RED ROCKS CAPITAL LLC Information

25188 GENESEE TRAIL ROAD, SUITE 250, GOLDEN, Colorado, 80401, (303) 679-8252

Report Date: 12/31/2013

Position Statistics

Total Positions 12
New Positions 2
Increased Positions 6
Decreased Positions 6
Positions with Activity 12
Sold Out Positions 2
Total Mkt Value (in $ millions) 313

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 0%
Capital Goods
Conglomerates
Consumer Cyclical
Consumer/Non-Cyclical
Energy
Financial 66.74%
Healthcare
Services 25.85%
Technology 7.4%
Transportation
Utilities

12 Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
BLACKSTONE GROUP L P COM UNIT LTD 68,056 1,421 2.13 2,093,400
KKR & CO L P DEL COM UNITS 57,512 4,243 7.97 2,432,835
CARLYLE GROUP L P COM UTS LTD PTN 51,925 -2,124 (3.93) 1,506,368
APOLLO GLOBAL MGMT LLC CL A SHS 49,762 5,361 12.07 1,676,051
AMERICAN CAP LTD COM 24,245 -1,620 (6.26) 1,639,300
DANAHER CORP DEL COM 23,144 23,144 New 315,400
COMPASS DIVERSIFIED HOLDINGS SH BEN INT 12,771 -2,496 (16.35) 703,241
BROOKFIELD ASSET MGMT INC CL A LTD VT SH 11,947 -28,951 (70.79) 289,000
OAKTREE CAP GROUP LLC UNIT CL A 11,564 1,311 12.79 209,678
CAPITAL SOUTHWEST CORP COM 1,696 1,696 New 47,500
ICG GROUP INC COM -28,162 Sold Out 0
LEUCADIA NATL CORP COM -8,053 Sold Out 0