PENN CAPITAL MANAGEMENT COMPANY, LLC
CRD #105081 SEC #801-31452 PHILADELPHIA, PA 215-302-1500
SEC Registered
Total AUM
$1.6B
Discretionary
$1.3B
Employees
15
Clients
--
Accounts
724
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 13, 2025
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| DALY, ANDREW, MCLEAN | I | CHIEF OPERATING OFFICER | NA | Control |
| DALY, ANDREW, MCLEAN | I | CHIEF OPERATING OFFICER | NA | Control |
| DALY, ANDREW, MCLEAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DALY, ANDREW, MCLEAN | I | CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER | NA | Control |
| DALY, ANDREW, MCLEAN | I | CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER | NA | Control |
| DALY, ANDREW, MCLEAN | I | CHIEF OPERATING OFFICER | NA | Control |
| DALY, ANDREW, MCLEAN | I | CHIEF OPERATING OFFICER | NA | Control |
| DALY, ANDREW, MCLEAN | I | CHIEF OPERATING OFFICER | NA | Control |
| DUFFY, PETER, R | I | DEPUTY CIO - CREDIT, SENIOR MANAGING PARTNER | NA | Control |
| DUFFY, PETER, R | I | DEPUTY CIO - CREDIT, SENIOR MANAGING PARTNER | NA | Control |
| DUFFY, PETER, R | I | CIO - CREDIT, SENIOR MANAGING PARTNER | NA | Control |
| DUFFY, PETER, R | I | CIO - CREDIT, SENIOR MANAGING PARTNER | NA | Control |
| GREEN, ERIC | I | CIO - EQUITY, SENIOR MANAGING PARTNER | NA | Control |
| GREEN, ERIC, JON | I | CIO - EQUITY, SENIOR MANAGING PARTNER | NA | Control |
| HOCKER, KIMBERLEY, ANN | I | DIRECTOR | NA | |
| HOCKER, KIMBERLEY, ANN | I | DIRECTOR | NA | |
| HOCKER, KIMBERLEY, ANN | I | DIRECTOR | NA | |
| HOCKER, KIRSTEN | I | DIRECTOR OF HUMAN RESOURCES | NA | Control |
| HOCKER, KIRSTEN | I | DIRECTOR OF HUMAN RESOURCES | NA | Control |
| HOCKER, KIRSTEN | I | DIRECTOR OF HUMAN RESOURCES | NA | Control |
| HOCKER, KIRSTEN | I | DIRECTOR OF HUMAN RESOURCES | NA | Control |
| HOCKER, KIRSTEN | I | DIRECTOR OF HUMAN RESOURCES | NA | Control |
| HOCKER, KIRSTEN | I | CAO AND DIRECTOR OF PHILANTHROPY AND DIVERSITY | NA | Control |
| HOCKER, KIRSTEN | I | CAO AND DIRECTOR OF PHILANTHROPY AND DIVERSITY | NA | Control |
| HOCKER, KIRSTEN | I | CAO AND DIRECTOR OF PHILANTHROPY AND DIVERSITY | NA | Control |
| HOCKER, KIRSTEN | I | PRESIDENT | NA | Control |
| HOCKER, KIRSTEN, A | I | PRESIDENT | NA | Control |
| HOCKER, KIRSTEN, A | I | PRESIDENT | NA | Control |
| HOCKER, KIRSTEN, A | I | PRESIDENT | NA | Control |
| HOCKER, KIRSTEN, A | I | PRESIDENT | NA | Control |
| HOCKER, KIRSTEN, A | I | PRESIDENT | NA | Control |
| HOCKER, KIRSTEN, A | I | PRESIDENT | NA | Control |
| HOCKER, KIRSTEN, A | I | PRESIDENT | NA | Control |
| HOCKER, KIRSTEN, A | I | PRESIDENT | NA | Control |
| HOCKER, KIRSTEN, A | I | PRESIDENT | NA | Control |
| HOCKER, RICHARD, ALAN | I | FOUNDER, MANAGING MEMBER | NA | Control |
| HOCKER, RICHARD, ALAN | I | FOUNDER, MANAGING MEMBER | NA | Control |
| HRIN, KENNETH, PAUL | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEANE, MARTIN, P | I | CHIEF TECHNOLOGY OFFICER | NA | |
| KEANE, MARTIN, P | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEANE, MARTIN, P | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEANE, MARTIN, P | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEANE, MARTIN, P | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEANE, MARTIN, P | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEANE, MARTIN, P | I | CHIEF COMPLIANCE OFFICER | NA | |
| Keane, Martin | I | MANAGING PARTNER, MARKETING, SALES & TECHNOLOGY | NA | |
