01
DEERFIELD CAPITAL MANAGEMENT LLC CO-PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC CHIEF CREDIT OFFICER direct 2010-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2010-12-01
COMMERCIAL INDUSTRIAL FINANCE CORP CHIEF CREDIT OFFICER direct 2006-01-01
COMMERCIAL INDUSTRIAL FINANCE CORP CO-CHIEF INVESTMENT OFFICER direct 2006-01-01
CIFC ASSET MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC CO-PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CIFC ASSET MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER (OF REGISTRANT AND EACH RELYING ADVISER) direct 2014-02-01
CIFC ASSET MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CENTRICUS HOLDINGS I LP SOLE MEMBER CIFC LLC 11/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2016-11-01
CIFC CORP. SOLE MEMBER CIFC ASSET MANAGEMENT HOLDINGS LLC 04/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2013-03-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER direct 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CIFC INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER OF CIFC ASSET MANGT., CYPRESSTREE INVT. MANGT., COLUMBUS NOVA CREDIT INVTS. MANGT. & PARTHENON FUNDING direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-04-01
AL-THANI, HAMAD BIN KHALIFA SOLE MEMBER SUPREME UNIVERSAL HOLDINGS LIMITED 11/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2012-11-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2012-11-01
SUPREME UNIVERSAL HOLDINGS LIMITED LIMITED PARTNER CENTRICUS FINANCIAL INVESTMENTS LP 11/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CENTRICUS FINANCIAL INVESTMENTS LP LIMITED PARTNER CENTRICUS HOLDINGS I LP 08/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
CIFC HOLDINGS I LLC SOLE MEMBER CIFC CORP. 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC LLC SOLE MEMBER CIFC HOLDINGS I LLC 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CIFC SENIOR SECURED CORPORATE LOAN MASTER FUND LP Cayman Islands 805-8777574050 Other Private Fund PRIVATE INVESTMENT FUND 834,214,002 5,000,000 Master Fund
CIFC EUROPEAN FUNDING CLO II DESIGNATED ACTIVITY COMPANY Ireland 805-5916883659 Securitized Asset Fund 490,816,128 0
CIFC FUNDING 2020-II, LTD. Cayman Islands 805-3719233211 Securitized Asset Fund 450,299,673 0
CIFC CLO OPPORTUNITY MASTER FUND IV, LP Cayman Islands 805-9946423884 Private Equity Fund 7,851,198 5,000,000 Master Fund
CIFC GLOBAL STRATEGIC CREDIT FUND SCSP Luxembourg 805-4131435676 Hedge Fund 36,304,728 5,000,000
CIFC FUNDING 2020-III, LTD. Cayman Islands 805-8177772871 Securitized Asset Fund 499,939,572 0
CIFC FUNDING 2015-III, LTD. Cayman Islands 805-9265189612 Securitized Asset Fund 493,340,006 0
CIFC CLO OPPORTUNITY MASTER FUND (CAYMAN) II LP Cayman Islands 805-3771165799 Private Equity Fund 115,004,635 5,000,000 Master Fund
CIFC FUNDING 2015-II, LTD Cayman Islands 805-2996563597 Securitized Asset Fund 424,390,960 0
CIFC FUNDING 2018-II, LTD. Cayman Islands 805-5570198075 Securitized Asset Fund 795,654,304 0
CIFC INVESTMENT GRADE CLO MASTER FUND LTD. Cayman Islands 805-1049141078 Private Equity Fund 30,921,247 5,000,000 Master Fund
CIFC FUNDING 2019-III, LTD. Cayman Islands 805-4422573199 Securitized Asset Fund 598,281,717 0
CIFC FUNDING 2015-V, LTD. Cayman Islands 805-7261286155 Securitized Asset Fund 487,188,881 0
CIFC CLO OPPORTUNITY MASTER FUND III LP Cayman Islands 805-5853846987 Private Equity Fund 139,446,217 5,000,000 Master Fund
CIFC FUNDING 2019-V, LTD. Cayman Islands 805-6267293809 Securitized Asset Fund 500,317,415 0
CIFC FUNDING 2019-II, LTD. Cayman Islands 805-4773771737 Securitized Asset Fund 496,408,687 0
CIFC FUNDING 2019-IV, LTD. Cayman Islands 805-1104225919 Securitized Asset Fund 484,444,113 0
CIFC FUNDING 2019-I, LTD. Cayman Islands 805-9595515088 Securitized Asset Fund 595,887,440 0
CIFC SECONDARY OPPORTUNITIES FUND I LP Cayman Islands 805-7906775449 Private Equity Fund 97,959,427 0
CIFC FUNDING 2016-I, LTD. Cayman Islands 805-3102764289 Securitized Asset Fund 498,250,394 0
CIFC EVENT DRIVEN OPPORTUNITIES MASTER FUND S.C.SP. Luxembourg 805-1051672994 Hedge Fund 37,692,751 5,000,000
CIFC FUNDING 2017-I, LTD. Cayman Islands 805-4311026852 Securitized Asset Fund 794,635,447 0
CIFC FUNDING 2013-III-R, LTD. Cayman Islands 805-2172057260 Securitized Asset Fund 397,779,487 0
CIFC FUNDING 2018-I, LTD. Cayman Islands 805-3383801571 Securitized Asset Fund 994,132,579 0
CIFC FUNDING 2015-I, LTD. Cayman Islands 805-2098541626 Securitized Asset Fund 593,396,855 0
CIFC FUNDING 2017-II, LTD. Cayman Islands 805-3012190328 Securitized Asset Fund 567,304,767 0
CIFC FUNDING 2014, LTD. Cayman Islands 805-9340941185 Securitized Asset Fund 590,783,100 0
CIFC FUNDING 2013-II, LTD. Cayman Islands 805-8121460305 Securitized Asset Fund 620,217,336 0
CIFC FUNDING 2013-IV, LTD. Cayman Islands 805-6745092903 Securitized Asset Fund 498,288,588 0
CIFC FUNDING 2014-V, LTD. Cayman Islands 805-5816401212 Securitized Asset Fund 546,603,979 0
CIFC FUNDING 2015-IV, LTD. Cayman Islands 805-3531069242 Securitized Asset Fund 494,084,347 0
CIFC LOAN OPPORTUNITY FUND I, LTD. Cayman Islands 805-7636598283 Securitized Asset Fund 166,517,779 0
CIFC FUNDING 2013-I, LTD. Cayman Islands 805-2272066428 Securitized Asset Fund 495,618,347 0
CIFC FUNDING 2017-V, LTD. Cayman Islands 805-6452083450 Securitized Asset Fund 693,367,233 0
CIFC FUNDING 2012-II-R, LTD. Cayman Islands 805-8064211228 Securitized Asset Fund 464,160,322 0
CIFC FUNDING 2018-IV, LTD. Cayman Islands 805-9832040675 Securitized Asset Fund 796,551,113 0
CIFC LONG/SHORT CREDIT MASTER FUND LTD. Cayman Islands 805-9357132385 Hedge Fund 11,131,696 5,000,000 Master Fund
CIFC FUNDING 2018-V, LTD. Cayman Islands 805-3004045822 Securitized Asset Fund 543,582,819 0
CIFC LOAN OPPORTUNITY FUND II, LTD. Cayman Islands 805-1696630528 Securitized Asset Fund 131,191,957 0
CIFC FUNDING 2018-III, LTD. Cayman Islands 805-1571819066 Securitized Asset Fund 597,059,020 0
CIFC FUNDING 2019-VI, LTD. Cayman Islands 805-4370883632 Securitized Asset Fund 400,498,980 0
CIFC EUROPEAN FUNDING CLO I DESIGNATED ACTIVITY COMPANY Ireland 805-4744358794 Securitized Asset Fund 484,644,551 0
CIFC GLOBAL FLOATING RATE CREDIT FUND, A SUB-FUND OF DMS UCITS PLATFORM ICAV Ireland 805-1090960983 Other Private Fund UCITS 202,833,159 1,000,000
CIFC FUNDING 2014-IV-R, LTD. Cayman Islands 805-2491225387 Securitized Asset Fund 592,814,407 0
CIFC FUNDING 2014-III, LTD. Cayman Islands 805-3583745896 Securitized Asset Fund 697,448,784 0
CIFC FUNDING 2017-III, LTD. Cayman Islands 805-4120339602 Securitized Asset Fund 690,063,827 0
CIFC FUNDING 2017-IV, LTD. Cayman Islands 805-6541071505 Securitized Asset Fund 792,916,212 0
CIFC FUNDING 2014-II-R, LTD. Cayman Islands 805-5478045047 Securitized Asset Fund 793,658,296 0
CIFC EUROPEAN FUNDING CLO III DESIGNATED ACTIVITY COMPANY Ireland 805-1225899092 Securitized Asset Fund 427,525,000 0
CIFC FUNDING 2020-I, LTD. Cayman Islands 805-4598416568 Securitized Asset Fund 500,800,802 0
CIFC SECONDARY OPPORTUNITIES FUND II LP Cayman Islands 805-3639223988 Private Equity Fund 141,406,553 0
CIFC LONG/SHORT CREDIT FUND, A SUB-FUND OF CIFC CREDIT FUNDS ICAV Ireland 805-9212611585 Other Private Fund UCITS 270,971,502 1,000,000

