Hedge Fund Database

DLD ASSET MANAGEMENT, LP

Adviser information for DLD ASSET MANAGEMENT, LP last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

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

Employees

Total Number of Employees 15
Investment Advisory/Research 7
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 20 $1.9B
Non-Discretionary 0 $0
Total 20 $1.9B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 2 $146.8M
Business development companies 0 $0
Pooled investment vehicles 18 $1.7B
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 investment companiesPortfolio 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 801-79166
SEC ERA File Number 801-79166
SEC CIK Numbers 1578299
SEC CRD Numbers 170377
Legal Entity Identifier 5493008OKN70KJ6IDE73

Principal Office

150 EAST 52ND STREET
SUITE 27001
NEW YORK
NY
United States
Monday - Friday, 9AM - 5PM
Tel: 347-735-5115, Fax: 347-735-5808

Websites

www.dldam.com www.linkedin.com/company/dld-asset-management/

Chief Compliance Officer

BRAD WAGNER
GENERAL COUNSEL
150 EAST 52ND STREET
SUITE 27001
NEW YORK
NY
United States
Tel: 347-736-9120
(Full email address available in API data)

Regulatory Contact

NAVEEN DHUPER
CHIEF FINANCIAL OFFICER
150 EAST 52ND STREET
SUITE 27001
NEW YORK
NY
United States
Tel: 347-735-5115
(Full email address available in API data)

Industry Affiliates

DLD MASTER GP, LLC Sponsor, GP, manager of pooled investment vehicles
DLD PARTNERS, LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
DLD CONVERTIBLE ARBITRAGE MASTER FUND, L.P. Hedge Fund $0.4M $1.0M 2
DLD MASTER FUND, L.P. Hedge Fund $271.2M $1.0M 6

Control Persons

Name Type Entity Title Since Ownership
DLD ASSET GP, LLC Domestic Entity – GENERAL PARTNER 02/2013 < 5%
DHUPER, NAVEEN, KUMAR Individual – CHIEF FINANCIAL OFFICER 06/2013 < 5%
FRIEDMAN, MARK, LAWRENCE Individual – LIMITED PARTNER AND CHIEF INVESTMENT OFFICER 05/2013 50-75%
TRIGRAN VENTURES, LLC Domestic Entity – LIMITED PARTNER 06/2013 10-25%
FRIEDMAN, MARK, LAWRENCE Individual DLD ASSET GP, LLC MANAGING MEMBER 02/2013 > 75%
WAGNER, BRAD, DOUGLAS Individual – CHIEF COMPLIANCE OFFICER 01/2023 < 5%
DOUGLAS GRANAT REVOCABLE TRUST Domestic Entity TRIGRAN VENTURES, LLC MEMBER 06/2013 50-75%
GRANAT, DOUGLAS, TODD Individual DOUGLAS GRANAT REVOCABLE TRUST TRUSTEE 07/1999

No. Employees, Historic

20100201920202021202220232024202511 on 7/23/201912 on 3/9/202012 on 4/9/202012 on 4/10/202010 on 3/30/202110 on 3/31/202110 on 7/1/202110 on 3/30/202210 on 9/23/202213 on 1/26/202313 on 3/8/202315 on 3/28/2024

RAUM, Historic

5B3B020192020202120222023202420252229000000 on 7/23/20191651000000 on 3/9/20201651000000 on 4/9/20201651000000 on 4/10/20203593000000 on 3/30/20213593000000 on 3/31/20213593000000 on 7/1/20214019000000 on 3/30/20224019000000 on 9/23/20223195508399 on 1/26/20233195508399 on 3/8/20231876047907 on 3/28/2024

No. Clients, Historic

2010020192020202120222023202420257 on 7/23/201911 on 3/9/202011 on 4/9/202011 on 4/10/202016 on 3/30/202116 on 3/31/202116 on 7/1/202119 on 3/30/202219 on 9/23/202217 on 1/26/202317 on 3/8/202320 on 3/28/2024