| Keane, Martin | I | MANAGING PARTNER, MARKETING, SALES & TECHNOLOGY | NA | Control |
| Keane, Martin | I | MANAGING PARTNER, MARKETING, SALES & TECHNOLOGY | NA | Control |
| Keane, Martin | I | CHIEF TECHNOLOGY OFFICER | NA | |
| LAWRENCE, PAMELA, MARIE | I | PRESIDENT | NA | Control |
| LAWRENCE, PAMELA, MARIE | I | PRESIDENT | NA | Control |
| LAWRENCE, PAMELA, MARIE | I | PRESIDENT | NA | Control |
| LAWRENCE, PAMELA, MARIE | I | PRESIDENT | NA | Control |
| LIVEWELL, JOHN, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | |
| LIVEWELL, JOHN, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | |
| LIVEWELL, JOHN, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | |
| LIVEWELL, JOHN, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | |
| LIVEWELL, JOHN, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | |
| LIVEWELL, JOHN, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | |
| LIVEWELL, JOHN, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | |
| LIVEWELL, JOHN, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | |
| LIVEWELL, JOHN, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | |
| LIVEWELL, JOHN, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | |
| MATSON, LISA, LAZARUS BLACK | I | CHIEF LEGAL OFFICER | NA | |
| MATSON, LISA, LAZARUS BLACK | I | CHIEF LEGAL OFFICER | NA | |
| MATSON, LISA, LAZARUS BLACK | I | CHIEF LEGAL OFFICER | NA | |
| MATSON, LISA, LAZARUS BLACK | I | CHIEF LEGAL OFFICER | NA | |
| MATSON, LISA, LAZARUS BLACK | I | CHIEF LEGAL OFFICER | NA | |
| MATSON, LISA, LAZARUS BLACK | I | CHIEF LEGAL OFFICER | NA | |
| MATSON, LISA, LAZARUS BLACK | I | CHIEF LEGAL OFFICER | NA | |
| MATSON, LISA, LAZARUS BLACK | I | GENERAL COUNSEL, SENIOR PARTNER | NA | |
| MATSON, LISA, LAZARUS BLACK | I | GENERAL COUNSEL, SENIOR PARTNER | NA | |
| MATSON, LISA, LAZARUS BLACK | I | GENERAL COUNSEL, SENIOR PARTNER | NA | |
| MCBRIDE, GERALD | I | CHIEF FINANCIAL OFFICER | NA | |
| MCBRIDE, GERALD | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCBRIDE, GERALD | I | CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER | NA | Control |
| MCBRIDE, GERALD | I | CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER | NA | Control |
| MCBRIDE, GERALD | I | CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER | NA | Control |
| MCBRIDE, GERALD | I | CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER | NA | Control |
| MCBRIDE, GERALD | I | CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER | NA | Control |
| MCBRIDE, GERALD | I | CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER | NA | Control |
| MCBRIDE, GERALD | I | CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER | NA | Control |
| MCBRIDE, GERALD | I | CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER | NA | Control |
| MCBRIDE, GERALD | I | CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER | NA | Control |
| MCBRIDE, GERALD | I | CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER | NA | Control |
| MCBRIDE, GERALD | I | CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER | NA | Control |
| MCBRIDE, GERALD | I | CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER | NA | Control |
| MCBRIDE, GERALD | I | CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, SENIOR PARTNER | NA | Control |
| MCBRIDE, GERALD | I | CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, SENIOR PARTNER, DIRECTOR | NA | Control |