CIFC ASSET MANAGEMENT LLC

ownership team - last updated 2021-03-31
Name Title Start Date Direct/Indirect % Ownership
DIROCCO, JOHN, STEPHEN CHIEF OPERATING OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2017-09-01
BALANCE ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2005-08-01
CIFC ASSET MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2017-09-01
BELL POINT CAPITAL MANAGEMENT LP COO direct 2011-07-01
REEF ROAD CAPITAL LLC CHIEF OPERATING OFFICER direct 2013-02-01
REEF ROAD CAPITAL LLC CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER direct 2013-02-01
MCGANN, ROBERT, VINCENT CHIEF FINANCIAL OFFICER 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
GUGGENHEIM INVESTMENT MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2005-10-01
CAPSTONE INVESTMENT ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2008-04-01
CIFC ASSET MANAGEMENT HOLDINGS LLC SOLE MEMBER 04/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2013-03-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER direct 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CIFC INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER OF CIFC ASSET MANGT., CYPRESSTREE INVT. MANGT., COLUMBUS NOVA CREDIT INVTS. MANGT. & PARTHENON FUNDING direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-04-01
WELDON, JULIAN, MARTIN HENRY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC GENEAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
DEERFIELD CAPITAL MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
GARRISON INVESTMENT GROUP LP VICE-PRESIDENT AND SECRETARY direct 2009-01-01
GARRISON INVESTMENT GROUP LP CHIEF COMPLIANCE OFFICER direct 2009-01-01
GARRISON CAPITAL ADVISERS LLC CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER direct 2010-11-01
GARRISON CAPITAL ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2010-11-01
CIFC ASSET MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (OF REGISTRANT AND EACH RELYING ADVISER) direct 2015-08-01
CIFC ASSET MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
GARRISON LOAN MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
VACCARO, STEPHEN, JOSEPH CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2011-04-01
DEERFIELD CAPITAL MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2014-02-01
DEERFIELD CAPITAL MANAGEMENT LLC CO-PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC CHIEF CREDIT OFFICER direct 2010-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2010-12-01
COMMERCIAL INDUSTRIAL FINANCE CORP CHIEF CREDIT OFFICER direct 2006-01-01
COMMERCIAL INDUSTRIAL FINANCE CORP CO-CHIEF INVESTMENT OFFICER direct 2006-01-01
CIFC ASSET MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC CO-PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CIFC ASSET MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER (OF REGISTRANT AND EACH RELYING ADVISER) direct 2014-02-01
CIFC ASSET MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CENTRICUS HOLDINGS I LP SOLE MEMBER CIFC LLC 11/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2016-11-01
CIFC CORP. SOLE MEMBER CIFC ASSET MANAGEMENT HOLDINGS LLC 04/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2013-03-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER direct 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CIFC INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER OF CIFC ASSET MANGT., CYPRESSTREE INVT. MANGT., COLUMBUS NOVA CREDIT INVTS. MANGT. & PARTHENON FUNDING direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-04-01
AL-THANI, HAMAD BIN KHALIFA SOLE MEMBER SUPREME UNIVERSAL HOLDINGS LIMITED 11/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2012-11-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2012-11-01
CENTRICUS FINANCIAL INVESTMENTS LP LIMITED PARTNER CENTRICUS HOLDINGS I LP 08/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
SUPREME UNIVERSAL HOLDINGS LIMITED LIMITED PARTNER CENTRICUS FINANCIAL INVESTMENTS LP 11/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CIFC HOLDINGS I LLC SOLE MEMBER CIFC CORP. 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC LLC SOLE MEMBER CIFC HOLDINGS I LLC 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CIFC FUNDING 2020-III, LTD. Cayman Islands 805-8177772871 Securitized Asset Fund 499,939,572 0
CIFC FUNDING 2015-III, LTD. Cayman Islands 805-9265189612 Securitized Asset Fund 493,340,006 0
CIFC CLO OPPORTUNITY MASTER FUND (CAYMAN) II LP Cayman Islands 805-3771165799 Private Equity Fund 114,920,051 5,000,000 Master Fund
CIFC FUNDING 2015-II, LTD Cayman Islands 805-2996563597 Securitized Asset Fund 424,390,960 0
CIFC FUNDING 2018-II, LTD. Cayman Islands 805-5570198075 Securitized Asset Fund 795,654,304 0
CIFC INVESTMENT GRADE CLO MASTER FUND LTD. Cayman Islands 805-1049141078 Private Equity Fund 30,921,247 5,000,000 Master Fund
CIFC FUNDING 2019-III, LTD. Cayman Islands 805-4422573199 Securitized Asset Fund 598,281,717 0
CIFC CLO OPPORTUNITY HOLDINGS FUND II LP Cayman Islands 805-7964074078 Private Equity Fund 21,873 5,000,000 Feeder Fund
CIFC FUNDING 2013-I, LTD. Cayman Islands 805-2272066428 Securitized Asset Fund 495,618,347 0
CIFC FUNDING 2017-V, LTD. Cayman Islands 805-6452083450 Securitized Asset Fund 693,367,233 0
CIFC FUNDING 2012-II-R, LTD. Cayman Islands 805-8064211228 Securitized Asset Fund 464,160,322 0
CIFC CLO OPPORTUNITY (THP) FUND II LP Cayman Islands 805-2474320439 Private Equity Fund 41,640 5,000,000 Feeder Fund
CIFC CLO OPPORTUNITY (UST) FUND II LP Cayman Islands 805-2202816807 Private Equity Fund 21,071 5,000,000 Feeder Fund
CIFC FUNDING 2018-IV, LTD. Cayman Islands 805-9832040675 Securitized Asset Fund 796,551,113 0
CIFC LONG/SHORT CREDIT MASTER FUND LTD. Cayman Islands 805-9357132385 Hedge Fund 11,131,696 5,000,000 Master Fund
CIFC FUNDING 2018-V, LTD. Cayman Islands 805-3004045822 Securitized Asset Fund 543,582,819 0
CIFC FUNDING 2018-III, LTD. Cayman Islands 805-1571819066 Securitized Asset Fund 597,059,020 0
CIFC FUNDING 2019-VI, LTD. Cayman Islands 805-4370883632 Securitized Asset Fund 400,498,980 0
CIFC EUROPEAN FUNDING CLO I DESIGNATED ACTIVITY COMPANY Ireland 805-4744358794 Securitized Asset Fund 484,644,551 0
CIFC GLOBAL FLOATING RATE CREDIT FUND Ireland 805-1090960983 Other Private Fund UCITS 202,833,159 1,000,000
CIFC CLO OPPORTUNITY MASTER FUND III LP Cayman Islands 805-5853846987 Private Equity Fund 139,446,217 5,000,000 Master Fund
CIFC FUNDING 2019-V, LTD. Cayman Islands 805-6267293809 Securitized Asset Fund 500,317,415 0
CIFC FUNDING 2019-II, LTD. Cayman Islands 805-4773771737 Securitized Asset Fund 496,408,687 0
CIFC FUNDING 2019-IV, LTD. Cayman Islands 805-1104225919 Securitized Asset Fund 484,444,113 0
CIFC FUNDING 2019-I, LTD. Cayman Islands 805-9595515088 Securitized Asset Fund 595,887,440 0
CIFC SECONDARY OPPORTUNITIES FUND I LP Cayman Islands 805-7906775449 Private Equity Fund 97,959,427 0
CIFC FUNDING 2016-I, LTD. Cayman Islands 805-3102764289 Securitized Asset Fund 498,250,394 0
CIFC EVENT DRIVEN OPPORTUNITIES MASTER FUND S.C.SP. Luxembourg 805-1051672994 Private Equity Fund 37,692,751 5,000,000
CIFC FUNDING 2017-I, LTD. Cayman Islands 805-4311026852 Securitized Asset Fund 794,635,447 0
CIFC FUNDING 2013-III-R, LTD. Cayman Islands 805-2172057260 Securitized Asset Fund 397,779,487 0
CIFC SENIOR SECURED CORPORATE LOAN MASTER FUND LTD. Cayman Islands 805-9139749999 Other Private Fund PRIVATE INVESTMENT FUND 834,214,002 5,000,000 Master Fund
CIFC LOAN OPPORTUNITY FUND II, LTD. Cayman Islands 805-1696630528 Securitized Asset Fund 131,191,957 0
CIFC FUNDING 2015-I, LTD. Cayman Islands 805-2098541626 Securitized Asset Fund 593,396,855 0
CIFC FUNDING 2017-II, LTD. Cayman Islands 805-3012190328 Securitized Asset Fund 567,304,767 0
CIFC FUNDING 2014, LTD. Cayman Islands 805-9340941185 Securitized Asset Fund 590,783,100 0
CIFC FUNDING 2013-II, LTD. Cayman Islands 805-8121460305 Securitized Asset Fund 620,217,336 0
CIFC FUNDING 2013-IV, LTD. Cayman Islands 805-6745092903 Securitized Asset Fund 498,288,588 0
CIFC FUNDING 2014-V, LTD. Cayman Islands 805-5816401212 Securitized Asset Fund 546,603,979 0
CIFC FUNDING 2015-IV, LTD. Cayman Islands 805-3531069242 Securitized Asset Fund 494,084,347 0
CIFC LOAN OPPORTUNITY FUND I, LTD. Cayman Islands 805-7636598283 Securitized Asset Fund 166,517,779 0
CIFC FUNDING 2015-V, LTD. Cayman Islands 805-7261286155 Securitized Asset Fund 487,188,881 0
CIFC FUNDING 2014-III, LTD. Cayman Islands 805-3583745896 Securitized Asset Fund 697,448,784 0
CIFC FUNDING 2017-III, LTD. Cayman Islands 805-4120339602 Securitized Asset Fund 690,063,827 0
CIFC FUNDING 2017-IV, LTD. Cayman Islands 805-6541071505 Securitized Asset Fund 792,916,212 0
CIFC FUNDING 2014-IV-R, LTD. Cayman Islands 805-2491225387 Securitized Asset Fund 592,814,407 0
CIFC FUNDING 2018-I, LTD. Cayman Islands 805-3383801571 Securitized Asset Fund 994,132,579 0
CIFC FUNDING 2014-II-R, LTD. Cayman Islands 805-5478045047 Securitized Asset Fund 793,658,296 0

