Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NONE
NONE
ICAPITAL SECURITIES, LLC
171061
ICAPITAL SECURITIES, LLC
171061
-
NONE
NONE
NONE
ICAPITAL SECURITIES, LLC
171061
NONE
NONE
ICAPITAL SECURITIES, LLC
171061
ICAPITAL SECURITIES, LLC
171061
-
NONE
ICAPITAL SECURITIES, LLC
171061
ICAPITAL SECURITIES, LLC
171061
NONE
NONE
ICAPITAL SECURITIES, LLC
171061
NONE
NONE
ICAPITAL SECURITIES, LLC
171061
ICAPITAL SECURITIES, LLC
171061
ICAPITAL SECURITIES, LLC
171061
NONE
NONE
ICAPITAL SECURITIES LLC
171061
NONE
NONE
ICAPTIAL SECURITIES LLC
171061
NONE
NONE
ICAPITAL SECURITIES, LLC AND INSTITUTIONAL CAPITAL NETWORK, INC.
171061
ICAPITAL SECURITIES, LLC
171061
ICAPITAL SECURITIES, LLC
171061
NONE
NONE
ICAPITAL SECURITIES LLC
171061
ICAPITAL SECURITIES LLC
171061
ICAPITAL SECURITIES LLC
171061
NONE
NONE
CAPITAL SECURITIES, LLC
171061
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$112,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$137,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$0.00
No
$0.00
No
THE INVESTMENT MANAGER MAY PAY TO CERTAIN INSTITUTIONS PROVIDING PLATFORM AND/OR DISTRIBUTIONS A PORTION OF ITS MANAGEMENT FEES AND/OR A FEE EQUAL TO A PORTION OF THE GROSS AMOUNT OF NEW ASSETS CONTRIBUTED TO THE FUND THROUGH SUCH PLATFORM.
D/A
$0.00
No
$0.00
No
THE INVESTMENT MANAGER MAY PAY TO CERTAIN INSTITUTIONS PROVIDING PLATFORM AND/OR DISTRIBUTION SERVICES A PORTION OF ITS MANAGEMENT FEES AND/OR A FEE EQUAL TO A PORTION OF THE GROSS AMOUNT OF NEW ASSETS CONTRIBUTED TO THE FUND THROUGH SUCH PLATFORM.
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER OF THE MASTER FUND CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$12,150,000.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDES SALES COMMISSION RELATING TO PARALLEL FUNDS.
D/A
$112,210,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$140,925,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$0.00
No
$0.00
No
THE INVESTMENT MANAGER MAY PAY TO CERTAIN INSTITUTIONS PROVIDING PLATFORM AND/OR DISTRIBUTIONS A PORTION OF ITS MANAGEMENT FEES AND/OR A FEE EQUAL TO A PORTION OF THE GROSS AMOUNT OF NEW ASSETS CONTRIBUTED TO THE FUND THROUGH SUCH PLATFORM.
D/A
$0.00
No
$0.00
No
THE INVESTMENT MANAGER MAY PAY TO CERTAIN INSTITUTIONS PROVIDING PLATFORM AND/OR DISTRIBUTION SERVICES A PORTION OF ITS MANAGEMENT FEES AND/OR A FEE EQUAL TO A PORTION OF THE GROSS AMOUNT OF NEW ASSETS CONTRIBUTED TO THE FUND THROUGH SUCH PLATFORM.
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER OF THE MASTER FUND CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$2,850,000.00
Yes
$0.00
No
SALES COMMISSION INCLUDES SALES COMMISSION RELATING TO STRATEGIC PARTNERS INFRASTRUCTURE IV L.P.
D/A
$2,850,000.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE SALES COMMISSIONS RELATING TO STRATEGIC PARTNERS OFFSHORE INFRASTRUCTURE IV L.P.
D/A
$12,150,000.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDES SALES COMMISSION RELATING TO PARALLEL FUNDS.