| MCBRIDE, GERALD | I | CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, SENIOR PARTNER, DIRECTOR | NA | Control |
| MCBRIDE, GERALD | I | CHIEF FINANCIAL OFFICER, SENIOR PARTNER | NA | |
| MCBRIDE, GERALD, NMN | I | CHIEF FINANCIAL OFFICER, SENIOR PARTNER | NA | |
| MILLARES, LUIS, DEGUZMAN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MILLARES, LUIS, DEGUZMAN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MORAN, PETER, JAMES | I | SENIOR VICE PRESIDENT OF DISTRIBUTION AND PRODUCT MANAGEMENT | NA | Control |
| MORAN, PETER, JAMES | I | SENIOR VICE PRESIDENT OF DISTRIBUTION AND PRODUCT MANAGEMENT | NA | Control |
| MORAN, PETER, JAMES | I | SENIOR VICE PRESIDENT OF DISTRIBUTION AND PRODUCT MANAGEMENT | NA | Control |
| MORAN, PETER, JAMES | I | SENIOR VICE PRESIDENT OF DISTRIBUTION AND PRODUCT MANAGEMENT | NA | Control |
| RIDOLFI, LINDA, R | I | CHIEF COMPLIANCE OFFICER | NA | |
| RIDOLFI, LINDA, R | I | CHIEF COMPLIANCE OFFICER, PARTNER | NA | |
| RIDOLFI, LINDA, R | I | CHIEF COMPLIANCE OFFICER, PARTNER | NA | |
| RIDOLFI, LINDA, R | I | CHIEF COMPLIANCE OFFICER, PARTNER | NA | |
| RIDOLFI, LINDA, R | I | CHIEF COMPLIANCE OFFICER, PARTNER | NA | |
| RIDOLFI, LINDA, RITA | I | CHIEF COMPLIANCE OFFICER | NA | |
| RIDOLFI, LINDA, RITA | I | CHIEF COMPLIANCE OFFICER | NA | |
| RIDOLFI, LINDA, RITA | I | CHIEF COMPLIANCE OFFICER | NA | |
| SHIELDS, JENNIFER, MEREDITH | I | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SHIELDS, JENNIFER, MEREDITH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHIELDS, JENNIFER, MEREDITH | I | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SILVA, JORGE, PAULO | I | SENIOR PORTFOLIO MANAGER | NA | Control |
| SILVA, JORGE, PAULO | I | SENIOR PORTFOLIO MANAGER | NA | |
| SILVA, JORGE, PAULO | I | SENIOR PORTFOLIO MANAGER | NA | |
| SILVA, JORGE, PAULO | I | SENIOR PORTFOLIO MANAGER | NA | |
| SILVA, JORGE, PAULO | I | SENIOR PORTFOLIO MANAGER | NA | |
| SILVA, JORGE, PAULO | I | SENIOR PORTFOLIO MANAGER | NA | |
| SILVA, JORGE, PAULO | I | SENIOR PORTFOLIO MANAGER | NA | |
| SILVA, JORGE, PAULO | I | SENIOR PORTFOLIO MANAGER | NA | |
| SILVA, JORGE, PAULO | I | SENIOR PORTFOLIO MANAGER | NA | Control |
| SILVA, JORGE, PAULO | I | SENIOR PORTFOLIO MANAGER | NA | Control |
| SILVA, JORGE, PAULO | I | SENIOR PORTFOLIO MANAGER | NA | Control |
| SILVA, JORGE, PAULO | I | SENIOR PORTFOLIO MANAGER | NA | Control |
| SILVA, JORGE, PAULO | I | SENIOR PORTFOLIO MANAGER | NA | Control |
| SILVA, JORGE, PAULO | I | SENIOR PORTFOLIO MANAGER, SENIOR PARTNER | NA | Control |
| SILVA, JORGE, PAULO | I | SENIOR PORTFOLIO MANAGER, SENIOR PARTNER | NA | Control |
| SILVA, JORGE, PAULO | I | SENIOR PORTFOLIO MANAGER, SENIOR PARTNER | NA | Control |
| SILVA, JORGE, PAULO | I | SENIOR PORTFOLIO MANAGER, SENIOR PARTNER | NA | |
| SILVA, JORGE, PAULO | I | SENIOR PORTFOLIO MANAGER, SENIOR PARTNER | NA | |
| SMITH, ANDREW, ALASDAIR | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, ANDREW, ALASDAIR | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, ANDREW, ALASDAIR | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, ANDREW, ALASDAIR | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, ANDREW, ALASDAIR | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, ANDREW, ALASDAIR | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, ANDREW, ALASDAIR | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, ANDREW, ALASDAIR | I | CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| SGAM ADVISORS LLC | DE | MEMBER | D | Control |