CIFC ASSET MANAGEMENT LLC

ownership team - last updated 2020-06-26
Name Title Start Date Direct/Indirect % Ownership
WELDON, JULIAN, MARTIN HENRY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC GENEAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
DEERFIELD CAPITAL MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
GARRISON INVESTMENT GROUP LP VICE-PRESIDENT AND SECRETARY direct 2009-01-01
GARRISON INVESTMENT GROUP LP CHIEF COMPLIANCE OFFICER direct 2009-01-01
GARRISON CAPITAL ADVISERS LLC CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER direct 2010-11-01
GARRISON CAPITAL ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2010-11-01
CIFC ASSET MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (OF REGISTRANT AND EACH RELYING ADVISER) direct 2015-08-01
CIFC ASSET MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
GARRISON LOAN MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
DIROCCO, JOHN, STEPHEN CHIEF OPERATING OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2017-09-01
BALANCE ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2005-08-01
CIFC ASSET MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2017-09-01
BELL POINT CAPITAL MANAGEMENT LP COO direct 2011-07-01
REEF ROAD CAPITAL LLC CHIEF OPERATING OFFICER direct 2013-02-01
REEF ROAD CAPITAL LLC CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER direct 2013-02-01
CIFC ASSET MANAGEMENT HOLDINGS LLC SOLE MEMBER 04/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2013-03-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER direct 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CIFC INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER OF CIFC ASSET MANGT., CYPRESSTREE INVT. MANGT., COLUMBUS NOVA CREDIT INVTS. MANGT. & PARTHENON FUNDING direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-04-01
VACCARO, STEPHEN, JOSEPH CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2011-04-01
DEERFIELD CAPITAL MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2014-02-01
DEERFIELD CAPITAL MANAGEMENT LLC CO-PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC CHIEF CREDIT OFFICER direct 2010-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2010-12-01
COMMERCIAL INDUSTRIAL FINANCE CORP CHIEF CREDIT OFFICER direct 2006-01-01
COMMERCIAL INDUSTRIAL FINANCE CORP CO-CHIEF INVESTMENT OFFICER direct 2006-01-01
CIFC ASSET MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC CO-PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CIFC ASSET MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER (OF REGISTRANT AND EACH RELYING ADVISER) direct 2014-02-01
CIFC ASSET MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CENTRICUS HOLDINGS I LP SOLE MEMBER CIFC LLC 11/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2016-11-01
AL-THANI, HAMAD BIN KHALIFA SOLE MEMBER SUPREME UNIVERSAL HOLDINGS LIMITED 11/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2012-11-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2012-11-01
CENTRICUS FINANCIAL INVESTMENTS LP LIMITED PARTNER CENTRICUS HOLDINGS I LP 08/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
CIFC CORP. SOLE MEMBER CIFC ASSET MANAGEMENT HOLDINGS LLC 04/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2013-03-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER direct 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CIFC INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER OF CIFC ASSET MANGT., CYPRESSTREE INVT. MANGT., COLUMBUS NOVA CREDIT INVTS. MANGT. & PARTHENON FUNDING direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-04-01
SUPREME UNIVERSAL HOLDINGS LIMITED LIMITED PARTNER CENTRICUS FINANCIAL INVESTMENTS LP 11/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CIFC HOLDINGS I LLC SOLE MEMBER CIFC CORP. 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC LLC SOLE MEMBER CIFC HOLDINGS I LLC 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CIFC TOTAL RETURN CREDIT FUND I UNIT TRUST Cayman Islands 805-9604420224 Other Private Fund PRIVATE INVESTMENT FUND 121,465,339 5,000,000
CIFC FUNDING 2018-III, LTD. Cayman Islands 805-1571819066 Securitized Asset Fund 600,555,748 0
CIFC EVENT DRIVEN OPPORTUNITIES MASTER FUND LP Cayman Islands 805-9269024297 Hedge Fund 22,742,223 5,000,000 Master Fund
CIFC FUNDING 2019-VI, LTD. Cayman Islands 805-4370883632 Securitized Asset Fund 400,023,447 0
CIFC EUROPEAN FUNDING CLO I DESIGNATED ACTIVITY COMPANY Ireland 805-4744358794 Securitized Asset Fund 449,418,215 0
CIFC GLOBAL FLOATING RATE CREDIT FUND Ireland 805-1090960983 Other Private Fund UCITS 108,570,655 1,000,000
CIFC CLO OPPORTUNITY MASTER FUND III LP Cayman Islands 805-5853846987 Private Equity Fund 112,910,380 5,000,000 Master Fund
CIFC FUNDING 2019-V, LTD. Cayman Islands 805-6267293809 Securitized Asset Fund 500,331,458 0
CIFC B LOAN INCOME FUND 2019 Cayman Islands 805-3170119357 Other Private Fund PRIVATE INVESTMENT FUND 464,044,957 100,000
CIFC FUNDING 2019-II, LTD. Cayman Islands 805-4773771737 Securitized Asset Fund 500,111,690 0
CIFC FUNDING 2019-IV, LTD. Cayman Islands 805-1104225919 Securitized Asset Fund 500,702,289 0
CIFC FUNDING 2019-I, LTD. Cayman Islands 805-9595515088 Securitized Asset Fund 600,950,000 0
CIFC FUNDING 2019-III, LTD. Cayman Islands 805-4422573199 Securitized Asset Fund 600,076,372 0
CIFC CLO OPPORTUNITY HOLDINGS FUND II LP Cayman Islands 805-7964074078 Private Equity Fund 21,868,286 5,000,000 Feeder Fund
CIFC FUNDING 2017-II, LTD. Cayman Islands 805-3012190328 Securitized Asset Fund 572,268,275 0
CIFC LOAN OPPORTUNITY FUND II, LTD. Cayman Islands 805-1696630528 Securitized Asset Fund 168,933,303 0
CIFC FUNDING 2015-I, LTD. Cayman Islands 805-2098541626 Securitized Asset Fund 597,136,028 0
CIFC FUNDING 2014, LTD. Cayman Islands 805-9340941185 Securitized Asset Fund 592,422,916 0
CIFC FUNDING 2013-II, LTD. Cayman Islands 805-8121460305 Securitized Asset Fund 620,229,982 0
CIFC FUNDING 2013-IV, LTD. Cayman Islands 805-6745092903 Securitized Asset Fund 498,007,225 0
CIFC FUNDING 2015-IV, LTD. Cayman Islands 805-3531069242 Securitized Asset Fund 498,349,010 0
CIFC LOAN OPPORTUNITY FUND I, LTD. Cayman Islands 805-7636598283 Securitized Asset Fund 132,427,074 0
CIFC FUNDING 2015-V, LTD. Cayman Islands 805-7261286155 Securitized Asset Fund 498,959,802 0
CIFC FUNDING 2014-III, LTD. Cayman Islands 805-3583745896 Securitized Asset Fund 694,921,636 0
CIFC SECONDARY OPPORTUNITIES FUND I LP Cayman Islands 805-7906775449 Private Equity Fund 120,102,112 0
CIFC SENIOR SECURED CORPORATE LOAN FUND (CAYMAN) LTD. Cayman Islands 805-3534546539 Other Private Fund PRIVATE INVESTMENT FUND 828,426,132 5,000,000 Feeder Fund
CIFC FUNDING 2017-III, LTD. Cayman Islands 805-4120339602 Securitized Asset Fund 695,535,487 0
CIFC FUNDING 2017-IV, LTD. Cayman Islands 805-6541071505 Securitized Asset Fund 797,108,294 0
CIFC FUNDING 2017-V, LTD. Cayman Islands 805-6452083450 Securitized Asset Fund 697,778,525 0
CIFC FUNDING 2012-II-R, LTD. Cayman Islands 805-8064211228 Securitized Asset Fund 498,417,456 0
CIFC CLO OPPORTUNITY (THP) FUND II LP Cayman Islands 805-2474320439 Private Equity Fund 18,727,609 5,000,000 Feeder Fund
CIFC FUNDING 2014-V, LTD. Cayman Islands 805-5816401212 Securitized Asset Fund 546,864,705 0
CIFC FUNDING 2016-I, LTD. Cayman Islands 805-3102764289 Securitized Asset Fund 500,425,341 0
CIFC SENIOR SECURED CORPORATE LOAN FUND 2013-I FEEDER LTD. Cayman Islands 805-4042113915 Other Private Fund PRIVATE INVESTMENT FUND 42,639,131 5,000,000 Feeder Fund
CIFC FUNDING 2017-I, LTD. Cayman Islands 805-4311026852 Securitized Asset Fund 795,036,540 0
CIFC FUNDING 2013-III-R, LTD. Cayman Islands 805-2172057260 Securitized Asset Fund 398,476,539 0
CIFC SENIOR SECURED CORPORATE LOAN MASTER FUND LTD. Cayman Islands 805-9139749999 Other Private Fund PRIVATE INVESTMENT FUND 1,063,899,978 5,000,000 Master Fund
CIFC SENIOR SECURED CORPORATE LOAN FUND UNIT TRUST Cayman Islands 805-2023659676 Other Private Fund PRIVATE INVESTMENT FUND 0 5,000,000 Feeder Fund
CIFC FUNDING 2018-II, LTD. Cayman Islands 805-5570198075 Securitized Asset Fund 800,739,950 0
CIFC FUNDING 2014-IV-R, LTD. Cayman Islands 805-2491225387 Securitized Asset Fund 591,810,887 0
CIFC FUNDING 2018-I, LTD. Cayman Islands 805-3383801571 Securitized Asset Fund 999,410,883 0
CIFC SENIOR SECURED CORPORATE LOAN FUND L.P. United States 805-8128571402 Other Private Fund PRIVATE INVESTMENT FUND 192,834,715 5,000,000 Feeder Fund
CIFC FUNDING 2014-II-R, LTD. Cayman Islands 805-5478045047 Securitized Asset Fund 792,420,427 0
CIFC FUNDING 2015-III, LTD. Cayman Islands 805-9265189612 Securitized Asset Fund 497,325,272 0
CIFC CLO OPPORTUNITY MASTER FUND (CAYMAN) II LP Cayman Islands 805-3771165799 Private Equity Fund 126,732,626 5,000,000 Master Fund
CIFC FUNDING 2015-II, LTD Cayman Islands 805-2996563597 Securitized Asset Fund 455,797,595 0
CIFC B LOAN INCOME FUND 2018 Cayman Islands 805-5395452894 Other Private Fund PRIVATE INVESTMENT FUND 1,665,607,497 100,000
CIFC INVESTMENT GRADE CLO MASTER FUND LTD. Cayman Islands 805-1049141078 Private Equity Fund 15,365,515 5,000,000 Master Fund
CIFC FUNDING 2013-I, LTD. Cayman Islands 805-2272066428 Securitized Asset Fund 495,924,591 0
CIFC CLO OPPORTUNITY (UST) FUND II LP Cayman Islands 805-2202816807 Private Equity Fund 77,265,301 5,000,000 Feeder Fund
CIFC FUNDING 2018-IV, LTD. Cayman Islands 805-9832040675 Securitized Asset Fund 800,661,643 0
CIFC LONG/SHORT CREDIT MASTER FUND LTD. Cayman Islands 805-9357132385 Hedge Fund 4,711,841 5,000,000 Master Fund
CIFC FUNDING 2018-V, LTD. Cayman Islands 805-3004045822 Securitized Asset Fund 546,119,916 0

