NEWFLEET ASSET MANAGEMENT, LLC
CRD #104532 SEC #801-51559 HARTFORD, CT 877-332-8172
SEC Registered Private Funds
Total AUM
$10.1B
Discretionary
$10.1B
Employees
28
Clients
--
Accounts
26
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 31, 2022
- Branch Offices
- 0
- LEI
- 549300FZNGRGI1YVNB75
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALBRYCHT, DAVID, LEON | I | CHIEF INVESTMENT OFFICER - MULTI SECTOR FIXED INCOME STRATEGIES | NA | |
| ALBRYCHT, DAVID, LEON | I | CHIEF INVESTMENT OFFICER - MULTI SECTOR FIXED INCOME STRATEGIES | NA | |
| ALBRYCHT, DAVID, LEON | I | CHIEF INVESTMENT OFFICER - MULTI SECTOR FIXED INCOME STRATEGIES | NA | |
| ALBRYCHT, DAVID, LEON | I | CHIEF INVESTMENT OFFICER - MULTI SECTOR FIXED INCOME STRATEGIES | NA | |
| ALBRYCHT, DAVID, LEON | I | CHIEF INVESTMENT OFFICER - MULTI SECTOR FIXED INCOME STRATEGIES | NA | |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| ALBRYCHT, DAVID, LEON | I | CHIEF INVESTMENT OFFICER - MULTI SECTOR FIXED INCOME STRATEGIES | NA | |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| ALBRYCHT, DAVID, LEON | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, A | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, A | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, A | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, A | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, A | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, A | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, A | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, A | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, A | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, A | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, A | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, A | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, AARON | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, AARON | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, AARON | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, AARON | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, AARON | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, AARON | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, AARON | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, AARON | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, AARON | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, AARON | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, AARON | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, AARON | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, AARON | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, AARON | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, AARON | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, AARON | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, AARON | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, AARON | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, AARON | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| ANGERTHAL, MICHAEL, AARON | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| AUSTIN, SAMUEL, M | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| AUSTIN, SAMUEL, M | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| AUSTIN, SAMUEL, M | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| AUSTIN, SAMUEL, M | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| AUSTIN, SAMUEL, M | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| AYLWARD, GEORGE, R. | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| AYLWARD, GEORGE, R. | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| AYLWARD, GEORGE, R. | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| AYLWARD, GEORGE, R. | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, R. | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, R. | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, R. | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| AYLWARD, GEORGE, R. | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| AYLWARD, GEORGE, R. | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| AYLWARD, GEORGE, R. | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| AYLWARD, GEORGE, R. | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| AYLWARD, GEORGE, R. | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| AYLWARD, GEORGE, R. | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| AYLWARD, GEORGE, R. | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| AYLWARD, GEORGE, R. | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| AYLWARD, GEORGE, R. | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| AYLWARD, GEORGE, R. | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, R. | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, R. | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, R. | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, R. | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AYLWARD, GEORGE, ROBERT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| BEERS, JOHN, HENRY | I | VICE PRESIDENT & ASST. SECRETARY | NA | Control |
| BEERS, JOHN, HENRY | I | VICE PRESIDENT & ASST. SECRETARY | NA | Control |
| BEERS, JOHN, HENRY | I | VICE PRESIDENT & ASST. SECRETARY | NA | Control |
| BEERS, JOHN, HENRY | I | VICE PRESIDENT & ASST. SECRETARY | NA | Control |
| BEERS, JOHN, HENRY | I | VICE PRESIDENT & ASST. SECRETARY | NA | Control |
| BEERS, JOHN, HENRY | I | VICE PRESIDENT & ASST. SECRETARY | NA | Control |
| BEERS, JOHN, HENRY | I | VICE PRESIDENT & ASST. SECRETARY | NA | Control |
| BEERS, JOHN, HENRY | I | VICE PRESIDENT & ASST. SECRETARY | NA | Control |
| BISHOP, ROBERT, LOUIS | I | CHIEF INVESTMENT OFFICER - CORE FIXED INCOME & SR PORTFOLIO MGR | NA | |
| BISHOP, ROBERT, LOUIS | I | CHIEF INVESTMENT OFFICER - CORE FIXED INCOME & SR PORTFOLIO MGR | NA | |
| BISHOP, ROBERT, LOUIS | I | CHIEF INVESTMENT OFFICER - CORE FIXED INCOME & SR PORTFOLIO MGR | NA | |
| BISHOP, ROBERT, LOUIS | I | FIXED INCOME CIO, EXECUTIVE COMMITTEE CHAIRMAN | NA | Control |
| BISHOP, ROBERT, LOUIS | I | FIXED INCOME CIO, EXECUTIVE COMMITTEE CHAIRMAN | NA | Control |
| BISHOP, ROBERT, LOUIS | I | FIXED INCOME CIO, EXECUTIVE COMMITTEE CHAIRMAN | NA | Control |
| BISHOP, ROBERT, LOUIS | I | FIXED INCOME CIO, EXECUTIVE COMMITTEE CHAIRMAN | NA | Control |
| BISHOP, ROBERT, LOUIS | I | FIXED INCOME CIO, EXECUTIVE COMMITTEE CHAIRMAN | NA | Control |
| BISHOP, ROBERT, LOUIS | I | FIXED INCOME CIO, EXECUTIVE COMMITTEE CHAIRMAN | NA | Control |
| BISHOP, ROBERT, LOUIS | I | CHIEF INVESTMENT OFFICER - CORE FIXED INCOME & SR PORTFOLIO MGR | NA | |
| BISHOP, ROBERT, LOUIS | I | CHIEF INVESTMENT OFFICER - CORE FIXED INCOME & SR PORTFOLIO MGR | NA | |
| BISHOP, ROBERT, LOUIS | I | INSTITUTIONAL PORTFOLIO STATEGIST AND PORTFOLIO MANAGER | NA | |
| BONNER, DOREEN, ALICIA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BONNER, DOREEN, ALICIA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOONIN, SARA, ELISABETH | I | SR. PORTFOLIO ADVISOR/MGR MBR | NA | Control |
| BOONIN, SARA, ELISABETH | I | SR. PORTFOLIO ADVISOR/MGR MBR | NA | Control |
| BUBLITZ, MAXWELL, ERNEST | I | CHIEF STRATEGIST, EXECUTIVE COMMITTEE MEMBER | NA | Control |