| SGAM ADVISORS LLC | DE | MEMBER | D | Control |
| SGAM ADVISORS LLC | DE | MEMBER | D | Control |
| SGAM ADVISORS LLC | DE | MEMBER | D | Control |
| 525 HOLDING COMPANY, INC. | DE | OWNER | C | Control |
| 525 HOLDING COMPANY, INC. | DE | OWNER | C | Control |
| 525 HOLDING COMPANY, INC. | DE | OWNER | C | Control |
| 525 HOLDING COMPANY, INC. | DE | OWNER | C | Control |
| 525 HOLDING COMPANY, INC. | DE | OWNER | C | Control |
| 525 HOLDING COMPANY, INC. | DE | OWNER | C | Control |
| 525 HOLDING COMPANY, INC. | DE | OWNER | C | Control |
| 525 HOLDING COMPANY, INC. | DE | OWNER | C | Control |
| 525 HOLDING COMPANY, INC. | DE | OWNER | C | Control |
| 525 HOLDING COMPANY, INC. | DE | OWNER | C | Control |
| HOCKER, MARCIA, ANN | I | PRESIDENT & CHIEF OPERATING OFFICER | C | Control |
| HOCKER, MARCIA, ANN | I | PRESIDENT & CHIEF OPERATING OFFICER | C | Control |
| HOCKER, MARCIA, ANN | I | PRESIDENT & CHIEF OPERATING OFFICER | C | Control |
| HOCKER, MARCIA, ANN | I | PRESIDENT & CHIEF OPERATING OFFICER | C | Control |
| HOCKER, MARCIA, ANN | I | PRESIDENT & CHIEF OPERATING OFFICER | C | Control |
| HOCKER, MARCIA, ANN | I | PRESIDENT | C | Control |
| HOCKER, MARCIA, ANN | I | PRESIDENT | C | Control |
| HOCKER, MARCIA, ANN | I | PRESIDENT | C | Control |
| HOCKER, MARCIA, ANN | I | PRESIDENT | C | Control |
| HOCKER, MARCIA, ANN | I | PRESIDENT | C | Control |
| HOCKER, MARCIA, ANN | I | PRESIDENT | C | Control |
| HOCKER, RICHARD, ALAN | I | CHIEF INVESTMENT OFFICER | C | Control |
| HOCKER, RICHARD, ALAN | I | CHIEF INVESTMENT OFFICER | C | Control |
| HOCKER, RICHARD, ALAN | I | CHIEF INVESTMENT OFFICER | C | Control |
| HOCKER, RICHARD, ALAN | I | CHIEF INVESTMENT OFFICER | C | Control |
| HOCKER, RICHARD, ALAN | I | CHIEF INVESTMENT OFFICER | C | Control |
| HOCKER, RICHARD, ALAN | I | CHIEF INVESTMENT OFFICER | C | Control |
| HOCKER, RICHARD, ALAN | I | CHIEF INVESTMENT OFFICER & CHIEF EXECUTIVE OFFICER | C | Control |
| HOCKER, RICHARD, ALAN | I | CHIEF INVESTMENT OFFICER | C | Control |
| HOCKER, RICHARD, ALAN | I | CHIEF INVESTMENT OFFICER & CHIEF EXECUTIVE OFFICER | C | Control |
| HOCKER, RICHARD, ALAN | I | CHIEF INVESTMENT OFFICER & CHIEF EXECUTIVE OFFICER | C | Control |
| HOCKER, RICHARD, ALAN | I | CHIEF INVESTMENT OFFICER | C | Control |
| HOCKER, RICHARD, ALAN | I | CHIEF INVESTMENT OFFICER & CHIEF EXECUTIVE OFFICER | C | Control |
| HOCKER, RICHARD, ALAN | I | CHIEF INVESTMENT OFFICER & CHIEF EXECUTIVE OFFICER | C | Control |
| HOCKER, RICHARD, ALAN | I | CHIEF INVESTMENT OFFICER & CHIEF EXECUTIVE OFFICER | C | Control |
| HOCKER, RICHARD, ALAN | I | CHIEF INVESTMENT OFFICER & CHIEF EXECUTIVE OFFICER | C | Control |
| HOCKER, RICHARD, ALAN | I | CHIEF INVESTMENT OFFICER & CHIEF EXECUTIVE OFFICER | C | Control |
| HOCKER, RICHARD, ALAN | I | CHIEF INVESTMENT OFFICER & CHIEF EXECUTIVE OFFICER | C | Control |
| HOCKER, RICHARD, ALAN | I | CHIEF INVESTMENT OFFICER & CHIEF EXECUTIVE OFFICER | C | Control |
| HOCKER, RICHARD, ALAN | I | FOUNDER, CHIEF INVESTMENT OFFICER, CHIEF EXECUTIVE OFFICER | C | Control |
| HOCKER, RICHARD, ALAN | I | FOUNDER, CHIEF INVESTMENT OFFICER, CHIEF EXECUTIVE OFFICER | C | Control |
| HOCKER, RICHARD, ALAN | I | FOUNDER, CHIEF INVESTMENT OFFICER, CHIEF EXECUTIVE OFFICER | C | Control |