D/A
$6,700,000.00
Yes
$0.00
No
THE INVESTMENT MANAGER OF ISSUER SHARES A PORTION OF ITS MANAGEMENT FEE RECEIVED FROM ISSUER WITH ONE OR MORE OF ISSUER-S PLACEMENT AGENTS. SUCH PLACEMENT AGENTS MAY RECEIVE OTHER FEES (E.G., SALES LOADS) PAYABLE DIRECTLY TO THE PLACEMENT AGENT (OUTSIDE
D/A
$10,300,000.00
Yes
$0.00
No
THE INVESTMENT MANAGER OF THE ISSUER SHARES A PORTION OF ITS MANAGEMENT FEE RECEIVED FROM THE ISSUER WITH ONE OR MORE OF THE ISSUER-S PLACEMENT AGENTS. SUCH PLACEMENT AGENTS MAY RECEIVE OTHER FEES (E.G., SALES LOADS) PAYABLE DIRECTLY TO
D/A
$33,000,000.00
Yes
$0.00
No
THE INVESTMENT MANAGER OF THE ISSUER SHARES A PORTION OF ITS MANAGEMENT FEE RECEIVED FROM THE ISSUER WITH ONE OR MORE OF THE ISSUER-S PLACEMENT AGENTS. SUCH PLACEMENT AGENTS MAY RECEIVE OTHER FEES (E.G., SALES LOADS) PAYABLE DIRECTLY TO
D/A
$88,600,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$108,700,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$32,000,000.00
Yes
$0.00
No
THE INVESTMENT MANAGER OF THE ISSUER SHARES A PORTION OF ITS MANAGEMENT FEE RECEIVED FROM THE ISSUER WITH ONE OR MORE OF THE ISSUER-S PLACEMENT AGENTS. SUCH PLACEMENT AGENTS MAY RECEIVE OTHER FEES (E.G., SALES LOADS) PAYABLE DIRECTLY TO
D/A
$0.00
No
$1,294,420.00
Yes
ICAPITAL SECURITIES, LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC. COMPENSATION DUE AFTER MARCH 2016 IS PAID TO THE SUCCESSOR.
D/A
$0.00
No
$1,702,334.00
Yes
STIFEL, NICOLAUS + CO INC BECAME SUCCESSOR TO BARCLAYS CAPITAL INC. + BARCLAYS BANK PLC + ICAPITAL SECURITIES, LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC. COMPENSATION DUE AFTER DEC 2015 + MAR 2016, RESPECTIVELY, IS PAID TO THE SUCCESSOR.
D/A
$25,000,000.00
Yes
$0.00
No
THE INVESTMENT MANAGER OF THE ISSUER SHARES A PORTION OF ITS MANAGEMENT FEE RECEIVED FROM THE ISSUER WITH ONE OR MORE OF THE ISSUER-S PLACEMENT AGENTS. SUCH PLACEMENT AGENTS MAY RECEIVE OTHER FEES (E.G., SALES LOADS) PAYABLE DIRECTLY TO
D/A
$5,000,000.00
Yes
$0.00
No
THE INVESTMENT MANAGER OF THE ISSUER SHARES A PORTION OF ITS MANAGEMENT FEE RECEIVED FROM THE ISSUER WITH ONE OR MORE OF THE ISSUER-S PLACEMENT AGENTS. SUCH PLACEMENT AGENTS MAY RECEIVE OTHER FEES (E.G., SALES LOADS) PAYABLE DIRECTLY TO
D/A
$0.00
No
$0.00
No
THE INVESTMENT MANAGER MAY PAY TO CERTAIN INSTITUTIONS PROVIDING PLATFORM AND/OR DISTRIBUTION SERVICES A PORTION OF ITS MANAGEMENT FEES AND/OR A FEE EQUAL TO A PORTION OF THE GROSS AMOUNT OF NEW ASSETS CONTRIBUTED TO THE FUND THROUGH SUCH PLATFORM.
D/A
$0.00
No
$0.00
No
THE INVESTMENT MANAGER MAY PAY TO CERTAIN INSTITUTIONS PROVIDING PLATFORM AND/OR DISTRIBUTION SERVICES A PORTION OF ITS MANAGEMENT FEES AND/OR A FEE EQUAL TO A PORTION OF THE GROSS AMOUNT OF NEW ASSETS CONTRIBUTED TO THE FUND THROUGH SUCH PLATFORM.
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER OF THE MASTER FUND CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$4,000,000.00
Yes
$0.00
No
THE INVESTMENT MANAGER OF THE ISSUER SHARES A PORTION OF ITS MANAGEMENT FEE RECEIVED FROM THE ISSUER WITH ONE OR MORE OF THE ISSUER-S PLACEMENT AGENTS. SUCH PLACEMENT AGENTS MAY RECEIVE OTHER FEES (E.G., SALES LOADS) PAYABLE DIRECTLY TO
D/A
$13,752,000.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDES SALES COMMISSION RELATING TO PARALLEL FUNDS.
D/A
$5,700,000.00
Yes
$0.00
No
THE INVESTMENT MANAGER OF THE ISSUER SHARES A PORTION OF ITS MANAGEMENT FEE RECEIVED FROM THE ISSUER WITH ONE OR MORE OF THE ISSUER-S PLACEMENT AGENTS. SUCH PLACEMENT AGENTS MAY RECEIVE OTHER FEES (E.G., SALES LOADS) PAYABLE DIRECTLY
D/A
$41,000,000.00
Yes
$0.00
No
SALES COMMISSION INCLUDES SALES COMMISSIONS RELATING TO LCP X (OFFSHORE), L.P.