| BUBLITZ, MAXWELL, ERNEST | I | CHIEF STRATEGIST, EXECUTIVE COMMITTEE MEMBER | NA | Control |
| BUBLITZ, MAXWELL, ERNEST | I | CHIEF STRATEGIST, EXECUTIVE COMMITTEE MEMBER | NA | Control |
| BUBLITZ, MAXWELL, ERNEST | I | CHIEF STRATEGIST, EXECUTIVE COMMITTEE MEMBER | NA | Control |
| BUBLITZ, MAXWELL, ERNEST | I | CHIEF STRATEGIST, EXECUTIVE COMMITTEE MEMBER | NA | Control |
| BUBLITZ, MAXWELL, ERNEST | I | CHIEF STRATEGIST, EXECUTIVE COMMITTEE MEMBER | NA | Control |
| CARON, BENJAMIN, LUCIEN | I | MANAGING DIRECTOR & PORTFOLIO MANAGER | NA | |
| CARON, BENJAMIN, LUCIEN | I | MANAGING DIRECTOR & PORTFOLIO MANAGER | NA | |
| CARON, BENJAMIN, LUCIEN | I | MANAGING DIRECTOR & PORTFOLIO MANAGER | NA | |
| CARON, BENJAMIN, LUCIEN | I | MANAGING DIRECTOR & PORTFOLIO MANAGER | NA | |
| CARON, BENJAMIN, LUCIEN | I | MANAGING DIRECTOR & PORTFOLIO MANAGER | NA | |
| CARON, BENJAMIN, LUCIEN | I | MANAGING DIRECTOR & PORTFOLIO MANAGER | NA | |
| CARON, BENJAMIN, LUCIEN | I | MANAGING DIRECTOR & PORTFOLIO MANAGER | NA | |
| CARON, BENJAMIN, LUCIEN | I | MANAGING DIRECTOR & PORTFOLIO MANAGER | NA | |
| CARR, KEVIN, JOHN | I | VICE PRESIDENT AND SECRETARY | NA | |
| CARR, KEVIN, JOHN | I | VICE PRESIDENT AND SECRETARY | NA | |
| CARR, KEVIN, JOHN | I | VICE PRESIDENT AND SECRETARY | NA | |
| CARR, KEVIN, JOHN | I | VICE PRESIDENT AND SECRETARY | NA | |
| CARR, KEVIN, JOHN | I | VICE PRESIDENT AND SECRETARY | NA | |
| CARR, KEVIN, JOHN | I | VICE PRESIDENT AND SECRETARY | NA | |
| CARR, KEVIN, JOHN | I | VICE PRESIDENT AND SECRETARY | NA | |
| CARR, KEVIN, JOHN | I | VICE PRESIDENT AND SECRETARY | NA | |
| CARR, KEVIN, JOHN | I | SENIOR VICE PRESIDENT AND SECRETARY | NA | |
| CARR, KEVIN, JOHN | I | SENIOR VICE PRESIDENT AND SECRETARY | NA | |
| CARR, KEVIN, JOHN | I | SENIOR VICE PRESIDENT AND SECRETARY | NA | |
| CARR, KEVIN, JOHN | I | SENIOR VICE PRESIDENT AND SECRETARY | NA | |
| CARR, KEVIN, JOHN | I | SENIOR VICE PRESIDENT AND SECRETARY | NA | |
| CHEN, CHARLES, YUAN | I | CHIEF INVESTMENT OFFICER - SPECIALTY FIXED INCOME | NA | |
| CHEN, CHARLES, YUAN | I | CHIEF INVESTMENT OFFICER - SPECIALTY FIXED INCOME | NA | |
| CHEN, CHARLES, YUAN | I | CHIEF INVESTMENT OFFICER - SPECIALTY FIXED INCOME | NA | |
| CIEMNIEWSKI, LAURA | I | CHIEF COMPLIANCE OFFICER | NA | |
| COUDEN, DOUG, SCOTT | I | DIR OF EQUITY; SR PM; EXEC COMM MBR | NA | Control |
| COUDEN, DOUG, SCOTT | I | DIR OF EQUITY; SR PM; EXEC COMM MBR | NA | Control |
| COUDEN, DOUG, SCOTT | I | DIR OF EQUITY; SR PM; EXEC COMM MBR | NA | Control |
| COUDEN, DOUG, SCOTT | I | DIRECTOR OF EQUITIES & SENIOR PORTFOLIO MANAGER | NA | |
| COUDEN, DOUG, SCOTT | I | DIRECTOR OF EQUITIES & SENIOR PORTFOLIO MANAGER | NA | |
| COUDEN, DOUG, SCOTT | I | DIRECTOR OF EQUITIES & SENIOR PORTFOLIO MANAGER | NA | |
| COUDEN, DOUG, SCOTT | I | DIR OF EQUITY; SR PM; EXEC COMM MBR | NA | Control |
| COUDEN, DOUG, SCOTT | I | DIR OF EQUITY; SR PM; EXEC COMM MBR | NA | Control |
| COUDEN, DOUG, SCOTT | I | DIR OF EQUITY; SR PM; EXEC COMM MBR | NA | Control |
| COUDEN, DOUG, SCOTT | I | DIR OF EQUITY; SR PM; EXEC COMM MBR | NA | Control |
| COUDEN, DOUG, SCOTT | I | DIR OF EQUITY; SR PM; EXEC COMM MBR | NA | Control |
| COUDEN, DOUG, SCOTT | I | DIR OF EQUITY; SR PM; EXEC COMM MBR | NA | Control |
| COUDEN, DOUG, SCOTT | I | DIR OF EQUITY; SR PM; EXEC COMM MBR | NA | Control |
| COUDEN, DOUG, SCOTT | I | DIR OF EQUITY; SR PM; EXEC COMM MBR | NA | Control |
| COUDEN, DOUG, SCOTT | I | DIR OF EQUITY; SR PM; EXEC COMM MBR | NA | Control |
| COUDEN, DOUG, SCOTT | I | DIR OF EQUITY; SR PM; EXEC COMM MBR | NA | Control |
