LCM Asset Management LLC is an indirect subsidiary of Tetragon Financial Group Limited (“TFG”). TFG is a Guernsey closed-ended company traded on NYSE Euronext in Amsterdam under the ticker symbol "TFG" that aims to provide stable returns to investors across various credit, equity, interest rate and real estate cycles. The company maintains two key business segments: an investment portfolio and an asset-management platform. Both segments cover a broad range of assets including bank loans, real estate, equities, credit and convertible bonds. TFG currently invests primarily through long-term funding vehicles such as collateralized loan obligations. Information on TFG may be found on that company’s website (www.tetragoninv.com).
Tetragon Financial Management LP, the investment manager of TFG, is currently registered as an investment adviser under the U.S. Investment Advisers Act of 1940 (the “Advisers Act”). TFG Asset Management LP (the “Registered Adviser”) is an affiliate of LCM, and is registered as an investment adviser under the Advisers Act. LCM relies on the registration of the Registered Adviser in not itself registering as an investment adviser under the Advisers Act.