WATERSTONE CAPITAL MANAGEMENT, L.P.

WATERSTONE CAPITAL MANAGEMENT, L.P. of PLYMOUTH, MN is an SEC-registered investment adviser (CRD 138535). Regulatory assets under management: $486.2M.

Registration

CRD: 138535
SEC file number: 801-65161
Type: Registered investment adviser
Location: 2 CARLSON PARKWAY, SUITE 260, PLYMOUTH, MN, 55447
Phone: 952-697-4100
Latest filing: 2015-04-21
Regulatory AUM: $486.2M
Discretionary AUM: $486.2M
Clients: 7
Accounts: 3

Officers, owners & control persons (5)

Name	Role	Location
BERGERSON SHAWN STEPHEN	CEO; CEO, LP; LP (+2 more)	—
KALISH MARTIN FREDRIC	CCO; CFO; CHIEF COMPLIANCE OFFICER (+2 more)	—
ERB JEFFREY COLE	GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER	—
KITTELSON KARL ERIC	CONTROLLER, CCO	—
PETERSON KURT TERRY	CFO	—

Private funds (3)

Fund	Type	Formed	Owners	Gross asset value	Min investment
WATERSTONE MARKET NEUTRAL MASTER FUND LTD	Hedge Fund	—	12	$486.2M	$1.0M
WATERSTONE MARKET NEUTRAL OFFSHORE FUND, LTD.	Hedge Fund	—	8	$115.2M	$1.0M
WATERSTONE MARKET NEUTRAL FUND, LP.	Hedge Fund	—	4	$55.3M	$1.0M

Fund service providers (1)

administrator: GLOBEOP FINANCIAL SERVICES — 3 funds

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