| SPOUTING ROCK ASSET MANAGEMENT, LLC | DE | OWNER | C | |
| SPOUTING ROCK ASSET MANAGEMENT, LLC | DE | OWNER | C | |
| SPOUTING ROCK ASSET MANAGEMENT, LLC | DE | OWNER | C | |
| SPOUTING ROCK ASSET MANAGEMENT, LLC | DE | OWNER | C | |
| SPOUTING ROCK ASSET MANAGEMENT, LLC | DE | OWNER | C | |
| SPOUTING ROCK ASSET MANAGEMENT, LLC | DE | OWNER | C | |
| SPOUTING ROCK ASSET MANAGEMENT, LLC | DE | OWNER | C | Control |
| SPOUTING ROCK ASSET MANAGEMENT, LLC | DE | OWNER | C | Control |
| SPOUTING ROCK ASSET MANAGEMENT, LLC | DE | OWNER | C | Control |
| SPOUTING ROCK ASSET MANAGEMENT, LLC | DE | OWNER | C | Control |
| GREEN, ERIC | I | DIRECTOR OF RESEARCH & SR. PORTFOLIO MANAGER | B | |
| GREEN, ERIC | I | DIRECTOR OF RESEARCH & SR. PORTFOLIO MANAGER | B | |
| GREEN, ERIC | I | DIRECTOR OF RESEARCH & SR. PORTFOLIO MANAGER | B | Control |
| GREEN, ERIC | I | DIRECTOR OF RESEARCH & SR. PORTFOLIO MANAGER | B | Control |
| GREEN, ERIC | I | DIRECTOR OF RESEARCH & SR. PORTFOLIO MANAGER | B | Control |
| GREEN, ERIC | I | DIRECTOR OF RESEARCH & SR. PORTFOLIO MANAGER | B | Control |
| GREEN, ERIC | I | DIRECTOR OF RESEARCH, SENIOR PORTFOLIO MANAGER, SENIOR MANAGING PARTNER | B | Control |
| GREEN, ERIC | I | DEPUTY CIO - EQUITY, SENIOR MANAGING PARTNER | B | Control |
| GREEN, ERIC | I | DEPUTY CIO - EQUITY, SENIOR MANAGING PARTNER | B | Control |
| GREEN, ERIC, JON | I | CHIEF INVESTMENT OFFICER - SENIOR PORTFOLIO MANAGER | B | Control |
| GREEN, ERIC, JON | I | CHIEF INVESTMENT OFFICER - SENIOR PORTFOLIO MANAGER | B | Control |
| GREEN, ERIC, JON | I | CHIEF INVESTMENT OFFICER - SENIOR PORTFOLIO MANAGER | B | Control |
| GREEN, ERIC, JON | I | CHIEF INVESTMENT OFFICER - SENIOR PORTFOLIO MANAGER | B | Control |
| HOCKER, MARCIA, ANN | I | PRESIDENT & CHIEF OPERATING OFFICER | B | Control |
| HOCKER, MARCIA, ANN | I | PRESIDENT | B | Control |
| HOCKER, MARCIA, ANN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | B | Control |
| HOCKER, MARCIA, ANN | I | PRESIDENT | B | Control |
| HOCKER, MARCIA, ANN | I | PRESIDENT | B | Control |
| HOCKER, MARCIA, ANN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | B | Control |
| HOCKER, MARCIA, ANN | I | PRESIDENT | B | Control |
| HOCKER, MARCIA, ANN | I | PRESIDENT | B | Control |
| HOCKER, MARCIA, ANN | I | PRESIDENT | B | Control |
| HOCKER, MARCIA, ANN | I | PRESIDENT | B | Control |
| HOCKER, MARCIA, ANN | I | FOUNDER, TREASURER | B | Control |
| HOCKER, MARCIA, ANN | I | FOUNDER, TREASURER | B | Control |
| GREEN, ERIC | I | DIRECTOR OF RESEARCH & SR. PORTFOLIO MANAGER | A | Control |
| GREEN, ERIC | I | DIRECTOR OF RESEARCH & SR. PORTFOLIO MANAGER | A | Control |
| GREEN, ERIC | I | DIRECTOR OF RESEARCH & SR. PORTFOLIO MANAGER | A | Control |
| GREEN, ERIC | I | DIRECTOR OF RESEARCH & SR. PORTFOLIO MANAGER | A | Control |
| GREEN, ERIC | I | DIRECTOR OF RESEARCH & SR. PORTFOLIO MANAGER | A | Control |
| GREEN, ERIC | I | DIRECTOR OF RESEARCH & SR. PORTFOLIO MANAGER | A | Control |
| GREEN, ERIC | I | DIRECTOR OF RESEARCH & SR. PORTFOLIO MANAGER | A | Control |
| GREEN, ERIC | I | DIRECTOR OF RESEARCH & SR. PORTFOLIO MANAGER | A | Control |
| GREEN, ERIC | I | DIRECTOR OF RESEARCH & SR. PORTFOLIO MANAGER | A | Control |
| HOCKER, KIMBERLEY, ANN | I | TRUSTEE | A | |
| HOCKER, KIMBERLEY, ANN | I | TRUSTEE | A | |
| HOCKER, KIMBERLEY, ANN | I | TRUSTEE | A | |
| HOCKER, KIMBERLEY, ANN | I | TRUSTEE | A | |
