GATES CAPITAL MANAGEMENT, INC.

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	Delaware, United States

Employees

Total Number of Employees	15
Investment Advisory/Research	8
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	0
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	4	$3.6B
Non-Discretionary	0	$0
Total	4	$3.6B

Clients

Type	Number	RAUM
Individuals	0	$0
HNW Individuals	0	$0
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	4	$3.6B
Pension and profit sharing plans	0	$0
Charitable organizations	0	$0
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	0	$0
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	50

Services

Advisory Services	Portfolio management for pooled investment vehicles
Compensation	% of AUMPerformance-based fees
Other Business Activities	Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number	801-65550
SEC ERA File Number	801-65550
SEC CIK Numbers	1312908
SEC CRD Numbers	137842
Legal Entity Identifier	254900Y4M9ETSDWLVR32

Principal Office

1177 AVENUE OF THE AMERICAS
46TH FLOOR
NEW YORK
NY
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic