IAPD - Schecue A
`
`UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
`
`FQRM ADV
`
`OMB: 3235-0049
`
`Prima Business Name: MANGROVE PARTNERS
`
`Rev. 10 201
`
` Schedule A
`Direct Owners and Executive Officers
`
`1.CompIete Schedule A only if you are submitting an initial application or report. Schedule A asks
`for information about your direct owners and executive officers. Use Schedule C to amend this
`information.
`2.Direct Owners and Executive Officers. List below the names of:
`
`(a)each Chief Executive Officer, Chief Financial Officer, Chief Operations Officer, Chief Legal
`Officer, Chief Compliance Officer(Chief Compliance Officer is required if you are registered or
`applying for registration and cannot be more than one individual), director, and any other
`individuals with similar status or functions;
`(b)if you are organized as a corporation, each shareholder that is a direct owner of 5% or more
`of a class of your voting securities, unless you are a public reporting company (a company
`subject to Section 12 or 15(d) of the Exchange Act);
`Direct owners include any person that owns, beneficially owns, has the right to vote, or has the
`power to sell or direct the sale of, 5% or more of a class of your voting securities. For
`purposes of this Schedule, a person beneficially owns any securities: (i) owned by his/her
`child, stepchild, grandchild, parent, stepparent, grandparent, spouse, sibling, mother-in-law,
`father-in-law, son-in-law, daughter-in-law, brother-in-law, or sister-in-law, sharing the same
`residence; or (ii) that he/she has the right to acquire, within 60 days, through the exercise of
`any option, warrant, or right to purchase the security.
`(c)if you are organized as a partnership, fl general partners and those limited and special
`partners that have the right to receive upon dissolution, or have contributed, 5% or more of
`your capital;
`(d)in the case of a trust that directly owns 5% or more of a class of your voting securities, or that
`has the right to receive upon dissolution, or has contributed, 5% or more of your capital, the
`trust and each trustee; and
`(e)if you are organized as a limited liability company ("LLC"), (i) those members that have the
`right to receive upon dissolution, or have contributed, 5°/o or more of your capital, and (ii) if
`managed by elected managers, all elected managers.
`(~Yes “No
`3.Do you have any indirect owners to be reported on Schedule B?
`4.In the DE/FE/I column below, enter "DE" if the owner is a domestic entity, "FE" if the owner is an
`entity incorporated or domiciled in a foreign country, or "I" if the owner or executive officer is an
`individual.
`
`5.Comp|ete the Title or Status column by entering board/management titles; status as partner,
`trustee, sole proprietor, elected manager, shareholder, or member; and for shareholders or
`members, the class of securities owned (if more than one is issued).
`6.0wnership codes
`NA — less than 5%
`B - 10% but less than
`are:
`25%
`C - 25% but less than
`50°/o
`
`D — 50% but less than
`75%
`E — 75°/o or more
`
`A — 5% but less than
`10°/o
`
`7.(a)In the Control Person column, enter "Yes" if the person has control as defined in the Glossary
`of Terms to Form ADV, and enter "No" if the person does not have control. Note that under this
`definition, most executive officers and all 25°/o owners, general partners, elected managers,
`and trustees are control persons.
`(b)In the PR column, enter "PR" if the owner is a public reporting company under Sections 12 or
`15(d) of the Exchange Act.
`c Com lete each column.
`
`Ownership Control PR CRD No. If
`Date
`DE/FE/I Status
`FULL LEGAL NAME
`mp://www.adviserinfo.sec.gwnapdIcor'lentIviewtormIadv/Seciiomnapd_AcNSchedueASection.aspx?ORG_PK=162298&RGLTR_PK= 50000&STATE_C D=&F . . .
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`VIRNETX EXHIBIT 2002
`
`Mangrove v. VirnetX
`Trial lPR2015—O1047
`
`

`
`6/11I2015
`
`lAPD- SchedueA
`
`(Individuals: Last
`Name, First Name,
`Middle Name)
`
`Code
`
`Person
`
`Status
`Acquired
`MM/YYYY
`
`OFFICER, CHIEF
`COMPLIANCE
`
`DIETRICH, WARD,
`HOMAS
`
`CHIEF
`OPERATING
`OFFICER -
`MANGROVE
`CAPITAL
`
`KALICKA, JEFFREY,
`STEVEN
`
`SENIOR ANALYST 01/2011
`- MANGROVE
`CAPITAL
`
`None: S.S.
`No. and
`Date of
`Birth, IRS
`Tax No. or
`
`Employer
`ID No.
`
`2934301
`
`5301614
`
`6040491
`
`98-0652571
`
`2934301
`
`5301614
`
`6040491
`
`SEEM
`STECK, BRIAN, GERARD
`SENIOR ANALYST 01/2013
`2516600
`- MANGROVE
`CAPITAL
`
`SEEM
`LEE, PHILP, SAN
`SENIOR ANALYST 01/2012
`4683251
`- MANGROVE
`CAPITAL
`
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