| HOCKER, KIMBERLEY, ANN | I | TRUSTEE, KIMBERLEY A. HOCKER IRREVOCABLE TRUST | A | |
| HOCKER, KIMBERLEY, ANN | I | TRUSTEE | A | |
| HOCKER, KIMBERLEY, ANN | I | BENEFICIARY, KIMBERLEY A. HOCKER IRREVOCABLE TRUST | A | |
| HOCKER, KIMBERLEY, ANN | I | BENEFICIARY, KIMBERLEY A. HOCKER IRREVOCABLE TRUST | A | |
| HOCKER, KIRSTEN | I | TRUSTEE | A | |
| HOCKER, KIRSTEN | I | TRUSTEE | A | |
| HOCKER, KIRSTEN | I | TRUSTEE | A | |
| HOCKER, KIRSTEN | I | TRUSTEE | A | |
| HOCKER, KIRSTEN | I | TRUSTEE, KIRSTEN A. HOCKER IRREVOCABLE TRUST | A | |
| HOCKER, KIRSTEN | I | TRUSTEE | A | |
| HOCKER, KIRSTEN | I | BENEFICIARY, KIRSTEN A. HOCKER IRREVOCABLE TRUST | A | |
| HOCKER, KIRSTEN | I | BENEFICIARY, KIRSTEN A. HOCKER IRREVOCABLE TRUST | A | |
| KIMBERLEY A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | Control |
| KIMBERLEY A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | Control |
| KIMBERLEY A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | Control |
| KIMBERLEY A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | Control |
| KIMBERLEY A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | Control |
| KIMBERLEY A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | |
| KIMBERLEY A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | |
| KIMBERLEY A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | |
| KIMBERLEY A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | |
| KIMBERLEY A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | |
| KIMBERLEY A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | |
| KIMBERLEY A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | |
| KIMBERLEY A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | |
| KIRSTEN A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | Control |
| KIRSTEN A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | Control |
| KIRSTEN A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | Control |
| KIRSTEN A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | Control |
| KIRSTEN A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | Control |
| KIRSTEN A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | |
| KIRSTEN A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | |
| KIRSTEN A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | |
| KIRSTEN A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | |
| KIRSTEN A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | |
| KIRSTEN A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | |
| KIRSTEN A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | |
| KIRSTEN A. HOCKER IRREVOCABLE TRUST, MARCIA A. HOCKER TRUSTEE | DE | SHAREHOLDER | A | |
| MAGUIRE, JOSEPH, C | I | DIRECTOR OF RESEARCH, SENIOR PORTFOLIO MANAGER | A | Control |
| MAGUIRE, JOSEPH, C | I | DIRECTOR OF RESEARCH, SENIOR PORTFOLIO MANAGER | A | Control |
| MAGUIRE, JOSEPH, C | I | DIRECTOR OF RESEARCH, SENIOR PORTFOLIO MANAGER | A | Control |
| Maguire, Joseph | I | DIRECTOR OF RESEARCH, SENIOR PORTFOLIO MANAGER | A | Control |
| NOYES, CHRISTIAN, M | I | DIRECTOR OF MARKETING & CLIENT SERVICES/SVP | A | |
| NOYES, CHRISTIAN, M | I | DIRECTOR OF MARKETING & CLIENT SERVICES/SVP | A | |
| NOYES, CHRISTIAN, M | I | DIRECTOR OF MARKETING & CLIENT SERVICES/SENIOR MANAGING PARTNER | A | Control |
| NOYES, CHRISTIAN, M | I | DIRECTOR OF MARKETING & CLIENT SERVICES/SENIOR MANAGING PARTNER | A | Control |