D/A
$41,000,000.00
Yes
$0.00
No
SALES COMMISSION INCLUDES SALES COMMISSIONS RELATING TO LEXINGTON CAPITAL PARTNERS X, L.P.
D/A
$0.00
No
$0.00
No
INVESTORS MAY BE CHARGED A PLACEMENT AGENT FEE OF UP TO 2% OF THE INVESTOR-S CAPITAL CONTRIBUTION. PLACEMENT FEES ARE IN ADDITION TO AN INVESTOR-S CAPITAL CONTRIBUTION AND DO NOT REDUCE AN INVESTOR-S CAPITAL ACCOUNT BALANCE.
D/A
$0.00
No
$0.00
No
PLACEMENT AGENT FEES ARE TO BE PAID ON AN ESTABLISHED FEE ARRANGEMENT.
D/A
$0.00
No
$0.00
No
PLACEMENT AGENT FEES ARE TO BE PAID ON AN ESTABLISHED FEE ARRANGEMENT.
D/A
$0.00
No
$0.00
No
PLACEMENT AGENT FEES ARE TO BE PAID ON AN ESTABLISHED FEE ARRANGEMENT.
D/A
$9,000,000.00
Yes
$0.00
No
THE INVESTMENT MANAGER OF THE ISSUER SHARES A PORTION OF ITS MANAGEMENT FEE RECEIVED FROM THE ISSUER WITH ONE OR MORE OF THE ISSUER-S PLACEMENT AGENTS. SUCH PLACEMENT AGENTS MAY RECEIVE OTHER FEES (E.G., SALES LOADS) PAYABLE DIRECTLY TO
D/A
$28,000,000.00
Yes
$0.00
No
THE INVESTMENT MANAGER OF THE ISSUER SHARES A PORTION OF ITS MANAGEMENT FEE RECEIVED FROM THE ISSUER WITH ONE OR MORE OF THE ISSUER-S PLACEMENT AGENTS. SUCH PLACEMENT AGENTS MAY RECEIVE OTHER FEES (E.G., SALES LOADS) PAYABLE DIRECTLY TO
D/A
$76,800,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$98,500,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$28,000,000.00
Yes
$0.00
No
THE INVESTMENT MANAGER OF THE ISSUER SHARES A PORTION OF ITS MANAGEMENT FEE RECEIVED FROM THE ISSUER WITH ONE OR MORE OF THE ISSUER-S PLACEMENT AGENTS. SUCH PLACEMENT AGENTS MAY RECEIVE OTHER FEES (E.G., SALES LOADS) PAYABLE DIRECTLY TO
D/A
$0.00
No
$1,294,420.00
Yes
ICAPITAL SECURITIES, LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC. COMPENSATION DUE AFTER MARCH 2016 IS PAID TO THE SUCCESSOR.
D/A
$0.00
No
$1,702,334.00
No
STIFEL, NICOLAUS + CO INC BECAME SUCCESSOR TO BARCLAYS CAPITAL INC. + BARCLAYS BANK PLC + ICAPITAL SECURITIES, LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC. COMPENSATION DUE AFTER DEC 2015 + MAR 2016, RESPECTIVELY, IS PAID TO THE SUCCESSOR.
D/A
$4,100,000.00
Yes
$0.00
No
THE INVESTMENT MANAGER OF THE ISSUER SHARES A PORTION OF ITS MANAGEMENT FEE RECEIVED FROM THE ISSUER WITH ONE OR MORE OF THE ISSUER-S PLACEMENT AGENTS. SUCH PLACEMENT AGENTS MAY RECEIVE OTHER FEES (E.G., SALES LOADS) PAYABLE DIRECTLY TO
D/A
$18,800,000.00
Yes
$0.00
No
(CONTINUED FROM ITEM 15) THE PLACEMENT AGENT (OUTSIDE THE ISSUER) IN ADDITION TO (AND NOT DEDUCTED FROM) INVESTMENT AMOUNTS; THE AMOUNT OF SUCH FEES ARE UNKNOWN TO THE ISSUER AND THE INVESTMENT MANAGER.
D/A
$0.00
No
$0.00
No
THE INVESTMENT MANAGER MAY PAY TO CERTAIN INSTITUTIONS PROVIDING PLATFORM AND/OR DISTRIBUTION SERVICES A PORTION OF ITS MANAGEMENT FEES AND/OR A FEE EQUAL TO A PORTION OF THE GROSS AMOUNT OF NEW ASSETS CONTRIBUTED TO THE FUND THROUGH SUCH PLATFORM.