| COUDEN, DOUG, SCOTT | I | DIR OF EQUITY; SR PM; EXEC COMM MBR | NA | Control |
| COUDEN, DOUG, SCOTT | I | DIR OF EQUITY; SR PM; EXEC COMM MBR | NA | Control |
| COUDEN, DOUG, SCOTT | I | DIR OF EQUITY; SR PM; EXEC COMM MBR | NA | Control |
| DICKE, CHARLES, BLAKE | I | SR. PORTFOLIO MGR./FIXED | NA | |
| DICKE, CHARLES, BLAKE | I | SR. PORTFOLIO MGR./FIXED | NA | |
| DICKE, CHARLES, BLAKE | I | SR. PORTFOLIO MGR./FIXED | NA | |
| DICKE, CHARLES, BLAKE | I | SR. PORTFOLIO MGR./FIXED | NA | |
| DICKE, CHARLES, BLAKE | I | SR. PORTFOLIO MGR./FIXED | NA | |
| DICKE, CHARLES, BLAKE | I | SR. PORTFOLIO MGR./FIXED | NA | |
| DICKE, CHARLES, BLAKE | I | SR. PORTFOLIO MGR./FIXED | NA | |
| FLYNN, MARK, S | I | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| FLYNN, MARK, S | I | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| FLYNN, MARK, S | I | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| FLYNN, MARK, S | I | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| FLYNN, MARK, STEPHEN | I | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| FLYNN, MARK, STEPHEN | I | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| FLYNN, MARK, STEPHEN | I | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| FLYNN, MARK, STEPHEN | I | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| FLYNN, MARK, STEPHEN | I | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| FLYNN, MARK, STEPHEN | I | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| FLYNN, MARK, STEPHEN | I | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| FLYNN, MARK, STEPHEN | I | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| FLYNN, MARK, STEPHEN | I | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| FLYNN, MARK, STEPHEN | I | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| FLYNN, MARK, STEPHEN | I | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| FLYNN, MARK, STEPHEN | I | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| FUSCO, DAVID, ELLIOT | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | |
| FUSCO, DAVID, ELLIOT | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | |
| FUSCO, DAVID, ELLIOT | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | |
| FUSCO, DAVID, ELLIOT | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | |
| FUSCO, DAVID, ELLIOT | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | |
| FUSCO, DAVID, ELLIOT | I | VICE PRESIDENT COMPLIANCE | NA | |
| FUSCO, DAVID, ELLIOT | I | VICE PRESIDENT COMPLIANCE | NA | |
| FUSCO, DAVID, ELLIOT | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | |
| GEE, VICTORIA, WAI-SHAN | I | CHIEF FINANCIAL OFFICER | NA | |
| GEE, VICTORIA, WAI-SHAN | I | CHIEF FINANCIAL OFFICER | NA | |
| GEE, VICTORIA, WAI-SHAN | I | CHIEF FINANCIAL OFFICER | NA | |
| GEE, VICTORIA, WAI-SHAN | I | CHIEF FINANCIAL OFFICER | NA | |
| GEE, VICTORIA, WAI-SHAN | I | CHIEF FINANCIAL OFFICER | NA | |
| GEE, VICTORIA, WAI-SHAN | I | CHIEF FINANCIAL OFFICER | NA | |
| GEE, VICTORIA, WAI-SHAN | I | CHIEF FINANCIAL OFFICER | NA | |
| GEE, VICTORIA, WAI-SHAN | I | CHIEF FINANCIAL OFFICER | NA | |
| GEE, VICTORIA, WAI-SHAN | I | CHIEF FINANCIAL OFFICER | NA | |
| GEE, VICTORIA, WAI-SHAN | I | CHIEF FINANCIAL OFFICER | NA | |
| GEE, VICTORIA, WAI-SHAN | I | CHIEF FINANCIAL OFFICER | NA | |
| GEE, VICTORIA, WAI-SHAN | I | CHIEF FINANCIAL OFFICER | NA | |
| GEE, VICTORIA, WAI-SHAN | I | CHIEF FINANCIAL OFFICER | NA | |
| GO, STEVEN, SCOTT | I | CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| GUTIERREZ, ALBERT, JOSEPH | I | FIXED INCOME CIO; EXEC COMM CHAIR | NA | Control |