| NOYES, CHRISTIAN, M | I | DIRECTOR OF MARKETING & CLIENT SERVICES/SENIOR MANAGING PARTNER | A | Control |
| NOYES, CHRISTIAN, M | I | DIRECTOR OF MARKETING & CLIENT SERVICES/SENIOR MANAGING PARTNER | A | Control |
| NOYES, CHRISTIAN, M | I | DIRECTOR OF MARKETING & CLIENT SERVICES/SENIOR MANAGING PARTNER | A | Control |
| NOYES, CHRISTIAN, M | I | DIRECTOR OF MARKETING & CLIENT SERVICES/SENIOR MANAGING PARTNER | A | Control |
| NOYES, CHRISTIAN, M | I | DIRECTOR OF MARKETING & CLIENT SERVICES/SENIOR MANAGING PARTNER | A | Control |
| NOYES, CHRISTIAN, M | I | DIRECTOR OF MARKETING & CLIENT SERVICES/SENIOR MANAGING PARTNER | A | Control |
| NOYES, CHRISTIAN, M | I | DIRECTOR OF MARKETING & CLIENT SERVICES/SENIOR MANAGING PARTNER | A | Control |
| NOYES, CHRISTIAN, M | I | DIRECTOR OF MARKETING & CLIENT SERVICES/SENIOR MANAGING PARTNER | A | Control |
| SCHUMACHER, SCOTT, DAVID | I | SENIOR PORTFOLIO MANAGER | A | |
| SCHUMACHER, SCOTT, DAVID | I | SENIOR PORTFOLIO MANAGER | A | |
| SCHUMACHER, SCOTT, DAVID | I | SENIOR PORTFOLIO MANAGER | A | Control |
| SCHUMACHER, SCOTT, DAVID | I | SENIOR PORTFOLIO MANAGER | A | Control |
| SCHUMACHER, SCOTT, DAVID | I | SENIOR PORTFOLIO MANAGER | A | Control |
| SCHUMACHER, SCOTT, DAVID | I | SENIOR PORTFOLIO MANAGER | A | Control |
| SCHUMACHER, SCOTT, DAVID | I | SENIOR PORTFOLIO MANAGER | A | Control |
| SCHUMACHER, SCOTT, DAVID | I | SENIOR PORTFOLIO MANAGER | A | Control |
| SCHUMACHER, SCOTT, DAVID | I | SENIOR PORTFOLIO MANAGER | A | Control |
| SCHUMACHER, SCOTT, DAVID | I | SENIOR PORTFOLIO MANAGER | A | Control |
| SCHUMACHER, SCOTT, DAVID | I | SENIOR PORTFOLIO MANAGER | A | Control |
| SCHUMACHER, SCOTT, DAVID | I | SENIOR PORTFOLIO MANAGER | A | Control |
| SCHUMACHER, SCOTT, DAVID | I | SENIOR PORTFOLIO MANAGER | A | Control |
| SCHUMACHER, SCOTT, DAVID | I | SENIOR PORTFOLIO MANAGER | A | Control |
| SCHUMACHER, SCOTT, DAVID | I | SENIOR PORTFOLIO MANAGER | A | Control |
| SCHUMACHER, SCOTT, DAVID | I | SENIOR PORTFOLIO MANAGER, SENIOR MANAGING PARTNER | A | Control |
| SCHUMACHER, SCOTT, DAVID | I | SENIOR PORTFOLIO MANAGER, SENIOR MANAGING PARTNER, DIRECTOR | A | Control |
| SCHUMACHER, SCOTT, DAVID | I | SENIOR PORTFOLIO MANAGER, SENIOR MANAGING PARTNER, DIRECTOR | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| COYNE, JOHN, EDWARD | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | F | |
| COYNE, JOHN, EDWARD | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | F | |
| COYNE, JOHN, EDWARD | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | F | |
| COYNE, JOHN, EDWARD | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | F | |
| COYNE, JOHN, EDWARD | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | F | |
| MEAGHER, MICHAEL, JEFFERSON | I | SEAPORT GLOBAL HOLDINGS LLC | F | Control |
| MEAGHER, MICHAEL, JEFFERSON | I | SGAM ADVISORS LLC | F | Control |
| MEYER, MICHAEL, JOHN | I | SEAPORT GLOBAL HOLDINGS LLC | F | Control |
| MEYER, MICHAEL, JOHN | I | SGAM ADVISORS LLC | F | Control |
| PARSONS, GREGORY, ALLEN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | F | |
| PARSONS, GREGORY, ALLEN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | F | |
| PARSONS, GREGORY, ALLEN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | F | |
| PARSONS, GREGORY, ALLEN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | F | |
| PARSONS, GREGORY, ALLEN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | F | |