D/A
$0.00
No
$0.00
No
THE INVESTMENT MANAGER MAY PAY TO CERTAIN INSTITUTIONS PROVIDING PLATFORM AND/OR DISTRIBUTION SERVICES A PORTION OF ITS MANAGEMENT FEES AND/OR A FEE EQUAL TO A PORTION OF THE GROSS AMOUNT OF NEW ASSETS CONTRIBUTED TO THE FUND THROUGH SUCH PLATFORM.
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER OF THE MASTER FUND CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$2,100,000.00
Yes
$0.00
No
THE INVESTMENT MANAGER OF THE ISSUER SHARES A PORTION OF ITS MANAGEMENT FEE RECEIVED FROM THE ISSUER WITH ONE OR MORE OF THE ISSUER-S PLACEMENT AGENTS. SUCH PLACEMENT AGENTS MAY RECEIVE OTHER FEES (E.G., SALES LOADS) PAYABLE DIRECTLY TO
D/A
$150,000.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE SALES COMMISSIONS RELATING TO STRATEGIC PARTNERS REAL ESTATE VIII L.P. AND THE STRATEGIC PARTNERS OFFSHORE REAL ESTATE VIII L.P.
D/A
$150,000.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE SALES COMMISSIONS RELATING TO STRATEGIC PARTNERS REAL ESTATE VIII L.P. AND THE STRATEGIC PARTNERS OFFSHORE REAL ESTATE VIII L.P.
D/A
$59,100,000.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE SALES COMMISSIONS RELATING TO STRATEGIC PARTNERS IX L.P. AND STRATEGIC PARTNERS OFFSHORE IX L.P.
D/A
$59,100,000.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE SALES COMMISSIONS RELATING TO STRATEGIC PARTNERS IX L.P. AND STRATEGIC PARTNERS OFFSHORE IX L.P.
D/A
$17,362,500.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDES SALES COMMISSION RELATING TO PARALLEL FUNDS.
D
$0.00
No
$0.00
No
ADMINISTRATIVE FEES TO BE PAID TO RECIPIENTS DISCLOSED IN ITEM 12, QUARTERLY, WITH RESPECT TO THE INVESTORS IN THE LIMITED PARTNER AND BASED ON A PERCENTAGE OF SUCH INVESTORS- SUBSCRIPTIONS.
D/A
$0.00
No
$0.00
No
INVESTORS MAY BE CHARGED A PLACEMENT AGENT FEE OF UP TO 2% OF THE INVESTOR-S CAPITAL CONTRIBUTION. PLACEMENT FEES ARE IN ADDITION TO AN INVESTOR-S CAPITAL CONTRIBUTION AND DO NOT REDUCE AN INVESTOR-S CAPITAL ACCOUNT BALANCE.
D/A
$0.00
No
$1,294,420.00
Yes
ICAPITAL SECURITIES, LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC. COMPENSATION DUE AFTER MARCH 2016 IS PAID TO THE SUCCESSOR.
D/A
$0.00
No
$1,702,334.00
No
STIFEL, NICOLAUS + CO INC BECAME SUCCESSOR TO BARCLAYS CAPITAL INC. + BARCLAYS BANK PLC + ICAPITAL SECURITIES, LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC. COMPENSATION DUE AFTER DEC 2015 + MAR 2016, RESPECTIVELY, IS PAID TO THE SUCCESSOR.
D/A
$0.00
No
$0.00
No
THE INVESTMENT MANAGER MAY PAY TO CERTAIN INSTITUTIONS PROVIDING PLATFORM AND/OR DISTRIBUTION SERVICES A PORTION OF ITS MANAGEMENT FEES AND/OR A FEE EQUAL TO A PORTION OF THE GROSS AMOUNT OF NEW ASSETS CONTRIBUTED TO THE FUND THROUGH SUCH PLATFORM.
D/A
$0.00
No
$0.00
No
THE INVESTMENT MANAGER MAY PAY TO CERTAIN INSTITUTIONS PROVIDING PLATFORM AND/OR DISTRIBUTION SERVICES A PORTION OF ITS MANAGEMENT FEES AND/OR A FEE EQUAL TO A PORTION OF THE GROSS AMOUNT OF NEW ASSETS CONTRIBUTED TO THE FUND THROUGH SUCH PLATFORM.
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER OF THE MASTER FUND CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$0.00
No
$0.00
No
THE INVESTMENT MANAGER MAY PAY TO CERTAIN INSTITUTIONS PROVIDING PLATFORM AND/OR DISTRIBUTION SERVICES A PORTION OF ITS MANAGEMENT FEES AND/OR A FEE EQUAL TO A PORTION OF THE GROSS AMOUNT OF NEW ASSETS CONTRIBUTED TO THE FUND THROUGH SUCH PLATFORM.