CIFC ASSET MANAGEMENT LLC

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

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CIFC EVENT DRIVEN OPPORTUNITIES MASTER FUND LP Cayman Islands 805-9269024297 Private Equity Fund 22,742,223 5,000,000 Master Fund
CIFC FUNDING 2019-VI, LTD. Cayman Islands 805-4370883632 Securitized Asset Fund 400,023,447 0
CIFC EUROPEAN FUNDING CLO I DESIGNATED ACTIVITY COMPANY Ireland 805-4744358794 Securitized Asset Fund 449,418,215 0
CIFC GLOBAL FLOATING RATE CREDIT FUND Ireland 805-1090960983 Securitized Asset Fund 108,570,655 1,000,000
CIFC CLO OPPORTUNITY MASTER FUND III LP Cayman Islands 805-5853846987 Securitized Asset Fund 112,910,380 5,000,000 Master Fund
CIFC FUNDING 2019-V, LTD. Cayman Islands 805-6267293809 Securitized Asset Fund 500,331,458 0
CIFC B LOAN INCOME FUND 2019 Cayman Islands 805-3170119357 Other Private Fund PRIVATE INVESTMENT FUND 464,044,957 100,000
CIFC FUNDING 2019-II, LTD. Cayman Islands 805-4773771737 Securitized Asset Fund 500,111,690 0
CIFC FUNDING 2019-IV, LTD. Cayman Islands 805-1104225919 Securitized Asset Fund 500,702,289 0
CIFC FUNDING 2019-I, LTD. Cayman Islands 805-9595515088 Securitized Asset Fund 600,950,000 0
CIFC FUNDING 2019-III, LTD. Cayman Islands 805-4422573199 Securitized Asset Fund 600,076,372 0
CIFC CLO OPPORTUNITY HOLDINGS FUND II LP Cayman Islands 805-7964074078 Securitized Asset Fund 21,868,286 5,000,000 Feeder Fund
CIFC FUNDING 2017-II, LTD. Cayman Islands 805-3012190328 Securitized Asset Fund 572,268,275 0
CIFC LOAN OPPORTUNITY FUND II, LTD. Cayman Islands 805-1696630528 Securitized Asset Fund 168,933,303 0
CIFC FUNDING 2015-I, LTD. Cayman Islands 805-2098541626 Securitized Asset Fund 597,136,028 0
CIFC FUNDING 2015-IV, LTD. Cayman Islands 805-3531069242 Securitized Asset Fund 498,349,010 0
CIFC LOAN OPPORTUNITY FUND I, LTD. Cayman Islands 805-7636598283 Securitized Asset Fund 132,427,074 0
CIFC FUNDING 2015-V, LTD. Cayman Islands 805-7261286155 Securitized Asset Fund 498,959,802 0
CIFC TOTAL RETURN CREDIT FUND I UNIT TRUST Cayman Islands 805-9604420224 Other Private Fund PRIVATE INVESTMENT FUND 121,465,339 5,000,000
CIFC FUNDING 2018-III, LTD. Cayman Islands 805-1571819066 Securitized Asset Fund 600,555,748 0
CIFC FUNDING 2014-III, LTD. Cayman Islands 805-3583745896 Securitized Asset Fund 694,921,636 0
CIFC SECONDARY OPPORTUNITIES FUND I LP Cayman Islands 805-7906775449 Private Equity Fund 120,102,112 0
CIFC SENIOR SECURED CORPORATE LOAN FUND (CAYMAN) LTD. Cayman Islands 805-3534546539 Other Private Fund PRIVATE INVESTMENT FUND 828,426,132 5,000,000 Feeder Fund
CIFC FUNDING 2017-III, LTD. Cayman Islands 805-4120339602 Securitized Asset Fund 695,535,487 0
CIFC FUNDING 2017-IV, LTD. Cayman Islands 805-6541071505 Securitized Asset Fund 797,108,294 0
CIFC FUNDING 2017-V, LTD. Cayman Islands 805-6452083450 Securitized Asset Fund 697,778,525 0
CIFC FUNDING 2012-II-R, LTD. Cayman Islands 805-8064211228 Securitized Asset Fund 498,417,456 0
CIFC CLO OPPORTUNITY (THP) FUND II LP Cayman Islands 805-2474320439 Securitized Asset Fund 18,727,609 5,000,000 Feeder Fund
CIFC FUNDING 2014-V, LTD. Cayman Islands 805-5816401212 Securitized Asset Fund 546,864,705 0
CIFC FUNDING 2016-I, LTD. Cayman Islands 805-3102764289 Securitized Asset Fund 500,425,341 0
CIFC SENIOR SECURED CORPORATE LOAN FUND 2013-I FEEDER LTD. Cayman Islands 805-4042113915 Other Private Fund PRIVATE INVESTMENT FUND 42,639,131 5,000,000 Feeder Fund
CIFC FUNDING 2017-I, LTD. Cayman Islands 805-4311026852 Securitized Asset Fund 795,036,540 0
CIFC FUNDING 2014, LTD. Cayman Islands 805-9340941185 Securitized Asset Fund 592,422,916 0
CIFC FUNDING 2013-II, LTD. Cayman Islands 805-8121460305 Securitized Asset Fund 620,229,982 0
CIFC FUNDING 2013-IV, LTD. Cayman Islands 805-6745092903 Securitized Asset Fund 498,007,225 0
CIFC SENIOR SECURED CORPORATE LOAN MASTER FUND LTD. Cayman Islands 805-9139749999 Other Private Fund PRIVATE INVESTMENT FUND 1,063,899,978 5,000,000 Master Fund
CIFC SENIOR SECURED CORPORATE LOAN FUND UNIT TRUST Cayman Islands 805-2023659676 Other Private Fund PRIVATE INVESTMENT FUND 0 5,000,000 Feeder Fund
CIFC FUNDING 2014-IV-R, LTD. Cayman Islands 805-2491225387 Securitized Asset Fund 591,810,887 0
CIFC FUNDING 2013-III-R, LTD. Cayman Islands 805-2172057260 Securitized Asset Fund 398,476,539 0
CIFC FUNDING 2018-I, LTD. Cayman Islands 805-3383801571 Securitized Asset Fund 999,410,883 0
CIFC SENIOR SECURED CORPORATE LOAN FUND L.P. United States 805-8128571402 Other Private Fund PRIVATE INVESTMENT FUND 192,834,715 5,000,000 Feeder Fund
CIFC FUNDING 2018-II, LTD. Cayman Islands 805-5570198075 Securitized Asset Fund 800,739,950 0
CIFC FUNDING 2014-II-R, LTD. Cayman Islands 805-5478045047 Securitized Asset Fund 792,420,427 0
CIFC B LOAN INCOME FUND 2018 Cayman Islands 805-5395452894 Other Private Fund PRIVATE INVESTMENT FUND 1,665,607,497 100,000
CIFC FUNDING 2013-I, LTD. Cayman Islands 805-2272066428 Securitized Asset Fund 495,924,591 0
CIFC CLO OPPORTUNITY (UST) FUND II LP Cayman Islands 805-2202816807 Securitized Asset Fund 77,265,301 5,000,000 Feeder Fund
CIFC LONG/SHORT CREDIT MASTER FUND LTD. Cayman Islands 805-9357132385 Hedge Fund 34,376,118 5,000,000 Master Fund
CIFC CLO OPPORTUNITY MASTER FUND (CAYMAN) II LP Cayman Islands 805-3771165799 Securitized Asset Fund 151,770,572 5,000,000 Master Fund
CIFC FUNDING 2015-II, LTD Cayman Islands 805-2996563597 Securitized Asset Fund 455,797,595 0
CIFC FUNDING 2015-III, LTD. Cayman Islands 805-9265189612 Securitized Asset Fund 497,325,272 0
CIFC FUNDING 2018-IV, LTD. Cayman Islands 805-9832040675 Securitized Asset Fund 800,661,643 0
CIFC FUNDING 2018-V, LTD. Cayman Islands 805-3004045822 Securitized Asset Fund 546,119,916 0
CIFC INVESTMENT GRADE CLO MASTER FUND LTD. Cayman Islands 805-1049141078 Securitized Asset Fund 15,365,515 5,000,000 Master Fund

