Napier Park Global Capital (US)’s RETAIL OPPORTUNITY INVESTMENTS CORP WTS EXP 10/17/2011 (MD) ROICW Stock Holding History

Napier Park Global Capital (US)’s Portfolio ROICW Stock Details ROICW Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2014 Q2	–	Sell	-541,070	Closed	-$1.55M	–	62
2014 Q1	$1.55M	Sell	541,070 -3,461	-0.6%	-$9.93K	0.47%	35
2013 Q4	$1.59M	Buy	+544,531	New	+$1.59M	0.28%	48

Other funds holding ROICW

Ratan Capital Management Miami Beach, Florida $269M AUM 45.74% 1-Year Est. Return

Goldman Sachs New York $871B AUM 31.28% 1-Year Est. Return

Archer Capital Management New York $16.2M AUM 17.01% 1-Year Est. Return

Creative Planning

Creative Planning Overland Park, Kansas $147B AUM 18.73% 1-Year Est. Return

Wolverine Asset Management Chicago, Illinois $11.4B AUM 5.66% 1-Year Est. Return

Tower Research Capital (TRC) New York $4.08B AUM 58.77% 1-Year Est. Return

UBS Zurich, Switzerland $136B AUM 16.35% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

Ground Swell Capital Folly Beach, South Carolina $92.6M AUM 41.64% 1-Year Est. Return