D/A
$18,711,011.00
Yes
$0.00
No
THE FIGURE DISCLOSED ABOVE REFLECTS ESTIMATED AMOUNTS PAID OR EXPECTED TO BE PAID TO PLACEMENT AGENTS IN RESPECT OF THE OFFERING OF LIMITED PARTNERSHIP INTERESTS OF THE ISSUER.
D/A
$38,841,773.00
Yes
$0.00
No
ALL AMOUNTS ARE PAID BY THE GENERAL PARTNER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$37,111,418.00
Yes
$0.00
No
THE ABOVE INCLUDES AMOUNTS PAID TO RECIPIENTS LISTED IN ITEM 12 RELATING TO SALES TO NON-U.S. PERSONS (AS WELL AS SALES IN THE ISSUER-S EXEMPT U.S. OFFERING). ALL AMOUNTS ARE PAID BY THE MANAGER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$0.00
No
$0.00
No
THE INVESTMENT MANAGER MAY PAY TO CERTAIN INSTITUTIONS PROVIDING PLATFORM AND/OR DISTRIBUTION SERVICES A PORTION OF ITS MANAGEMENT FEES AND/OR A FEE EQUAL TO A PORTION OF THE GROSS AMOUNT OF NEW ASSETS CONTRIBUTED TO THE FUND THROUGH SUCH PLATFORM.
D/A
$0.00
No
$1,294,420.00
No
ICAPITAL SECURITIES, LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC. COMPENSATION DUE AFTER MARCH 2016 IS PAID TO THE SUCCESSOR.
D/A
$0.00
No
$1,612,501.00
No
STIFEL, NICOLAUS + CO INC BECAME SUCCESSOR TO BARCLAYS CAPITAL INC. + BARCLAYS BANK PLC + ICAPITAL SECURITIES, LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC. COMPENSATION DUE AFTER DEC 2015 + MAR 2016, RESPECTIVELY, IS PAID TO THE SUCCESSOR.
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER OF THE MASTER FUND CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$0.00
No
$0.00
No
THE INVESTMENT MANAGER MAY PAY TO CERTAIN INSTITUTIONS PROVIDING PLATFORM AND/OR DISTRIBUTION SERVICES A PORTION OF ITS MANAGEMENT FEES AND/OR A FEE EQUAL TO A PORTION OF THE GROSS AMOUNT OF NEW ASSETS CONTRIBUTED TO THE FUND THROUGH SUCH PLATFORM.
D/A
$20,000,000.00
Yes
$0.00
No
THE FIGURE DISCLOSED ABOVE REFLECTS ESTIMATED AMOUNTS EXPECTED TO BE PAID TO PLACEMENT AGENTS IN RESPECT OF THE OFFERING OF LIMITED PARTNERSHIP INTERESTS OF THE ISSUER.
D/A
$0.00
No
$0.00
No
INVESTORS MAY BE CHARGED A PLACEMENT AGENT FEE OF UP TO 2% OF THE INVESTOR-S CAPITAL CONTRIBUTION. PLACEMENT FEES ARE IN ADDITION TO AN INVESTOR-S CAPITAL CONTRIBUTION AND DO NOT REDUCE AN INVESTOR-S CAPITAL ACCOUNT BALANCE.
D/A
$6,544,885.00
Yes
$0.00
No
THE ABOVE INCLUDES AMOUNTS PAID TO RECIPIENTS LISTED IN ITEM 12 RELATING TO SALES TO NON-U.S. PERSONS (AS WELL AS SALES IN THE ISSUER-S EXEMPT U.S. OFFERING). ALL AMOUNTS ARE PAID BY THE MANAGER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$11,503,541.00
Yes
$0.00
No
THE ABOVE INCLUDES AMOUNTS PAID TO RECIPIENTS LISTED IN ITEM 12 RELATING TO SALES TO NON-U.S. PERSONS (AS WELL AS SALES IN THE ISSUER-S EXEMPT U.S. OFFERING). ALL AMOUNTS ARE PAID BY THE MANAGER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$3,017,952.00
Yes
$0.00
No
ALL AMOUNTS ARE PAID BY THE GENERAL PARTNER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$29,742,717.00
Yes
$0.00
No
ALL AMOUNTS ARE PAID BY THE GENERAL PARTNER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$38,587,180.00
Yes
$0.00
No
ALL AMOUNTS ARE PAID BY THE GENERAL PARTNER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$37,007,693.00
Yes
$0.00
Yes
THE ABOVE INCLUDES AMOUNTS PAID TO RECIPIENTS LISTED IN ITEM 12 RELATING TO SALES TO NON-U.S. PERSONS (AS WELL AS SALES IN THE ISSUER-S EXEMPT U.S. OFFERING). ALL AMOUNTS ARE PAID BY THE MANAGER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$0.00
No
$0.00
No
THE INVESTMENT MANAGER MAY PAY TO CERTAIN INSTITUTIONS PROVIDING PLATFORM AND/OR DISTRIBUTION SERVICES A PORTION OF ITS MANAGEMENT FEES AND/OR A FEE EQUAL TO A PORTION OF THE GROSS AMOUNT OF NEW ASSETS CONTRIBUTED TO THE FUND THROUGH SUCH PLATFORM.