Holdings

From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ALBERTSONS COS INC COMMON STOCK 333K 17K –
ALLETE INC COM NEW 567K 9K –
ALNYLAM PHARMACEUTICALS INC COM 4M 16K –
ATMUS FILTRATION TECHNOLOGIE COM 571K 20K –
BERRY GLOBAL GROUP INC COM 388K 7K –
BREAD FINANCIAL HOLDINGS INC NOTE 4.250% 6/1 7M – –
CINEMARK HLDGS INC NOTE 4.500% 8/1 56M – –
DISH NETWORK CORPORATION NOTE 3.375% 8/1 2M – –
ENCORE CAP GROUP INC NOTE 4.000% 3/1 13M – –
FOCUS IMPACT BH3 ACQUISITION *W EXP 99/99/999 77K 990K –
GENERAL MTRS CO COM 738K 16K –
GFL ENVIRONMENTAL INC SUB VTG SHS 487K 13K –
HESS CORP COM 738K 5K –
IAC INC COM NEW 1M 24K –
ILLUMINA INC COM 566K 5K –
INFINERA CORP NOTE 3.750% 8/0 14M – –
INNOVID CORP COMMON STOCK 93K 50K –
INTEGER HLDGS CORP NOTE 2.125% 2/1 18M – –
INTERNATIONAL PAPER CO COM 318K 7K –
IRHYTHM TECHNOLOGIES INC COM 5M 44K –
KELLANOVA COM 404K 7K –
KENVUE INC COM 425K 23K –
LIBERTY BROADBAND CORP COM SER C 1M 21K –
LIBERTY MEDIA CORP DEL COM LBTY SRM S A 1M 54K –
LIVENT CORP NOTE 4.125% 7/1 24M – –
LIVEWIRE GROUP INC *W EXP 09/26/202 39K 204K –
MARATHON OIL CORP COM 2M 67K –
MARTI TECHNOLOGIES INC SHS CL A 429K 254K –
MCGRATH RENTCORP COM 362K 3K –
MICROCHIP TECHNOLOGY INC. COM 2M 162K –
MICROCHIP TECHNOLOGY INC. COM 3M 301K –
MICROSTRATEGY INC CL A NEW 4M 3K –
MIDDLEBY CORP COM 13M 108K –
MIDDLEBY CORP COM 6M 50K –
NCL CORP LTD NOTE 1.125% 2/1 14M – –
NUVEI CORPORATION SUB VTG SHS 233K 7K –
PAGERDUTY INC COM 387K 17K –
PALO ALTO NETWORKS INC NOTE 0.375% 6/0 14M – –
PATRICK INDS INC NOTE 1.750%12/0 25M – –
PENN ENTERTAINMENT INC COM 541K 28K –
PERPETUA RESOURCES CORP COM 2M 460K –
PERPETUA RESOURCES CORP COM 2M 312K –
R1 RCM INC COM 710K 57K –
RIVIAN AUTOMOTIVE INC COM CL A 3M 203K –
ROYAL CARIBBEAN GROUP NOTE 6.000% 8/1 7M – –
SAREPTA THERAPEUTICS INC DBCV 1.500%11/1 45M – –
SHARECARE INC COM CL A 853K 632K –
SIX FLAGS ENTMT CORP NEW COM 265K 8K –
SMART GLOBAL HLDGS INC NOTE 2.250% 2/1 4M 186K –
SOLVENTUM CORP COM SHS 320K 6K –
SOUTHWEST AIRLS CO COM 322K 11K –
SOUTHWEST AIRLS CO COM 13M 408K –
SPHERE ENTERTAINMENT CO CL A 4M 100K –
STARWOOD PPTY TR INC NOTE 6.750% 7/1 27M – –
STRIDE INC NOTE 1.125% 9/0 14M – –
TANDEM DIABETES CARE INC NOTE 1.500% 5/0 15M – –
TECK RESOURCES LTD CL B 570K 12K –
TRANSOCEAN INC DEB 4.625% 9/3 22M – –
TRANSOCEAN LTD REGISTERED SHS 2M 375K –
VAREX IMAGING CORP NOTE 4.000% 6/0 26M – –
VESTIS CORPORATION COM SHS 394K 32K –
VISTA OUTDOOR INC COM 571K 15K –
WESTERN DIGITAL CORP. COM 724K 10K –
WHIRLPOOL CORP COM 1M 10K –
ZIFF DAVIS INC COM 6M 113K –
ZIFF DAVIS INC NOTE 1.750%11/0 36M – –
ZSCALER INC COM 10M 51K –
ZSCALER INC COM 16M 85K –
ZSCALER INC COM 14M 75K –