| GUTIERREZ, ALBERT, JOSEPH | I | FIXED INCOME CIO; EXEC COMM CHAIR | NA | Control |
| GUTIERREZ, ALBERT, JOSEPH | I | FIXED INCOME CIO; EXEC COMM CHAIR | NA | Control |
| GUTIERREZ, ALBERT, JOSEPH | I | CIO - FIXED INCOME; CHAIR EXEC COMM | NA | Control |
| GUTIERREZ, ALBERT, JOSEPH | I | FIXED INCOME CIO; EXEC COMM CHAIR | NA | Control |
| GUTIERREZ, ALBERT, JOSEPH | I | FIXED INCOME CIO; EXEC COMM CHAIR | NA | Control |
| GUTIERREZ, ALBERT, JOSEPH | I | FIXED INCOME CIO; EXEC COMM CHAIR | NA | Control |
| GUTIERREZ, ALBERT, JOSEPH | I | FIXED INCOME CIO; EXEC COMM CHAIR | NA | Control |
| GUTIERREZ, ALBERT, JOSEPH | I | FIXED INCOME CIO; EXEC COMM CHAIR | NA | Control |
| GUTIERREZ, ALBERT, JOSEPH | I | CIO - FIXED INCOME/MBR MGT COMM | NA | Control |
| GUTIERREZ, ALBERT, JOSEPH | I | FIXED INCOME CIO; EXEC COMM CHAIR | NA | Control |
| GUTIERREZ, ALBERT, JOSEPH | I | FIXED INCOME CIO; EXEC COMM CHAIR | NA | Control |
| GUTIERREZ, ALBERT, JOSEPH | I | CIO - FIXED INCOME; EXEC COMM MBR | NA | Control |
| GUTIERREZ, ALBERT, JOSEPH | I | CIO - FIXED INCOME; EXEC COMM MBR | NA | Control |
| GUTIERREZ, ALBERT, JOSEPH | I | CIO - FIXED INCOME; EXEC COMM MBR | NA | Control |
| GUTIERREZ, ALBERT, JOSEPH | I | CIO - FIXED INCOME; EXEC COMM MBR | NA | Control |
| GUTIERREZ, ALBERT, JOSEPH | I | CIO - FIXED INCOME; EXEC COMM MBR | NA | Control |
| GUTIERREZ, ALBERT, JOSEPH | I | CIO - FIXED INCOME/MBR MGT COMM | NA | Control |
| HANLEY, DAVID, G | I | VICE PRESIDENT AND TREASURER | NA | |
| HANLEY, DAVID, G | I | VICE PRESIDENT AND TREASURER | NA | |
| HANLEY, DAVID, G | I | VICE PRESIDENT AND TREASURER | NA | |
| HANLEY, DAVID, G | I | VICE PRESIDENT AND TREASURER | NA | |
| HANLEY, DAVID, G | I | VICE PRESIDENT AND TREASURER | NA | |
| HANLEY, DAVID, G | I | VICE PRESIDENT AND TREASURER | NA | |
| HANLEY, DAVID, G | I | VICE PRESIDENT AND TREASURER | NA | |
| HANLEY, DAVID, G | I | VICE PRESIDENT AND TREASURER | NA | |
| HANLEY, DAVID, G | I | VICE PRESIDENT AND TREASURER | NA | |
| HANLEY, DAVID, G | I | VICE PRESIDENT AND TREASURER | NA | |
| HANLEY, DAVID, G | I | VICE PRESIDENT AND TREASURER | NA | |
| HANLEY, DAVID, G | I | VICE PRESIDENT AND TREASURER | NA | |
| HANLEY, DAVID, G | I | VICE PRESIDENT AND TREASURER | NA | |
| HANLEY, DAVID, G | I | VICE PRESIDENT AND TREASURER | NA | |
| HANLEY, DAVID, G | I | VICE PRESIDENT AND TREASURER | NA | |
| HEANEY, TIMOTHY, M. | I | SENIOR VICE PRESIDENT AND SENIOR PORTFOLIO MANAGER - MUNICIPAL SECURITIES | NA | |
| HEANEY, TIMOTHY, M. | I | SENIOR VICE PRESIDENT AND SENIOR PORTFOLIO MANAGER - MUNICIPAL SECURITIES | NA | |
| HEANEY, TIMOTHY, M. | I | SENIOR VICE PRESIDENT AND SENIOR PORTFOLIO MANAGER - MUNICIPAL SECURITIES | NA | |
| HEANEY, TIMOTHY, M. | I | SENIOR PORTFOLIO MANAGER - MUNICIPAL SECURITIES | NA | |
| HEANEY, TIMOTHY, M. | I | SENIOR PORTFOLIO MANAGER - MUNICIPAL SECURITIES | NA | |
| HEANEY, TIMOTHY, M. | I | SENIOR PORTFOLIO MANAGER - MUNICIPAL SECURITIES | NA | |
| HEANEY, TIMOTHY, M. | I | SENIOR PORTFOLIO MANAGER - MUNICIPAL SECURITIES | NA | |
| HEANEY, TIMOTHY, M. | I | SENIOR PORTFOLIO MANAGER - MUNICIPAL SECURITIES | NA | |
| HILLS, WENDY, JACQUELINE | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY | NA | Control |
| HILLS, WENDY, JACQUELINE | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY | NA | Control |
| HILLS, WENDY, JACQUELINE | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY | NA | Control |
| HILLS, WENDY, JACQUELINE | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY | NA | Control |
| HILLS, WENDY, JACQUELINE | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY | NA | Control |