D/A
$0.00
No
$1,447,523.00
No
STIFEL, NICOLAUS + CO INC BECAME SUCCESSOR TO BARCLAYS CAPITAL INC. + BARCLAYS BANK PLC + ICAPITAL SECURITIES, LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC. COMPENSATION DUE AFTER DEC 2015 + MAR 2016, RESPECTIVELY, IS PAID TO THE SUCCESSOR.
D/A
$0.00
No
$1,282,992.00
Yes
ICAPITAL SECURITIES, LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC. COMPENSATION DUE AFTER MARCH 2016 IS PAID TO THE SUCCESSOR.
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER OF THE MASTER FUND CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$0.00
No
$0.00
No
THE INVESTMENT MANAGER MAY PAY TO CERTAIN INSTITUTIONS PROVIDING PLATFORM AND/OR DISTRIBUTION SERVICES A PORTION OF ITS MANAGEMENT FEES AND/OR A FEE EQUAL TO A PORTION OF THE GROSS AMOUNT OF NEW ASSETS CONTRIBUTED TO THE FUND THROUGH SUCH PLATFORM.
D/A
$0.00
No
$0.00
No
THE INVESTMENT MANAGER MAY PAY TO CERTAIN INSTITUTIONS PROVIDING PLATFORM AND/OR DISTRIBUTION SERVICES A PORTION OF ITS MANAGEMENT FEES AND/OR A FEE EQUAL TO A PORTION OF THE GROSS AMOUNT OF NEW ASSETS CONTRIBUTED TO THE FUND THROUGH SUCH PLATFORM.
D/A
$0.00
No
$0.00
No
INVESTORS MAY BE CHARGED A PLACEMENT AGENT FEE OF UP TO 2% OF THE INVESTOR-S CAPITAL CONTRIBUTION. PLACEMENT FEES ARE IN ADDITION TO AN INVESTOR-S CAPITAL CONTRIBUTION AND DO NOT REDUCE AN INVESTOR-S CAPITAL ACCOUNT BALANCE.
D/A
$28,000,000.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE SALES COMMISSIONS RELATING TO STRATEGIC PARTNERS OFFSHORE VIII L.P.
D/A
$28,000,000.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE SALES COMMISSIONS RELATING TO STRATEGIC PARTNERS VIII L.P.
D/A
$6,497,918.00
Yes
$0.00
No
THE ABOVE INCLUDES AMOUNTS PAID TO RECIPIENTS LISTED IN ITEM 12 RELATING TO SALES TO NON-U.S. PERSONS (AS WELL AS SALES IN THE ISSUER-S EXEMPT U.S. OFFERING). ALL AMOUNTS ARE PAID BY THE MANAGER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$11,438,228.00
Yes
$0.00
No
THE ABOVE INCLUDES AMOUNTS PAID TO RECIPIENTS LISTED IN ITEM 12 RELATING TO SALES TO NON-U.S. PERSONS (AS WELL AS SALES IN THE ISSUER-S EXEMPT U.S. OFFERING). ALL AMOUNTS ARE PAID BY THE MANAGER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$2,958,940.00
Yes
$0.00
No
ALL AMOUNTS ARE PAID BY THE GENERAL PARTNER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$29,742,717.00
Yes
$0.00
No
ALL AMOUNTS ARE PAID BY THE GENERAL PARTNER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$36,732,517.00
Yes
$0.00
No
ALL AMOUNTS ARE PAID BY THE GENERAL PARTNER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$36,195,670.00
Yes
$0.00
Yes
THE ABOVE INCLUDES AMOUNTS PAID TO RECIPIENTS LISTED IN ITEM 12 RELATING TO SALES TO NON-U.S. PERSONS (AS WELL AS SALES IN THE ISSUER-S EXEMPT U.S. OFFERING). ALL AMOUNTS ARE PAID BY THE MANAGER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$0.00
No
$1,212,372.00
No
STIFEL, NICOLAUS + CO INC BECAME SUCCESSOR TO BARCLAYS CAPITAL INC. + BARCLAYS BANK PLC + ICAPITAL SECURITIES, LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC. COMPENSATION DUE AFTER DEC 2015 + MAR 2016, RESPECTIVELY, IS PAID TO THE SUCCESSOR.
