Russell Jeffrey Providence Investment Management

Federal Court Holds That Hedge Fund Marketing And Brokering Hedge Fund Management Company Transactions Are Different Services For Contracting And Compensation Purposes

• Joe StoryHedge Fund Law Report

Renaissance Institutional Futures Robert Lourie

BTG Pactual Global Asset Management, U.S. Macro GoldenTree Asset Management, U.S. Hudson Bay Capital Management, U.S. Pine River Capital Management, U.S. Comac Capital, U.K. Credit Multistrategy Mortgage backed Macro

Golden Tree Credit Opportunities, Steven Tananbaum Hudson Bay, Sander Gerber Pine River Fixed Income, Steve Kuhn65 Comac Global Macro, Colm OShea

Litespeed Partners A Jamie Zimmerman Psam Worldarb Partners Peter Schoenfeld

Exane Templiers, Jean-Francois Roussel Green, Luis Stuhlberger Steadfast International E, Robert S. Pitts Jr.94 Seligman Tech Spectrum, Paul Wick 95 Green T G2 Fund, Darryl Green, Geoff Sherry 96 Davidson Kempner International Class C, Thomas L. Kempner Jr. 97 Balestra Capital Partners, Jim Melcher

Oak Hill Credit Alpha Offshore, Robert Okun, Scott Krase, Glenn August Third Point Offshore, Daniel Loeb100 Watershed Capital Partners, Meridee Moore

Returns are for the 10 months ended on Oct. 31. Includes funds with more than $1 billion in assets. Sources: Bloomberg, hedge-fund databases, hedge-fund firms, investors

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Technology Transfer At Uri

The URI Research Foundation is responsible for the management of the Universitys intellectual property, and for commercialization of the results of University research. As a result of recent effort to strengthen this function, the Research Foundation has begun to accelerate the movement of new technologies from the lab to the marketplace.

As shown in Table 7, in fiscal years 2011 and 2012, the URI Research Foundation filed 42 U.S. patent applications, was awarded 22 new patents, entered into ten agreements for use of the Universitys intellectual property and assisted in the formation of three new companies engaged in the commercialization of University research.

During the first eight months of fiscal year 2013, the pace of technology transfer accelerated further still, with the completion of 21 additional intellectual property agreements and the formation of four new start-up companies.

Table 7: Technology transfer activity, URI Research Foundation, FY 2011 and FY 2012

Notable examples of start-up companies engaged in the commercialization of URI research include:

During the past two years, the Research Foundation has expanded its activities to include securing external funding to support early-stage work on the development of new products based on research conducted at URI. In fiscal year 2012 the Research Foundation secured $126,000 for this purpose and more than $243,000 during the first eight months of fiscal year 2013.

Vioni V Providence Investment Management Llc 080217 Nysdc 08 Civ 2950

LISA VIONI, Plaintiff,PROVIDENCE INVESTMENT MANAGEMENT, LLC and RUSSELL JEFFREY, Defendants.No. 08 Civ. 2950 United States District Court, S.D. New York

OPINION & ORDER

HONORABLE PAUL A. CROTTY, United States District Judge.

On March 13, 2017, a jury trial began on Lisa Vioni’s quantum meruit claim against Russell Jeffrey and Providence Investment Management, LLC . Vioni had arranged an introduction between Jeffrey and Robert Grunewald of American Capital Strategies . ACAS eventually hired Jeffrey and eight PIM employees, and Vioni seeks compensation from Defendants for her introduction of the two groups.1 Following a four-day trial, the jury found in Vioni’s favor and awarded her $750, 000.

BACKGROUND

⢠On July 16, 2007, Vioni sent Jeffrey an e-mail stating: “I am feeling like I need to close the loop on the introduction I made between you and ACAS …. I really need to know how your deal proposes that I get compensated. It should be clearly written in your deal memo with indemnifications etc. . . . For example, if I am going to get paid according to industry standard on the introduction of you to ACAS, I don’t necessarily want or need to sell any of to ACAS.” Ex. 24.

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Prologue Feeder A Graham Walsh David Lofthouse

Goldman Sachs Investment Partners Offshore, Ranaan Agus, Kenneth Eberts Goldman Sachs Asset Management, U.S. Graham Discretionary Portfolio 12V, Kenneth Tropin55 Atlas Global Investments Unrestricted, Dmitry Balyasny

Graham Capital Management, U.S. Balyasny Asset Management, U.S. Ionic Capital Management, U.S. Elliott Management, U.S. Ikos Asset Management, Cyprus QVT Financial, U.S. Renaissance Technologies, U.S.

Four: Technology Transfer And Business Development

With some narrow exceptions, university research in itself does not directly generate economic growth. The new knowledge that university research creates must first be translated into concepts for new products, new processes or new services, which must then be brought to market.

