Capstone Investment Advisors LLC

Capstone Investment Advisors, LLC, is a Limited Liability Company based in Delaware. With a team of 142 employees, including 49 in advisory roles, this SEC-approved firm has been in operation since January 2012, providing investment advice to an undisclosed number of clients.

• ADAM MICHAEL BENSLEY

  CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL owns less than 5%

• DYAL CAPITAL PARTNERS (A), LP

  MEMBER owns more than 10% but less than 25%

• JOSEPH JOHN LUCAS

  PRESIDENT & CHIEF OPERATING OFFICER owns less than 5%

• KEVIN TYLER KORNOBIS

  CHIEF FINANCIAL OFFICER owns less than 5%

• MATTHEW RAYMOND TONELLI

  CHIEF RISK OFFICER owns less than 5%

• PAUL MATTHEW BRITTON

  MANAGING MEMBER & CHIEF EXECUTIVE OFFICER owns 75% or more

• KATRINA PAGLIA SETRIN

  CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL owns less than 5%

• ROBERT RICHARD HANNA

  CHIEF OPERATING OFFICER owns less than 5%

• DYAL OFFSHORE INVESTORS II LP

  MEMBER owns more than 25% but less than 50%

• DYAL OFFSHORE INVESTORS LP

  MEMBER owns more than 50% but less than 75%

• DYAL U.S. LLC

  LIMITED PARTNER owns more than 50% but less than 75%

• LEHMAN BROTHERS HOLDINGS INC.

  MEMBER owns more than 25% but less than 50%

• NB ALTERNATIVES GP HOLDINGS LLC

  MANAGING MEMBER owns 75% or more

• NB ALTERNATIVES HOLDINGS LLC

  MANAGING MEMBER owns 75% or more

• NB DYAL ASSOCIATES LP

  GENERAL PARTNER

• NB DYAL GP HOLDINGS LLC

  MANAGING MEMBER owns 75% or more

• NBSH ACQUISITION, LLC

  MEMBER owns more than 50% but less than 75%

• NEUBERGER BERMAN GROUP LLC

  MANAGING MEMBER owns 75% or more

• BARCLAYS CAPITAL INC.
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• CANTOR FITZGERALD & CO.
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• CF SECURED, LLC
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• DEUTSCHE BANK AG
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• GOLDMAN SACHS & CO. LLC
  United States
• GOLDMAN SACHS INTERNATIONAL
  United Kingdom
• MERRILL LYNCH INTERNATIONAL
  United Kingdom
• MERRILL LYNCH PROFESSIONAL CLEARING CORP.
  United States
• NATIONAL FINANCIAL SERVICES LLC
  United States

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• Windrose Health Investors LLC
• Lehman Brothers Private Fund Management LP
• The International Investment Group LLC
• Avenue Capital Management II LP
• New Mountain Finance Corporation
• Geller Advisors LLC
• M&R Capital Management Inc
• Resource Financial Fund Management LLC
• Archon Partners LLC

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