D/A
$0.00
No
$1,218,385.00
Yes
ICAPITAL SECURITIES, LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC. COMPENSATION DUE AFTER MARCH 2016 IS PAID TO THE SUCCESSOR.
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER OF THE MASTER FUND CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER OF THE MASTER FUND CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D
$0.00
No
$0.00
No
INVESTORS MAY BE CHARGED A PLACEMENT AGENT FEE OF UP TO 2% OF THE INVESTOR-S CAPITAL CONTRIBUTION. PLACEMENT FEES ARE IN ADDITION TO AN INVESTOR-S CAPITAL CONTRIBUTION AND DO NOT REDUCE AN INVESTOR-S CAPITAL ACCOUNT BALANCE.
D/A
$6,424,502.00
Yes
$0.00
No
THE ABOVE INCLUDES AMOUNTS PAID TO RECIPIENTS LISTED IN ITEM 12 RELATING TO SALES TO NON-U.S. PERSONS (AS WELL AS SALES IN THE ISSUER-S EXEMPT U.S. OFFERING). ALL AMOUNTS ARE PAID BY THE MANAGER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$11,255,357.00
Yes
$0.00
No
THE ABOVE INCLUDES AMOUNTS PAID TO RECIPIENTS LISTED IN ITEM 12 RELATING TO SALES TO NON-U.S. PERSONS (AS WELL AS SALES IN THE ISSUER-S EXEMPT U.S. OFFERING). ALL AMOUNTS ARE PAID BY THE MANAGER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$2,794,512.00
Yes
$0.00
No
ALL AMOUNTS ARE PAID BY THE GENERAL PARTNER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$29,217,080.00
Yes
$0.00
No
ALL AMOUNTS ARE PAID BY THE GENERAL PARTNER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$34,484,594.00
Yes
$0.00
No
ALL AMOUNTS ARE PAID BY THE GENERAL PARTNER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$34,935,523.00
Yes
$0.00
Yes
THE ABOVE INCLUDES AMOUNTS PAID TO RECIPIENTS LISTED IN ITEM 12 RELATING TO SALES TO NON-U.S. PERSONS (AS WELL AS SALES IN THE ISSUER-S EXEMPT U.S. OFFERING). ALL AMOUNTS ARE PAID BY THE MANAGER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$0.00
No
$925,574.00
No
STIFEL, NICOLAUS + CO INC BECAME SUCCESSOR TO BARCLAYS CAPITAL INC. + BARCLAYS BANK PLC + ICAPITAL SECURITIES, LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC. COMPENSATION DUE AFTER DEC 2015 + MAR 2016, RESPECTIVELY, IS PAID TO THE SUCCESSOR.
D/A
$0.00
No
$1,121,495.00
Yes
ICAPITAL SECURITIES, LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC. COMPENSATION DUE AFTER MARCH 2016 IS PAID TO THE SUCCESSOR.
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER OF THE MASTER FUND CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$11,500,000.00
Yes
$0.00
No
THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL VEHICLES.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$12,625,000.00
Yes
$0.00
No
THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL VEHICLES ASSUMING THE FULL TOTAL OFFERING AMOUNT IS SOLD.
D/A
$28,378,201.00
Yes
$0.00
No
ALL AMOUNTS ARE PAID BY THE GENERAL PARTNER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$30,788,305.00
Yes
$0.00
No
ALL AMOUNTS ARE PAID BY THE GENERAL PARTNER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$2,616,079.00
Yes
$0.00
No
ALL AMOUNTS ARE PAID BY THE GENERAL PARTNER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$6,324,089.00
Yes
$0.00
No
THE ABOVE INCLUDES AMOUNTS PAID TO RECIPIENTS LISTED IN ITEM 12 RELATING TO SALES TO NON-U.S. PERSONS (AS WELL AS SALES IN THE ISSUER-S EXEMPT U.S. OFFERING). ALL AMOUNTS ARE PAID BY THE MANAGER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$32,566,858.00
Yes
$0.00
Yes
THE ABOVE INCLUDES AMOUNTS PAID TO RECIPIENTS LISTED IN ITEM 12 RELATING TO SALES TO NON-U.S. PERSONS (AS WELL AS SALES IN THE ISSUER-S EXEMPT U.S. OFFERING). ALL AMOUNTS ARE PAID BY THE MANAGER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$11,001,844.00
Yes
$0.00
No
THE ABOVE INCLUDES AMOUNTS PAID TO RECIPIENTS LISTED IN ITEM 12 RELATING TO SALES TO NON-U.S. PERSONS (AS WELL AS SALES IN THE ISSUER-S EXEMPT U.S. OFFERING). ALL AMOUNTS ARE PAID BY THE MANAGER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$0.00
No
$620,519.00
No
STIFEL, NICOLAUS + CO INC BECAME SUCCESSOR TO BARCLAYS CAPITAL INC. + BARCLAYS BANK PLC + ICAPITAL SECURITIES, LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC. COMPENSATION DUE AFTER DEC 2015 + MAR 2016, RESPECTIVELY, IS PAID TO THE SUCCESSOR.