In this section:

• Supporting Entrepreneurial Development

The translation of new knowledge into new products, processes and services, new businesses and new jobs can occur in any of several ways:

• Through the licensing of technologies first developed in University labs to companies interested in using these technologies for commercial purposes
• Through licensed start-up companies created specifically for the purpose of commercializing the results of university research and
• Through other companies started by faculty members, staff, students and alumni that, while not based on licensed technologies, are in some way rooted in their experience at the University.

This part of the report examines the Universitys role in technology transfer and business development in Rhode Island. We focus first on the formal process of technology transfer, including the licensing for commercial use of technologies first developed at URI and then on examples of Rhode Island companies founded by URI alumni, students, faculty and staff.

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I Summary Judgment Standard

A motion for summary judgment should be granted when there is “no genuine dispute as to any material fact and the movant is entitled to judgment as a matter of law.” Fed. R. Civ. P. 56. A genuine issue of material fact cannot exist if “after adequate time for discovery and upon motion, fails to make a showing sufficient to establish the existence of an element essential to that party’s case, and on which that party will bear the burden of proof at trial.” Celotex Corp. v. Catrett, 477 U.S. 317, 322 . In such cases, “Rule 56 mandates the entry of summary judgment . . . . since a complete failure of proof concerning an essential element of the nonmoving party’s case necessarily renders all other facts immaterial.” Id. at 322-23. While courts must “constru the evidence in the light most favorable to the nonmoving party,” LaSalle Bank Nat’l Ass’n v. Nomura Asset Capital Corp., 424 F.3d 195, 205 , the moving party must prevail “here the record taken as a whole could not lead a rational trier of fact to find for the non-moving party,” Matsushita Elec. Indus. Co. v. Zenith Radio Corp., 475 U.S. 574, 587 .

Providence Inv Mgmt Co V Steel

0113142/2007.

JOAN A. MADDEN, J.

Petitioners Providence Investment Management Company and Russell Jeffrey move for a stay of arbitration pursuant to CPLR 7503 on the grounds that they did not enter into an agreement to arbitrate. Respondent Kimberly Steel opposes the petition, which is granted for the reasons below.

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Millennium International Israel Englander

Millennium International Management, U.S. Multistrategy TIG Holding, Brazil nektar Asset Management, Sweden Stevens Capital Management, U.S. Vantage Investment Management, U.K. Brevan Howard Asset Management, U.K. Pine River Capital Management, U.S. VR Capital Group, Russia Viking Global Investors, U.S. Exane Asset Management, France Prologue Capital, U.K. Capula Investment Management, U.K. Ortus Capital Management, Hong Kong Halcyon Asset Management, U.S. BlueCrest Capital Management, U.K. Long/short Macro Managed futures Long/short Multistrategy Multistrategy Distressed Long/short Long/short Fixed-income Fixed-income Macro Asset-backed Macro Multistrategy Macro Multistrategy Volatility Multistrategy Managed futures Multistrategy Managed futures

Dr Thomas S Robertson

Dr. Robertson is a member of our Board of Directors. Dr. Robertson was elected to our Board of Directors effective May 2, 2012, and is a member of the Audit Committee. Dr. Robertson was elected to our Board of Directors effective May 2, 2012. Dr. Robertson was the Dean of The Wharton School from 2007 to 2014. Since then, he has been the Joshua J. Harris Professor of Marketing at The Wharton School where he holds the positions of Academic Director of the Baker Retailing Center and Executive Director of the Wharton INSEAD Alliance. Previously, Dr. Robertson was Dean of Emory Universitys Goizueta Business School from 1998 to 2007. He also served as Special Assistant to Emory Universitys president on issues of international strategy and was a founding director of the Institute for Developing Nations, which was established jointly by Emory University and The Carter Center in fall 2006. Before joining Emory, Dr. Robertson was the Sainsbury Professor and Chair of the Marketing Department and Deputy Dean of the London Business School from 1994 to 1998. He also served as a member of the Marketing faculty at The Wharton School from 1971 to 1994 and was the Associate Dean for Executive Education. Dr. Robertson is currently on the Advisory Board of The Sorbonne Universities and is a former director of CRA International, Inc. and PRGX Global, Inc. He graduated from Wayne State University and received his M.A. in Sociology and Ph.D. in Marketing from Northwestern University.

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Companies Founded By Uri Faculty Staff Students And Alumni

Formal technology transfer is not the only means by which the intellectual capital developed at the University of Rhode Island is translated into new products and services, new businesses and new jobs. The work of URI faculty and staff, and the knowledge that students and alumni acquire during their time at the University, can also provide a foundation for technological innovation and entrepreneurial development.

The following are examples of Rhode Island companies started by URI faculty, staff, students or alumni .

Additional Rhode Island companies with roots at URI are listed below in Table 8. These companies by no means a complete inventory of Rhode Island businesses started by URI faculty, students and alumni employ more than 1,000 people in Rhode Island.

Table 8: Examples of Rhode Island companies founded by URI alumni, faculty and students