CIFC ASSET MANAGEMENT LLC

ownership team - last updated 2019-10-22
Name Title Start Date Direct/Indirect % Ownership
DIROCCO, JOHN, STEPHEN CHIEF OPERATING OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2017-09-01
BALANCE ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2005-08-01
CIFC ASSET MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2017-09-01
BELL POINT CAPITAL MANAGEMENT LP COO direct 2011-07-01
REEF ROAD CAPITAL LLC CHIEF OPERATING OFFICER direct 2013-02-01
REEF ROAD CAPITAL LLC CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER direct 2013-02-01
WELDON, JULIAN, MARTIN HENRY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC GENEAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
DEERFIELD CAPITAL MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
GARRISON INVESTMENT GROUP LP VICE-PRESIDENT AND SECRETARY direct 2009-01-01
GARRISON INVESTMENT GROUP LP CHIEF COMPLIANCE OFFICER direct 2009-01-01
GARRISON CAPITAL ADVISERS LLC CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER direct 2010-11-01
GARRISON CAPITAL ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2010-11-01
CIFC ASSET MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (OF REGISTRANT AND EACH RELYING ADVISER) direct 2015-08-01
CIFC ASSET MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
GARRISON LOAN MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
CIFC ASSET MANAGEMENT HOLDINGS LLC SOLE MEMBER 04/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2013-03-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER direct 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CIFC INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER OF CIFC ASSET MANGT., CYPRESSTREE INVT. MANGT., COLUMBUS NOVA CREDIT INVTS. MANGT. & PARTHENON FUNDING direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-04-01
AGARWAL, RAHUL, NAVIN CHIEF FINANCIAL OFFICER 12/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2012-12-01
CIFC ASSET MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2012-12-01
CIFC ASSET MANAGEMENT LLC CHIEF FINANCIAL OFFICER (OF REGISTRANT AND EACH RELYING ADVISER) direct 2012-12-01
VACCARO, STEPHEN, JOSEPH CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2011-04-01
DEERFIELD CAPITAL MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2014-02-01
DEERFIELD CAPITAL MANAGEMENT LLC CO-PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC CHIEF CREDIT OFFICER direct 2010-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2010-12-01
COMMERCIAL INDUSTRIAL FINANCE CORP CHIEF CREDIT OFFICER direct 2006-01-01
COMMERCIAL INDUSTRIAL FINANCE CORP CO-CHIEF INVESTMENT OFFICER direct 2006-01-01
CIFC ASSET MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC CO-PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CIFC ASSET MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER (OF REGISTRANT AND EACH RELYING ADVISER) direct 2014-02-01
CIFC ASSET MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CENTRICUS HOLDINGS I LP SOLE MEMBER CIFC LLC 11/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2016-11-01
CIFC CORP. SOLE MEMBER CIFC ASSET MANAGEMENT HOLDINGS LLC 04/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2013-03-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER direct 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CIFC INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER OF CIFC ASSET MANGT., CYPRESSTREE INVT. MANGT., COLUMBUS NOVA CREDIT INVTS. MANGT. & PARTHENON FUNDING direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-04-01
AL-THANI, HAMAD BIN KHALIFA SOLE MEMBER SUPREME UNIVERSAL HOLDINGS LIMITED 11/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2012-11-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2012-11-01
SUPREME UNIVERSAL HOLDINGS LIMITED LIMITED PARTNER CENTRICUS FINANCIAL INVESTMENTS LP 11/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CENTRICUS FINANCIAL INVESTMENTS LP LIMITED PARTNER CENTRICUS HOLDINGS I LP 08/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
CIFC HOLDINGS I LLC SOLE MEMBER CIFC CORP. 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC LLC SOLE MEMBER CIFC HOLDINGS I LLC 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CIFC TOTAL RETURN CREDIT FUND I UNIT TRUST Cayman Islands 805-9604420224 Other Private Fund PRIVATE INVESTMENT FUND 117,238,714 5,000,000
CIFC FUNDING 2018-III, LTD. Cayman Islands 805-1571819066 Securitized Asset Fund 602,513,210 0
CIFC FUNDING 2014-III, LTD. Cayman Islands 805-3583745896 Securitized Asset Fund 700,868,100 0
CIFC FUNDING 2014-V, LTD. Cayman Islands 805-5816401212 Securitized Asset Fund 550,290,575 0
CIFC FUNDING 2016-I, LTD. Cayman Islands 805-3102764289 Securitized Asset Fund 501,029,187 0
CIFC FUNDING 2017-I, LTD. Cayman Islands 805-4311026852 Securitized Asset Fund 800,850,938 0
CIFC SECONDARY OPPORTUNITIES FUND I LP Cayman Islands 805-7906775449 Private Equity Fund 135,420,612 0
CIFC SENIOR SECURED CORPORATE LOAN FUND (CAYMAN) LTD. Cayman Islands 805-3534546539 Other Private Fund PRIVATE INVESTMENT FUND 556,472,458 5,000,000 Feeder Fund
CIFC FUNDING 2017-III, LTD. Cayman Islands 805-4120339602 Securitized Asset Fund 701,388,767 0
CIFC FUNDING 2017-IV, LTD. Cayman Islands 805-6541071505 Securitized Asset Fund 801,772,343 0
CIFC FUNDING 2017-V, LTD. Cayman Islands 805-6452083450 Securitized Asset Fund 701,179,948 0
CIFC LONG/SHORT CREDIT FUND LTD. Cayman Islands 805-7366411924 Hedge Fund 0 5,000,000 Feeder Fund
CIFC FUNDING 2012-II-R, LTD. Cayman Islands 805-8064211228 Securitized Asset Fund 501,235,046 0
CIFC CLO OPPORTUNITY (THP) FUND II LP Cayman Islands 805-2474320439 Securitized Asset Fund 22,538,904 5,000,000 Feeder Fund
CIFC SENIOR SECURED CORPORATE LOAN FUND 2013-I FEEDER LTD. Cayman Islands 805-4042113915 Other Private Fund PRIVATE INVESTMENT FUND 235,163,636 5,000,000 Feeder Fund
CIFC SENIOR SECURED CORPORATE LOAN FUND L.P. United States 805-8128571402 Other Private Fund PRIVATE INVESTMENT FUND 224,142,902 5,000,000 Feeder Fund
CIFC CLO OPPORTUNITY (UST) FUND II LP Cayman Islands 805-2202816807 Securitized Asset Fund 92,432,392 5,000,000 Feeder Fund
CIFC LONG/SHORT CREDIT MASTER FUND LTD. Cayman Islands 805-9357132385 Hedge Fund 34,376,118 5,000,000 Master Fund
CIFC FUNDING 2014, LTD. Cayman Islands 805-9340941185 Securitized Asset Fund 596,344,296 0
CIFC FUNDING 2013-II, LTD. Cayman Islands 805-8121460305 Securitized Asset Fund 624,036,195 0
CIFC FUNDING 2013-IV, LTD. Cayman Islands 805-6745092903 Securitized Asset Fund 498,660,275 0
CIFC SENIOR SECURED CORPORATE LOAN MASTER FUND LTD. Cayman Islands 805-9139749999 Other Private Fund PRIVATE INVESTMENT FUND 1,015,778,997 5,000,000 Master Fund
CIFC SENIOR SECURED CORPORATE LOAN FUND UNIT TRUST Cayman Islands 805-2023659676 Other Private Fund PRIVATE INVESTMENT FUND 0 5,000,000 Feeder Fund
CIFC FUNDING 2014-IV-R, LTD. Cayman Islands 805-2491225387 Securitized Asset Fund 596,389,215 0
CIFC FUNDING 2013-III-R, LTD. Cayman Islands 805-2172057260 Securitized Asset Fund 401,978,535 0
CIFC FUNDING 2018-I, LTD. Cayman Islands 805-3383801571 Securitized Asset Fund 1,002,044,216 0
CIFC FUNDING 2018-II, LTD. Cayman Islands 805-5570198075 Securitized Asset Fund 801,354,311 0
CIFC FUNDING 2014-II-R, LTD. Cayman Islands 805-5478045047 Securitized Asset Fund 799,957,041 0
PRIMUS CLO II, LTD. Cayman Islands 805-9353557314 Securitized Asset Fund 1,182,447 0
CIFC B LOAN INCOME FUND 2018 Cayman Islands 805-5395452894 Other Private Fund PRIVATE INVESTMENT FUND 784,520,113 100,000
CIFC FUNDING 2013-I, LTD. Cayman Islands 805-2272066428 Securitized Asset Fund 498,675,759 0
CIFC CLO OPPORTUNITY MASTER FUND (CAYMAN) II LP Cayman Islands 805-3771165799 Securitized Asset Fund 151,770,572 5,000,000 Master Fund
CIFC CLO OPPORTUNITY HOLDINGS FUND II LP Cayman Islands 805-7964074078 Securitized Asset Fund 26,281,101 5,000,000 Feeder Fund
CIFC FUNDING 2017-II, LTD. Cayman Islands 805-3012190328 Securitized Asset Fund 576,309,501 0
CIFC LONG/SHORT CREDIT FUND LP United States 805-6997777054 Hedge Fund 34,376,118 5,000,000 Feeder Fund
CIFC LOAN OPPORTUNITY FUND II, LTD. Cayman Islands 805-1696630528 Securitized Asset Fund 134,040,519 0
CIFC FUNDING 2015-I, LTD. Cayman Islands 805-2098541626 Securitized Asset Fund 599,294,254 0
CIFC FUNDING 2015-IV, LTD. Cayman Islands 805-3531069242 Securitized Asset Fund 500,882,586 0
CIFC LOAN OPPORTUNITY FUND I, LTD. Cayman Islands 805-7636598283 Securitized Asset Fund 169,645,174 0
CIFC FUNDING 2015-V, LTD. Cayman Islands 805-7261286155 Securitized Asset Fund 501,732,060 0
CIFC FUNDING 2015-II, LTD Cayman Islands 805-2996563597 Securitized Asset Fund 499,392,370 0
CIFC FUNDING 2015-III, LTD. Cayman Islands 805-9265189612 Securitized Asset Fund 500,748,284 0
CIFC FUNDING 2018-IV, LTD. Cayman Islands 805-9832040675 Securitized Asset Fund 800,854,163 0
CIFC FUNDING 2018-V, LTD. Cayman Islands 805-3004045822 Securitized Asset Fund 545,423,641 0
CIFC INVESTMENT GRADE CLO MASTER FUND LTD. Cayman Islands 805-1049141078 Securitized Asset Fund 9,818,338 5,000,000 Master Fund