D/A
$0.00
No
$983,720.00
Yes
ICAPITAL SECURITIES, LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC. COMPENSATION DUE AFTER MARCH 2016 IS PAID TO THE SUCCESSOR.
D/A
$12,625,000.00
Yes
$0.00
No
THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND ITS PARALLEL VEHICLES ASSUMING THE FULL TOTAL OFFERING AMOUNT IS SOLD.
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$0.00
Yes
$0.00
No
FIRMS LISTED IN ITEM 12 RECEIVE FEES FROM THE INVESTMENT MANAGER AND/OR GENERAL PARTNER OF THE MASTER FUND CALCULATED AS A PERCENTAGE OF THEIR MANAGEMENT FEES AND/OR PERFORMANCE ALLOCATIONS, AS APPLICABLE, FOR INVESTORS INTRODUCED BY THE APPLICABLE FIRM
D/A
$12,250,000.00
Yes
$0.00
Yes
ASSUMES MAXIMUM AGGREGATE COMMISSION PAID. AMOUNT TO BE PAID BY CERBERUS CAPITAL MANAGEMENT IN ACCORDANCE WITH A SCHEDULE BASED UPON CAPITAL RAISED FROM U.S. INVESTORS, AS MORE FULLY SET FORTH IN THE OFFERING MATERIALS.
D/A
$25,000,000.00
Yes
$0.00
Yes
ASSUMES MAXIMUM AGGREGATE COMMISSION PAID. AMOUNT TO BE PAID BY CERBERUS CAPITAL MANAGEMENT IN ACCORDANCE WITH A SCHEDULE BASED UPON CAPITAL RAISED FROM U.S. INVESTORS, AS MORE FULLY SET FORTH IN THE OFFERING MATERIALS.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$2,260,916.00
Yes
$0.00
No
ALL AMOUNTS ARE PAID BY THE GENERAL PARTNER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$27,464,334.00
Yes
$0.00
No
ALL AMOUNTS ARE PAID BY THE GENERAL PARTNER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$27,046,207.00
Yes
$0.00
No
ALL AMOUNTS ARE PAID BY THE GENERAL PARTNER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$28,975,387.00
Yes
$0.00
Yes
THE ABOVE INCLUDES AMOUNTS PAID TO RECIPIENTS LISTED IN ITEM 12 RELATING TO SALES TO NON-U.S. PERSONS (AS WELL AS SALES IN THE ISSUER-S EXEMPT U.S. OFFERING). ALL AMOUNTS ARE PAID BY THE MANAGER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$5,613,145.00
Yes
$0.00
No
THE ABOVE INCLUDES AMOUNTS PAID TO RECIPIENTS LISTED IN ITEM 12 RELATING TO SALES TO NON-U.S. PERSONS (AS WELL AS SALES IN THE ISSUER-S EXEMPT U.S. OFFERING). ALL AMOUNTS ARE PAID BY THE MANAGER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$10,620,507.00
Yes
$0.00
No
THE ABOVE INCLUDES AMOUNTS PAID TO RECIPIENTS LISTED IN ITEM 12 RELATING TO SALES TO NON-U.S. PERSONS (AS WELL AS SALES IN THE ISSUER-S EXEMPT U.S. OFFERING). ALL AMOUNTS ARE PAID BY THE MANAGER OUT OF FEE INCOME IT RECEIVES FROM THE ISSUER.
D/A
$0.00
No
$179,258.00
No
STIFEL, NICOLAUS + CO INC BECAME SUCCESSOR TO BARCLAYS CAPITAL INC. + BARCLAYS BANK PLC + ICAPITAL SECURITIES, LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC. COMPENSATION DUE AFTER DEC 2015 + MAR 2016, RESPECTIVELY, IS PAID TO THE SUCCESSOR.
D/A
$0.00
No
$807,783.00
No
ICAPITAL SECURITIES, LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC. COMPENSATION DUE AFTER MARCH 2016 IS PAID TO THE SUCCESSOR.
