CIK 1056527
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2025-Q3. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| BLOOM, JAY ROBERT | VICE CHAIRMAN | 2002-05 | <5% ·◆ |
| BROWN, GARY WAYNE | DIRECTOR, MANAGING DIRECTOR | 2002-05 | <5% ·◆ |
| BYCK, MARY E | MANAGING DIRECTOR | 2002-05 | <5% ·◆ |
| CAPATIDES, MICHAEL GUST | DIRECTOR, MANAGING DIRECTOR | 2002-05 | <5% ·◆ |
| CROWLEY, PETER JEREMIAH | MANAGING DIRECTOR | 2002-05 | <5% ·◆ |
| HEINBERG, MARSHALL ANDREW | MANAGING DIRECTOR | 2002-05 | <5% ·◆ |
| HEYER, ANDREW ROBERT | VICE CHAIRMAN | 2002-05 | <5% |
| HIGGINS, MICHAEL PATRICK | MANAGING DIRECTOR | 2002-05 | <5% ·◆ |
| IANNUZZI, SALVATORE | DIRECTOR, MANAGING DIRECTOR | 2002-05 | <5% ·◆ |
| KASSIE, DAVID JONATHAN | CHAIRMAN OF THE BOARD OF DIRECTORS | 2001-02 | <5% ·◆ |
| KEHLER, DEAN CASPAR | VICE CHAIRMAN | 2002-05 | <5% ·◆ |
| KOTOWSKI, CHRISTOPH M | MANAGING DIRECTOR | 2002-05 | <5% ·◆ |
| KROPF, JOHN WILLIAM | CHIEF OPERATIONS OFFICER | 2003-08 | <5% ·◆ |
| LEVY, EDWARD | MANAGING DIRECTOR | 2002-05 | <5% ·◆ |
| PERMUT, KYLE ADAM | MANAGING DIRECTOR | 2002-05 | <5% ·◆ |
| PHOENIX, WILLIAM PAUL | MANAGING DIRECTOR | 2002-05 | <5% ·◆ |
| ROGERS, PAUL DAVID | PRESIDENT, DIRECTOR | 2001-02 | <5% ·◆ |
| RUBACKY, PAUL IGNATIAUS | CHIEF FINANCIAL OFFICER | 2001-09 | <5% ·◆ |
| SHAW, BRIAN | DIRECTOR, MANAGING DIRECTOR | 2002-05 | <5% ·◆ |
| SMITH, RAYMOND CHRISTOPHER | US MANAGEMENT COMMITTEE MEMBER | 2002-12 | <5% ·◆ |
| SPOHLER, BRUCE JOHN | MANAGING DIRECTOR | 2002-05 | <5% ·◆ |
| BOURDON, PATRICIA ANN | SECRETARY | 1998-11 | <5% |
| BURNS, JOYCE A. | MANAGING DIRECTOR | 2002-05 | <5% |
| GANZ, ELLIOT | ASSISTANT SECRETARY | 2002-05 | <5% |
| GERBER, CHARLES WARREN | GENERAL COUNSEL | 2002-05 | <5% |
| THIBEAULT, JEFFREY DAVID | CHIEF COMPLIANCE OFFICER, SENIOR ROP | 2000-09 | <5% |
| CIBC WORLD MARKETS HOLDINGS INC.entity | 100% SHAREHOLDER | 1997-11 | 75%+ ·◆ |
Direct owners and executive officers as filed on the adviser's Form ADV Schedule A (as-filed titles; ADV updates annually and on material change). This lists officers and 5%+ owners — not necessarily the full portfolio-management team.
Signed this manager's latest 13F (2025-Q4). The filing's authorized signatory — frequently a compliance officer, general counsel, or CFO — not necessarily the portfolio manager or firm leadership.