CIFC ASSET MANAGEMENT LLC

ownership team - last updated 2019-04-26
Name Title Start Date Direct/Indirect % Ownership
DIROCCO, JOHN, STEPHEN CHIEF OPERATING OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2017-09-01
BALANCE ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2005-08-01
CIFC ASSET MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2017-09-01
BELL POINT CAPITAL MANAGEMENT LP COO direct 2011-07-01
REEF ROAD CAPITAL LLC CHIEF OPERATING OFFICER direct 2013-02-01
REEF ROAD CAPITAL LLC CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER direct 2013-02-01
WELDON, JULIAN, MARTIN HENRY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC GENEAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
DEERFIELD CAPITAL MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
GARRISON INVESTMENT GROUP LP VICE-PRESIDENT AND SECRETARY direct 2009-01-01
GARRISON INVESTMENT GROUP LP CHIEF COMPLIANCE OFFICER direct 2009-01-01
GARRISON CAPITAL ADVISERS LLC CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER direct 2010-11-01
GARRISON CAPITAL ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2010-11-01
CIFC ASSET MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (OF REGISTRANT AND EACH RELYING ADVISER) direct 2015-08-01
CIFC ASSET MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
GARRISON LOAN MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
CIFC ASSET MANAGEMENT HOLDINGS LLC SOLE MEMBER 04/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2013-03-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER direct 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CIFC INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER OF CIFC ASSET MANGT., CYPRESSTREE INVT. MANGT., COLUMBUS NOVA CREDIT INVTS. MANGT. & PARTHENON FUNDING direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-04-01
AGARWAL, RAHUL, NAVIN CHIEF FINANCIAL OFFICER 12/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2012-12-01
CIFC ASSET MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2012-12-01
CIFC ASSET MANAGEMENT LLC CHIEF FINANCIAL OFFICER (OF REGISTRANT AND EACH RELYING ADVISER) direct 2012-12-01
VACCARO, STEPHEN, JOSEPH CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2011-04-01
DEERFIELD CAPITAL MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2014-02-01
DEERFIELD CAPITAL MANAGEMENT LLC CO-PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC CHIEF CREDIT OFFICER direct 2010-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2010-12-01
COMMERCIAL INDUSTRIAL FINANCE CORP CHIEF CREDIT OFFICER direct 2006-01-01
COMMERCIAL INDUSTRIAL FINANCE CORP CO-CHIEF INVESTMENT OFFICER direct 2006-01-01
CIFC ASSET MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC CO-PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CIFC ASSET MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER (OF REGISTRANT AND EACH RELYING ADVISER) direct 2014-02-01
CIFC ASSET MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CENTRICUS HOLDINGS I LP SOLE MEMBER CIFC LLC 11/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2016-11-01
CIFC CORP. SOLE MEMBER CIFC ASSET MANAGEMENT HOLDINGS LLC 04/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2013-03-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER direct 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CIFC INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER OF CIFC ASSET MANGT., CYPRESSTREE INVT. MANGT., COLUMBUS NOVA CREDIT INVTS. MANGT. & PARTHENON FUNDING direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-04-01
AL-THANI, HAMAD BIN KHALIFA SOLE MEMBER SUPREME UNIVERSAL HOLDINGS LIMITED 11/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2012-11-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2012-11-01
SUPREME UNIVERSAL HOLDINGS LIMITED LIMITED PARTNER CENTRICUS FINANCIAL INVESTMENTS LP 11/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CENTRICUS FINANCIAL INVESTMENTS LP LIMITED PARTNER CENTRICUS HOLDINGS I LP 08/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
CIFC HOLDINGS I LLC SOLE MEMBER CIFC CORP. 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC LLC SOLE MEMBER CIFC HOLDINGS I LLC 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CIFC TOTAL RETURN CREDIT FUND I UNIT TRUST Cayman Islands 805-9604420224 Other Private Fund PRIVATE INVESTMENT FUND 117,238,714 5,000,000
CIFC FUNDING 2018-III, LTD. Cayman Islands 805-1571819066 Securitized Asset Fund 602,513,210 0
CIFC FUNDING 2014-III, LTD. Cayman Islands 805-3583745896 Securitized Asset Fund 700,868,100 0
CIFC FUNDING 2014-V, LTD. Cayman Islands 805-5816401212 Securitized Asset Fund 550,290,575 0
CIFC FUNDING 2016-I, LTD. Cayman Islands 805-3102764289 Securitized Asset Fund 501,029,187 0
CIFC FUNDING 2017-I, LTD. Cayman Islands 805-4311026852 Securitized Asset Fund 800,850,938 0
CIFC SECONDARY OPPORTUNITIES FUND I LP Cayman Islands 805-7906775449 Private Equity Fund 135,420,612 0
CIFC SENIOR SECURED CORPORATE LOAN FUND (CAYMAN) LTD. Cayman Islands 805-3534546539 Other Private Fund PRIVATE INVESTMENT FUND 556,472,458 5,000,000 Feeder Fund
CIFC FUNDING 2017-III, LTD. Cayman Islands 805-4120339602 Securitized Asset Fund 701,388,767 0
CIFC FUNDING 2017-IV, LTD. Cayman Islands 805-6541071505 Securitized Asset Fund 801,772,343 0
CIFC FUNDING 2017-V, LTD. Cayman Islands 805-6452083450 Securitized Asset Fund 701,179,948 0
CIFC LONG/SHORT CREDIT FUND LTD. Cayman Islands 805-7366411924 Hedge Fund 0 5,000,000 Feeder Fund
CIFC FUNDING 2012-II-R, LTD. Cayman Islands 805-8064211228 Securitized Asset Fund 501,235,046 0
CIFC CLO OPPORTUNITY (THP) FUND II LP Cayman Islands 805-2474320439 Securitized Asset Fund 22,538,904 5,000,000 Feeder Fund
CIFC SENIOR SECURED CORPORATE LOAN FUND 2013-I FEEDER LTD. Cayman Islands 805-4042113915 Other Private Fund PRIVATE INVESTMENT FUND 235,163,636 5,000,000 Feeder Fund
CIFC SENIOR SECURED CORPORATE LOAN FUND L.P. United States 805-8128571402 Other Private Fund PRIVATE INVESTMENT FUND 224,142,902 5,000,000 Feeder Fund
CIFC CLO OPPORTUNITY (UST) FUND II LP Cayman Islands 805-2202816807 Securitized Asset Fund 92,432,392 5,000,000 Feeder Fund
CIFC LONG/SHORT CREDIT MASTER FUND LTD. Cayman Islands 805-9357132385 Hedge Fund 34,376,118 5,000,000 Master Fund
CIFC FUNDING 2014, LTD. Cayman Islands 805-9340941185 Securitized Asset Fund 596,344,296 0
CIFC FUNDING 2013-II, LTD. Cayman Islands 805-8121460305 Securitized Asset Fund 624,036,195 0
CIFC FUNDING 2013-IV, LTD. Cayman Islands 805-6745092903 Securitized Asset Fund 498,660,275 0
CIFC SENIOR SECURED CORPORATE LOAN MASTER FUND LTD. Cayman Islands 805-9139749999 Other Private Fund PRIVATE INVESTMENT FUND 1,015,778,997 5,000,000 Master Fund
CIFC FUNDING 2013-I, LTD. Cayman Islands 805-2272066428 Securitized Asset Fund 498,675,759 0
CIFC CLO OPPORTUNITY MASTER FUND (CAYMAN) II LP Cayman Islands 805-3771165799 Securitized Asset Fund 151,770,572 5,000,000 Master Fund
CIFC CLO OPPORTUNITY HOLDINGS FUND II LP Cayman Islands 805-7964074078 Securitized Asset Fund 26,281,101 5,000,000 Feeder Fund
CIFC FUNDING 2017-II, LTD. Cayman Islands 805-3012190328 Securitized Asset Fund 576,309,501 0
CIFC LONG/SHORT CREDIT FUND LP United States 805-6997777054 Hedge Fund 34,376,118 5,000,000 Feeder Fund
CIFC LOAN OPPORTUNITY FUND II, LTD. Cayman Islands 805-1696630528 Securitized Asset Fund 134,040,519 0
CIFC FUNDING 2015-I, LTD. Cayman Islands 805-2098541626 Securitized Asset Fund 599,294,254 0
CIFC FUNDING 2015-IV, LTD. Cayman Islands 805-3531069242 Securitized Asset Fund 500,882,586 0
CIFC LOAN OPPORTUNITY FUND I, LTD. Cayman Islands 805-7636598283 Securitized Asset Fund 169,645,174 0
CIFC FUNDING 2015-V, LTD. Cayman Islands 805-7261286155 Securitized Asset Fund 501,732,060 0
CIFC FUNDING 2015-II, LTD Cayman Islands 805-2996563597 Securitized Asset Fund 499,392,370 0
CIFC FUNDING 2015-III, LTD. Cayman Islands 805-9265189612 Securitized Asset Fund 500,748,284 0
CIFC FUNDING 2018-IV, LTD. Cayman Islands 805-9832040675 Securitized Asset Fund 800,854,163 0
CIFC FUNDING 2018-V, LTD. Cayman Islands 805-3004045822 Securitized Asset Fund 545,423,641 0
CIFC INVESTMENT GRADE CLO MASTER FUND LTD. Cayman Islands 805-1049141078 Securitized Asset Fund 9,818,338 5,000,000 Master Fund
CIFC SENIOR SECURED CORPORATE LOAN FUND UNIT TRUST Cayman Islands 805-2023659676 Other Private Fund PRIVATE INVESTMENT FUND 0 5,000,000 Feeder Fund
CIFC FUNDING 2014-IV-R, LTD. Cayman Islands 805-2491225387 Securitized Asset Fund 596,389,215 0
CIFC FUNDING 2013-III-R, LTD. Cayman Islands 805-2172057260 Securitized Asset Fund 401,978,535 0
CIFC FUNDING 2018-I, LTD. Cayman Islands 805-3383801571 Securitized Asset Fund 1,002,044,216 0
CIFC FUNDING 2018-II, LTD. Cayman Islands 805-5570198075 Securitized Asset Fund 801,354,311 0
CIFC FUNDING 2014-II-R, LTD. Cayman Islands 805-5478045047 Securitized Asset Fund 799,957,041 0
PRIMUS CLO II, LTD. Cayman Islands 805-9353557314 Securitized Asset Fund 1,182,447 0
CIFC B LOAN INCOME FUND 2018 Cayman Islands 805-5395452894 Other Private Fund PRIVATE INVESTMENT FUND 784,520,113 100,000