| SMITH, STEPHEN, CORCORAN | I | SEAPORT GLOBAL HOLDINGS LLC | F | Control |
| SMITH, STEPHEN, CORCORAN | I | SGAM ADVISORS LLC | F | Control |
| PAGE, BLAKELY, CHAPMAN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | E | Control |
| PAGE, BLAKELY, CHAPMAN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | SPOUTING ROCK ASSET MANAGEMENT, LLC | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | SPOUTING ROCK ASSET MANAGEMENT, LLC | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | SPOUTING ROCK ASSET MANAGEMENT, LLC | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | SPOUTING ROCK ASSET MANAGEMENT, LLC | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | SPOUTING ROCK ASSET MANAGEMENT, LLC | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | SPOUTING ROCK ASSET MANAGEMENT, LLC | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | SPOUTING ROCK ASSET MANAGEMENT, LLC | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | SPOUTING ROCK ASSET MANAGEMENT, LLC | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | SPOUTING ROCK ASSET MANAGEMENT, LLC | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | SPOUTING ROCK ASSET MANAGEMENT, LLC | E | Control |
| SEAPORT GLOBAL HOLDINGS LLC | DE | SGAM ADVISORS LLC | D | Control |
| SEAPORT GLOBAL HOLDINGS LLC | DE | SGAM ADVISORS LLC | D | Control |
| HOCKER, MARCIA, ANN | I | 525 HOLDING COMPANY, INC. | C | Control |
| HOCKER, MARCIA, ANN | I | 525 HOLDING COMPANY, INC. | C | Control |
| HOCKER, MARCIA, ANN | I | 525 HOLDING COMPANY, INC. | C | Control |
| HOCKER, MARCIA, ANN | I | 525 HOLDING COMPANY, INC. | C | Control |
| HOCKER, MARCIA, ANN | I | 525 HOLDING COMPANY, INC. | C | Control |
| HOCKER, MARCIA, ANN | I | 525 HOLDING COMPANY, INC. | C | Control |
| HOCKER, MARCIA, ANN | I | 525 HOLDING COMPANY, INC. | C | Control |
| HOCKER, MARCIA, ANN | I | 525 HOLDING COMPANY, INC. | C | Control |
| HOCKER, MARCIA, ANN | I | 525 HOLDING COMPANY, INC. | C | Control |
| HOCKER, MARCIA, ANN | I | 525 HOLDING COMPANY, INC. | C | Control |
| HOCKER, RICHARD, ALAN | I | 525 HOLDING COMPANY, INC. | C | Control |
| HOCKER, RICHARD, ALAN | I | 525 HOLDING COMPANY, INC. | C | Control |
| HOCKER, RICHARD, ALAN | I | 525 HOLDING COMPANY, INC. | C | Control |
| HOCKER, RICHARD, ALAN | I | 525 HOLDING COMPANY, INC. | C | Control |
| HOCKER, RICHARD, ALAN | I | 525 HOLDING COMPANY, INC. | C | Control |
| HOCKER, RICHARD, ALAN | I | 525 HOLDING COMPANY, INC. | C | Control |
| HOCKER, RICHARD, ALAN | I | 525 HOLDING COMPANY, INC. | C | Control |
| HOCKER, RICHARD, ALAN | I | 525 HOLDING COMPANY, INC. | C | Control |
| HOCKER, RICHARD, ALAN | I | 525 HOLDING COMPANY, INC. | C | Control |
| HOCKER, RICHARD, ALAN | I | 525 HOLDING COMPANY, INC. | C | Control |
| SMITH, ANDREW, ALASDAIR | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | C | Control |
| SMITH, ANDREW, ALASDAIR | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | C | Control |
| SMITH, ANDREW, ALASDAIR | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | C | Control |
| SMITH, ANDREW, ALASDAIR | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | C | Control |
| SMITH, ANDREW, ALASDAIR | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | C | Control |
Registrations
Federal
IA
May 13, 2025 REGISTERED
Notice Filings (50)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VT WA WI WV
Address
1200 INTREPID AVENUESUITE 400
PHILADELPHIA, PA 19112
United States
Phone: 215-302-1500