Ascend Capital LLC

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Total AUM ($B) Copy

CIK	Period
0001165501	2018-09-30 2018-06-30 2018-03-31 2017-12-31 2017-09-30 2017-06-30 2017-03-31 2016-12-31 2016-09-30 2016-06-30 2016-03-31 2015-12-31 2015-09-30 2015-06-30 2015-03-31 2014-12-31 2014-09-30 2014-06-30 2014-03-31 2013-12-31 2013-09-30 2013-06-30 2013-03-31 2012-12-31 2012-09-30 2012-06-30 2012-03-31 2011-12-31

Sector	Form 13F Holdings	Value ($B)
	Progressive Waste Solutions Ltd	0.1
	Graphic Packaging Holding Co	0.1
	Crown Holdings Inc	0.1
	Hyatt Hotels Corp	0.1
	Alphabet Inc	0.0
	Conocophillips	0.0
	Cigna Corp	0.0
	State Street Corp	0.0
	Red Rock Resorts Inc	0.0
	Golar LNG Ltd	0.0
	Prudential Financial Inc	0.0
	Alibaba Group Holding Ltd	0.0
	Gaming & Leisure Properties Inc	0.0
	Bunge Global Sa	0.0
	Parametric Technology Corp	0.0
	Ametek INC/	0.0
	Roper Industries Inc	0.0
	Baker Hughes A GE Co	0.0
	Hilton Worldwide Holdings Inc	0.0
	Schwab Charles Corp	0.0
	Raymond James Financial Inc	0.0
	Air Products & Chemicals Inc /DE/	0.0









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Type	Form D Funds	Date	Sold	AUM
HF	Ascend Ersri Fund LP	[2015-08-24]	73.8 M	125.7 M
	Filed 2016-07-13 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF	Ascend Plaza Fund Ltd	[2015-08-24]	125.0 M	164.3 M
	Filed 2018-06-22 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $100,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF	Ascend MAC Cayman Fund Limited	2015-02-04		153.8 M
HF	Ascend CL Master Fund Ltd	[2012-03-30]	24.8 M	43.2 M
	Filed 2012-12-12 (D/A) · Exemption 506, 3(c), 3(c)(7) · Minimum $100,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF	Ascend Partners Fund BPO Ltd	2012-03-30		206.1 M
HF	Ascend Partners Fund I Ltd	2012-03-30		116.3 M
HF	Permal Ascend Equities Ltd	2012-03-30		55.3 M
HF	Sciens Group Alternative Strategies PCC Limited Acting in Respect of ITS Grey IOTA Cell	2012-03-30		43.0 M

AUM Breakdown	Accounts	AUM ($B)
By Client Type
(a) Individuals (other than high net worth individuals)	0	0.0
(b) Individuals (high net worth individuals)	0	0.0
(c) Banking or thrift institutions	0	0.0
(d) Investment companies	1	0.2
(e) Business development companies	0	0.0
(f) Pooled investment vehicles	3	0.6
(g) Pension and profit sharing plans	0	0.0
(h) Charitable organizations	0	0.0
(i) State or municipal government entities	0	0.0
(j) Other investment advisers	0	0.0
(k) Insurance companies	0	0.0
(l) Sovereign wealth funds and foreign official institutions	1	0.6
(m) Corporations or other businesses not listed above	0	0.0
(n) Other	0	0.0
Total	5	1.5
By Discretionary
Discretionary	5	1.5
Non-Discretionary	0	0.0
Total	5	1.5
By Non-United States Persons
Non-United States Persons		1.3
United States Persons		0.2
Total	5	1.5

Form D Directors	Role	# Filings	# Firms
David Bree	Director	428	100
Allison Nolan	Director	55	11
Ascend Capital Limited Partnership	Executive Officer	7	5
Malcolm Fairbairn	Director, Executive Officer	15	3
Benjamin Slavet	Executive Officer	8	3

Form 13D/13G Filer	Form 13D/13G Subject	Filed
Ascend Capital LLC	Fenix Parts Inc	[2016-02-09]

Form 3/4/5 Subject	2011 - 2026
Energous Corp
Ascend Partners Fund I Ltd
Ascend Capital Limited Partnership
Ascend Capital LLC
Ascend Legend Master Fund Ltd
Ascend Legend Fund Ltd

Assets, Funds, Holdings