CIFC ASSET MANAGEMENT LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
WELDON, JULIAN, MARTIN HENRY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC GENEAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
DEERFIELD CAPITAL MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
GARRISON INVESTMENT GROUP LP VICE-PRESIDENT AND SECRETARY direct 2009-01-01
GARRISON INVESTMENT GROUP LP CHIEF COMPLIANCE OFFICER direct 2009-01-01
GARRISON CAPITAL ADVISERS LLC CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER direct 2010-11-01
GARRISON CAPITAL ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2010-11-01
CIFC ASSET MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (OF REGISTRANT AND EACH RELYING ADVISER) direct 2015-08-01
CIFC ASSET MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
GARRISON LOAN MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
DIROCCO, JOHN, STEPHEN CHIEF OPERATING OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2017-09-01
BALANCE ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2005-08-01
CIFC ASSET MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2017-09-01
BELL POINT CAPITAL MANAGEMENT LP COO direct 2011-07-01
REEF ROAD CAPITAL LLC CHIEF OPERATING OFFICER direct 2013-02-01
REEF ROAD CAPITAL LLC CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER direct 2013-02-01
AGARWAL, RAHUL, NAVIN CHIEF FINANCIAL OFFICER 12/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2012-12-01
CIFC ASSET MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2012-12-01
CIFC ASSET MANAGEMENT LLC CHIEF FINANCIAL OFFICER (OF REGISTRANT AND EACH RELYING ADVISER) direct 2012-12-01
CIFC ASSET MANAGEMENT HOLDINGS LLC SOLE MEMBER 04/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2013-03-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER direct 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CIFC INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER OF CIFC ASSET MANGT., CYPRESSTREE INVT. MANGT., COLUMBUS NOVA CREDIT INVTS. MANGT. & PARTHENON FUNDING direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-04-01
VACCARO, STEPHEN, JOSEPH CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2011-04-01
DEERFIELD CAPITAL MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2014-02-01
DEERFIELD CAPITAL MANAGEMENT LLC CO-PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC CHIEF CREDIT OFFICER direct 2010-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2010-12-01
COMMERCIAL INDUSTRIAL FINANCE CORP CHIEF CREDIT OFFICER direct 2006-01-01
COMMERCIAL INDUSTRIAL FINANCE CORP CO-CHIEF INVESTMENT OFFICER direct 2006-01-01
CIFC ASSET MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC CO-PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CIFC ASSET MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER (OF REGISTRANT AND EACH RELYING ADVISER) direct 2014-02-01
CIFC ASSET MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CENTRICUS HOLDINGS I LP SOLE MEMBER CIFC LLC 11/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2016-11-01
AL-THANI, HAMAD BIN KHALIFA SOLE MEMBER SUPREME UNIVERSAL HOLDINGS LIMITED 11/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2012-11-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2012-11-01
CIFC CORP. SOLE MEMBER CIFC ASSET MANAGEMENT HOLDINGS LLC 04/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2013-03-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER direct 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CIFC INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER OF CIFC ASSET MANGT., CYPRESSTREE INVT. MANGT., COLUMBUS NOVA CREDIT INVTS. MANGT. & PARTHENON FUNDING direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-04-01
CENTRICUS FINANCIAL INVESTMENTS LP LIMITED PARTNER CENTRICUS HOLDINGS I LP 08/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
SUPREME UNIVERSAL HOLDINGS LIMITED LIMITED PARTNER CENTRICUS FINANCIAL INVESTMENTS LP 11/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CIFC HOLDINGS I LLC SOLE MEMBER CIFC CORP. 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC LLC SOLE MEMBER CIFC HOLDINGS I LLC 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CIFC TOTAL RETURN CREDIT FUND I UNIT TRUST Cayman Islands 805-9604420224 Other Private Fund PRIVATE INVESTMENT FUND 117,238,714 5,000,000
CIFC FUNDING 2018-III, LTD. Cayman Islands 805-1571819066 Securitized Asset Fund 602,513,210 0
CIFC FUNDING 2014-III, LTD. Cayman Islands 805-3583745896 Securitized Asset Fund 700,868,100 0
CIFC FUNDING 2014-V, LTD. Cayman Islands 805-5816401212 Securitized Asset Fund 550,290,575 0
CIFC FUNDING 2016-I, LTD. Cayman Islands 805-3102764289 Securitized Asset Fund 501,029,187 0
CIFC FUNDING 2017-I, LTD. Cayman Islands 805-4311026852 Securitized Asset Fund 800,850,938 0
CIFC SECONDARY OPPORTUNITIES FUND I LP Cayman Islands 805-7906775449 Private Equity Fund 135,420,612 0
CIFC SENIOR SECURED CORPORATE LOAN FUND (CAYMAN) LTD. Cayman Islands 805-3534546539 Other Private Fund PRIVATE INVESTMENT FUND 556,472,458 5,000,000 Feeder Fund
CIFC FUNDING 2017-III, LTD. Cayman Islands 805-4120339602 Securitized Asset Fund 701,388,767 0
CIFC FUNDING 2017-IV, LTD. Cayman Islands 805-6541071505 Securitized Asset Fund 801,772,343 0
CIFC FUNDING 2017-V, LTD. Cayman Islands 805-6452083450 Securitized Asset Fund 701,179,948 0
CIFC CLO OPPORTUNITY MASTER FUND (CAYMAN) II LP Cayman Islands 805-3771165799 Securitized Asset Fund 151,770,572 5,000,000 Master Fund
CIFC CLO OPPORTUNITY HOLDINGS FUND II LP Cayman Islands 805-7964074078 Securitized Asset Fund 26,281,101 5,000,000 Feeder Fund
CIFC FUNDING 2017-II, LTD. Cayman Islands 805-3012190328 Securitized Asset Fund 576,309,501 0
CIFC SENIOR SECURED CORPORATE LOAN FUND 2013-I FEEDER LTD. Cayman Islands 805-4042113915 Other Private Fund PRIVATE INVESTMENT FUND 235,163,636 5,000,000 Feeder Fund
CIFC SENIOR SECURED CORPORATE LOAN FUND L.P. United States 805-8128571402 Other Private Fund PRIVATE INVESTMENT FUND 224,142,902 5,000,000 Feeder Fund
CIFC CLO OPPORTUNITY (UST) FUND II LP Cayman Islands 805-2202816807 Securitized Asset Fund 92,432,392 5,000,000 Feeder Fund
CIFC CLO OPPORTUNITY (THP) FUND II LP Cayman Islands 805-2474320439 Securitized Asset Fund 22,538,904 5,000,000 Feeder Fund
CIFC SENIOR SECURED CORPORATE LOAN MASTER FUND LTD. Cayman Islands 805-9139749999 Other Private Fund PRIVATE INVESTMENT FUND 1,015,778,997 5,000,000 Master Fund
CIFC LONG/SHORT CREDIT FUND LTD. Cayman Islands 805-7366411924 Hedge Fund 0 5,000,000 Feeder Fund
CIFC FUNDING 2012-II-R, LTD. Cayman Islands 805-8064211228 Securitized Asset Fund 501,235,046 0
CIFC LONG/SHORT CREDIT MASTER FUND LTD. Cayman Islands 805-9357132385 Hedge Fund 34,376,118 5,000,000 Master Fund
CIFC FUNDING 2014, LTD. Cayman Islands 805-9340941185 Securitized Asset Fund 596,344,296 0
CIFC FUNDING 2013-II, LTD. Cayman Islands 805-8121460305 Securitized Asset Fund 624,036,195 0
CIFC FUNDING 2013-IV, LTD. Cayman Islands 805-6745092903 Securitized Asset Fund 498,660,275 0
CIFC FUNDING 2013-I, LTD. Cayman Islands 805-2272066428 Securitized Asset Fund 498,675,759 0
CIFC LONG/SHORT CREDIT FUND LP United States 805-6997777054 Hedge Fund 34,376,118 5,000,000 Feeder Fund
CIFC LOAN OPPORTUNITY FUND II, LTD. Cayman Islands 805-1696630528 Securitized Asset Fund 134,040,519 0
CIFC FUNDING 2015-I, LTD. Cayman Islands 805-2098541626 Securitized Asset Fund 599,294,254 0
CIFC FUNDING 2015-IV, LTD. Cayman Islands 805-3531069242 Securitized Asset Fund 500,882,586 0
CIFC FUNDING 2015-V, LTD. Cayman Islands 805-7261286155 Securitized Asset Fund 501,732,060 0
CIFC FUNDING 2015-II, LTD Cayman Islands 805-2996563597 Securitized Asset Fund 499,392,370 0
CIFC FUNDING 2015-III, LTD. Cayman Islands 805-9265189612 Securitized Asset Fund 500,748,284 0
CIFC LOAN OPPORTUNITY FUND I, LTD. Cayman Islands 805-7636598283 Securitized Asset Fund 169,645,174 0
CIFC FUNDING 2018-IV, LTD. Cayman Islands 805-9832040675 Securitized Asset Fund 800,854,163 0
CIFC FUNDING 2018-V, LTD. Cayman Islands 805-3004045822 Securitized Asset Fund 545,423,641 0
CIFC INVESTMENT GRADE CLO MASTER FUND LTD. Cayman Islands 805-1049141078 Securitized Asset Fund 9,818,338 5,000,000 Master Fund
CIFC SENIOR SECURED CORPORATE LOAN FUND UNIT TRUST Cayman Islands 805-2023659676 Other Private Fund PRIVATE INVESTMENT FUND 0 5,000,000 Feeder Fund
CIFC FUNDING 2014-IV-R, LTD. Cayman Islands 805-2491225387 Securitized Asset Fund 596,389,215 0
CIFC FUNDING 2013-III-R, LTD. Cayman Islands 805-2172057260 Securitized Asset Fund 401,978,535 0
CIFC FUNDING 2018-I, LTD. Cayman Islands 805-3383801571 Securitized Asset Fund 1,002,044,216 0
CIFC FUNDING 2018-II, LTD. Cayman Islands 805-5570198075 Securitized Asset Fund 801,354,311 0
CIFC FUNDING 2014-II-R, LTD. Cayman Islands 805-5478045047 Securitized Asset Fund 799,957,041 0
PRIMUS CLO II, LTD. Cayman Islands 805-9353557314 Securitized Asset Fund 1,182,447 0
CIFC B LOAN INCOME FUND 2018 Cayman Islands 805-5395452894 Other Private Fund PRIVATE INVESTMENT FUND 784,520,113 100,000

CIFC ASSET MANAGEMENT LLC

ownership team - last updated 2018-05-25
Name Title Start Date Direct/Indirect % Ownership
CIFC CLO MANAGEMENT HOLDCO MO II LLC MEMBER OF CIFC CLO MANAGEMENT II LLC 06/01/2017 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CIFC ASSET MANAGEMENT LLC MEMBER OF CIFC CLO MANAGEMENT II LLC direct 2017-06-01
DIROCCO, JOHN, STEPHEN CHIEF OPERATING OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2017-09-01
BALANCE ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2005-08-01
CIFC ASSET MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2017-09-01
BELL POINT CAPITAL MANAGEMENT LP COO direct 2011-07-01
REEF ROAD CAPITAL LLC CHIEF OPERATING OFFICER direct 2013-02-01
REEF ROAD CAPITAL LLC CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER direct 2013-02-01
CIFC ASSET MANAGEMENT LLC MEMBER OF CIFC CLO MANAGEMENT LLC - SERIES M AND CIFC CLO MANAGEMENT II LLC - SERIES M 01/01/2017 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CIFC ASSET MANAGEMENT LLC MEMBER OF CIFC CLO MANAGEMENT LLC direct 2017-01-01
CIFC ASSET MANAGEMENT LLC MEMBER OF CIFC CLO MANAGEMENT LLC AND CIFC CLO MANAGEMENT II LLC direct 2017-01-01
CIFC ASSET MANAGEMENT HOLDINGS LLC SOLE MEMBER OF CIFC ASSET MANAGEMENT LLC AND CYPRESSTREE INVESTMENT MANAGEMENT, LLC 04/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2013-03-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER direct 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CIFC INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER OF CIFC ASSET MANGT., CYPRESSTREE INVT. MANGT., COLUMBUS NOVA CREDIT INVTS. MANGT. & PARTHENON FUNDING direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-04-01
WELDON, JULIAN, MARTIN HENRY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC GENEAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
DEERFIELD CAPITAL MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
GARRISON INVESTMENT GROUP LP VICE-PRESIDENT AND SECRETARY direct 2009-01-01
GARRISON INVESTMENT GROUP LP CHIEF COMPLIANCE OFFICER direct 2009-01-01
GARRISON CAPITAL ADVISERS LLC CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER direct 2010-11-01
GARRISON CAPITAL ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2010-11-01
CIFC ASSET MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (OF REGISTRANT AND EACH RELYING ADVISER) direct 2015-08-01
CIFC ASSET MANAGEMENT LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2015-08-01
GARRISON LOAN MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
AGARWAL, RAHUL, NAVIN CHIEF FINANCIAL OFFICER 12/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2012-12-01
CIFC ASSET MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2012-12-01
CIFC ASSET MANAGEMENT LLC CHIEF FINANCIAL OFFICER (OF REGISTRANT AND EACH RELYING ADVISER) direct 2012-12-01
CIFC CLO MANAGEMENT HOLDCO R LLC MEMBER OF CIFC CLO MANAGEMENT LLC 01/01/2017 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CIFC ASSET MANAGEMENT LLC MEMBER OF CIFC CLO MANAGEMENT LLC direct 2017-01-01
VACCARO, STEPHEN, JOSEPH CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2011-04-01
DEERFIELD CAPITAL MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2014-02-01
DEERFIELD CAPITAL MANAGEMENT LLC CO-PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC CHIEF CREDIT OFFICER direct 2010-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2010-12-01
COMMERCIAL INDUSTRIAL FINANCE CORP CHIEF CREDIT OFFICER direct 2006-01-01
COMMERCIAL INDUSTRIAL FINANCE CORP CO-CHIEF INVESTMENT OFFICER direct 2006-01-01
CIFC ASSET MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC CO-PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CIFC ASSET MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER (OF REGISTRANT AND EACH RELYING ADVISER) direct 2014-02-01
CIFC ASSET MANAGEMENT LLC CO-CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2014-02-01
CIFC CLO MANAGEMENT HOLDCO MO LLC MEMBER OF CIFC CLO MANAGEMENT LLC 01/01/2017 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CIFC ASSET MANAGEMENT LLC MEMBER OF CIFC CLO MANAGEMENT LLC direct 2017-01-01
CIFC CLO MANAGEMENT HOLDCO R II LLC MEMBER OF CIFC CLO MANAGEMENT II LLC 06/01/2017 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CIFC ASSET MANAGEMENT LLC MEMBER OF CIFC CLO MANAGEMENT II LLC direct 2017-06-01
CIFC HOLDINGS II LLC SOLE MEMBER CIFC CLO STRATEGIC PARTNERS II GP LLC 06/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2017-06-01
CIFC ASSET MANAGEMENT LLC GENERAL PARTNER indirect 2017-06-01
CIFC HOLDINGS I LLC SOLE MEMBER CIFC CORP. 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
COLLER INTERNATIONAL PARTNERS VII, L.P. LIMITED PARTNER COLLER PARTNERS 701 LP INCORPORATED 08/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2015-08-01
CIFC LLC SOLE MEMBER CIFC HOLDINGS I LLC 12/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
COLLER PARTNERS 701 LP INCORPORATED LIMITED PARTNER CIFC CLO STRATEGIC PARTNERS LP 06/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2017-06-01
CENTRICUS HOLDINGS I LP SOLE MEMBER CIFC LLC 11/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2016-11-01
CENTRICUS FINANCIAL INVESTMENTS LP LIMITED PARTNER CENTRICUS HOLDINGS I LP 08/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-08-01
CIFC CLO STRATEGIC PARTNERS LP SOLE MEMBER CIFC CLO MANAGEMENT MO LLC AND CIFC CLO MANAGEMENT R LLC 01/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2017-01-01
CIFC CORP. SOLE MEMBER CIFC ASSET MANAGEMENT HOLDINGS LLC 04/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2007-12-01
DEERFIELD CAPITAL MANAGEMENT LLC MEMBER indirect 2013-03-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER direct 2015-12-01
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2015-12-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CYPRESSTREE INVESTMENT MANAGEMENT, LLC SOLE MEMBER indirect 2011-04-01
CIFC INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2011-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER OF CIFC ASSET MANGT., CYPRESSTREE INVT. MANGT., COLUMBUS NOVA CREDIT INVTS. MANGT. & PARTHENON FUNDING direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER direct 2015-04-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2015-04-01
SUPREME UNIVERSAL HOLDINGS LIMITED LIMITED PARTNER CENTRICUS FINANCIAL INVESTMENTS LP 11/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
DEERFIELD CAPITAL MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
CIFC ASSET MANAGEMENT LLC LIMITED PARTNER indirect 2016-11-01
AL-THANI, HAMAD BIN KHALIFA SOLE MEMBER SUPREME UNIVERSAL HOLDINGS LIMITED 11/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2012-11-01
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2012-11-01
CIFC CLO STRATEGIC PARTNERS II LP SOLE MEMBER CIFC CLO MANAGEMENT HOLDCO MO II LLC AND CIFC CLO MANAGEMENT HOLDCO R II LLC 06/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2017-06-01
CIFC CLO STRATEGIC PARTNERS II GP LLC GENERAL PARTNER CIFC CLO STRATEGIC PARTNERS II LP 06/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
CIFC ASSET MANAGEMENT LLC SOLE MEMBER indirect 2017-06-01
CIFC ASSET MANAGEMENT LLC GENERAL PARTNER indirect 2017-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CIFC CLO OPPORTUNITY (UST) FUND II LP Cayman Islands 805-2202816807 Securitized Asset Fund 90,213,283 5,000,000 Feeder Fund
CIFC CLO OPPORTUNITY (THP) FUND II LP Cayman Islands 805-2474320439 Securitized Asset Fund 23,292,824 5,000,000 Feeder Fund
CIFC SENIOR SECURED CORPORATE LOAN MASTER FUND LTD. Cayman Islands 805-9139749999 Other Private Fund PRIVATE INVESTMENT FUND 543,680,863 5,000,000 Master Fund
CIFC LONG/SHORT CREDIT FUND LTD. Cayman Islands 805-7366411924 Hedge Fund 0 5,000,000 Feeder Fund
CIFC FUNDING 2012-II-R, LTD. Cayman Islands 805-8064211228 Securitized Asset Fund 501,652,871 0
CIFC LONG/SHORT CREDIT MASTER FUND LTD. Cayman Islands 805-9357132385 Hedge Fund 52,202,419 5,000,000 Master Fund
CIFC FUNDING 2006-IB, LTD. Cayman Islands 805-2359578373 Securitized Asset Fund 155,426 100,000
CIFC FUNDING 2014, LTD. Cayman Islands 805-9340941185 Securitized Asset Fund 597,866,635 0
CIFC FUNDING 2014-II, LTD. Cayman Islands 805-6522206178 Securitized Asset Fund 798,848,978 100,000
CIFC FUNDING 2012-II, LTD. Cayman Islands 805-8427760385 Securitized Asset Fund 1,825,041 0
CIFC FUNDING 2007-III, LTD. Cayman Islands 805-7795910858 Securitized Asset Fund 121,042 100,000
PRIMUS CLO II, LTD. Cayman Islands 805-9353557314 Securitized Asset Fund 1,202,812 250,000
CIFC FUNDING 2013-II, LTD. Cayman Islands 805-8121460305 Securitized Asset Fund 623,715,663 200,000
CIFC FUNDING 2013-III, LTD. Cayman Islands 805-3183531263 Securitized Asset Fund 396,754,899 250,000
CIFC FUNDING 2013-IV, LTD. Cayman Islands 805-6745092903 Securitized Asset Fund 499,000,031 250,000
CIFC FUNDING 2013-I, LTD. Cayman Islands 805-2272066428 Securitized Asset Fund 498,683,817 250,000
CIFC LONG/SHORT CREDIT FUND LP United States 805-6997777054 Hedge Fund 52,202,419 5,000,000 Feeder Fund
CIFC LOAN OPPORTUNITY FUND II, LTD. Cayman Islands 805-1696630528 Securitized Asset Fund 134,041,354 10,000,000
CIFC FUNDING 2015-I, LTD. Cayman Islands 805-2098541626 Securitized Asset Fund 598,572,713 0
CIFC FUNDING 2015-IV, LTD. Cayman Islands 805-3531069242 Securitized Asset Fund 500,963,331 0
CIFC FUNDING 2015-V, LTD. Cayman Islands 805-7261286155 Securitized Asset Fund 500,727,238 0
CIFC FUNDING 2015-II, LTD Cayman Islands 805-2996563597 Securitized Asset Fund 498,571,016 0
CIFC FUNDING 2015-III, LTD. Cayman Islands 805-9265189612 Securitized Asset Fund 500,371,758 0
CIFC LOAN OPPORTUNITY FUND I, LTD. Cayman Islands 805-7636598283 Securitized Asset Fund 169,449,896 10,000,000
CIFC FUNDING 2014-III, LTD. Cayman Islands 805-3583745896 Securitized Asset Fund 694,484,207 0
CIFC FUNDING 2014-IV, LTD. Cayman Islands 805-3504838343 Securitized Asset Fund 595,559,191 0
CIFC FUNDING 2014-V, LTD. Cayman Islands 805-5816401212 Securitized Asset Fund 549,364,294 0
CIFC FUNDING 2016-I, LTD. Cayman Islands 805-3102764289 Securitized Asset Fund 498,790,752 0
CIFC FUNDING 2017-I, LTD. Cayman Islands 805-4311026852 Securitized Asset Fund 797,189,436 0
CIFC SECONDARY OPPORTUNITIES FUND I LP Cayman Islands 805-7906775449 Private Equity Fund 144,200,000 0
CIFC FUNDING 2006-I, LTD. Cayman Islands 805-8603857246 Securitized Asset Fund 135,555 100,000
CIFC CLO CO-INVESTMENT FUND L.P. United States 805-5342112228 Securitized Asset Fund 10,977,233 5,000,000 Master Fund
CIFC SENIOR SECURED CORPORATE LOAN FUND (CAYMAN) LTD. Cayman Islands 805-3534546539 Other Private Fund PRIVATE INVESTMENT FUND 242,394,122 5,000,000 Feeder Fund
CIFC FUNDING 2017-III, LTD. Cayman Islands 805-4120339602 Securitized Asset Fund 699,684,941 0
CIFC FUNDING 2017-IV, LTD. Cayman Islands 805-6541071505 Securitized Asset Fund 798,228,928 0
CIFC FUNDING 2017-V, LTD. Cayman Islands 805-6452083450 Securitized Asset Fund 699,902,827 0
CIFC CLO OPPORTUNITY MASTER FUND (CAYMAN) II LP Cayman Islands 805-3771165799 Securitized Asset Fund 143,767,751 5,000,000 Master Fund
CIFC CLO OPPORTUNITY HOLDINGS FUND II LP Cayman Islands 805-7964074078 Securitized Asset Fund 18,839,930 5,000,000 Feeder Fund
CIFC FUNDING 2017-II, LTD. Cayman Islands 805-3012190328 Securitized Asset Fund 574,321,349 0
CIFC SENIOR SECURED CORPORATE LOAN FUND 2013-I FEEDER LTD. Cayman Islands 805-4042113915 Other Private Fund PRIVATE INVESTMENT FUND 204,057,267 5,000,000 Feeder Fund
CIFC SENIOR SECURED CORPORATE LOAN FUND L.P. United States 805-8128571402 Other Private Fund PRIVATE INVESTMENT FUND 97,229,475 5,000,000 Feeder Fund

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