| HILLS, WENDY, JACQUELINE | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY | NA | Control |
| HILLS, WENDY, JACQUELINE | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY | NA | Control |
| JACKS, RONALD, KEITH | I | SR. PORTFOLIO MGR/EQUITY | NA | |
| JACKS, RONALD, KEITH | I | SR. PORTFOLIO MGR/EQUITY | NA | |
| JACKS, RONALD, KEITH | I | SR. PORTFOLIO MGR/EQUITY | NA | |
| JACKS, RONALD, KEITH | I | SR. PORTFOLIO MGR/EQUITY | NA | |
| JACKS, RONALD, KEITH | I | SR. PORTFOLIO MGR/EQUITY | NA | |
| JACKS, RONALD, KEITH | I | SR. PORTFOLIO MGR/EQUITY | NA | |
| JENNINGS, KYLE, ARTHUR | I | MANAGING DIRECTOR & SENIOR PORTFOLIO MANAGER | NA | |
| JENNINGS, KYLE, ARTHUR | I | MANAGING DIRECTOR & SENIOR PORTFOLIO MANAGER | NA | |
| JENNINGS, KYLE, ARTHUR | I | MANAGING DIRECTOR & SENIOR PORTFOLIO MANAGER | NA | |
| JENNINGS, KYLE, ARTHUR | I | PORTFOLIO MANAGER - BANK LOAN SECTOR | NA | |
| JENNINGS, KYLE, ARTHUR | I | PORTFOLIO MANAGER - BANK LOAN SECTOR | NA | |
| JENNINGS, KYLE, ARTHUR | I | PORTFOLIO MANAGER - BANK LOAN SECTOR | NA | |
| JENNINGS, KYLE, ARTHUR | I | PORTFOLIO MANAGER - BANK LOAN SECTOR | NA | |
| JENNINGS, KYLE, ARTHUR | I | PORTFOLIO MANAGER - BANK LOAN SECTOR | NA | |
| KANE, BRADLEY, MORGAN | I | FIXED INCOME PORTFOLIO MANAGER | NA | |
| KANE, BRADLEY, MORGAN | I | FIXED INCOME PORTFOLIO MANAGER | NA | |
| KANE, BRADLEY, MORGAN | I | FIXED INCOME PORTFOLIO MANAGER | NA | |
| KANE, BRADLEY, MORGAN | I | FIXED INCOME PORTFOLIO MANAGER | NA | |
| KANE, BRADLEY, MORGAN | I | FIXED INCOME PORTFOLIO MANAGER | NA | |
| KELLEHER, CHRISTOPHER, JUDE | I | SENIOR MANAGING DIRECTOR AND HEAD OF INSTITUTIONAL MANAGEMENT | NA | |
| KELLEHER, CHRISTOPHER, JUDE | I | SENIOR MANAGING DIRECTOR AND HEAD OF INSTITUTIONAL MANAGEMENT | NA | |
| KIAIE, KATHLYNE, KNOBLOCH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KIAIE, KATHLYNE, KNOBLOCH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KIAIE, KATHLYNE, KNOBLOCH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KIAIE, KATHLYNE, KNOBLOCH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KIAIE, KATHLYNE, KNOBLOCH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KIAIE, KATHLYNE, KNOBLOCH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KIAIE, KATHLYNE, KNOBLOCH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KIAIE, KATHLYNE, KNOBLOCH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KIAIE, KATHLYNE, KNOBLOCH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KIAIE, KATHLYNE, KNOBLOCH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KIAIE, KATHLYNE, KNOBLOCH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KIAIE, KATHLYNE, KNOBLOCH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KIAIE, KATHLYNE, KNOBLOCH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KIAIE, KATHLYNE, KNOBLOCH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KIAIE, KATHLYNE, KNOBLOCH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KIAIE, KATHLYNE, KNOBLOCH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KIAIE, KATHLYNE, KNOBLOCH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KRAJEWSKI, LAURA | I | CHIEF COMPLIANCE OFFICER | NA | |
| KRAJEWSKI, LAURA, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| KRAJEWSKI, LAURA, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| KRAJEWSKI, LAURA, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| KRAJEWSKI, LAURA, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| KRAJEWSKI, LAURA, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| KRAJEWSKI, LAURA, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| KRAJEWSKI, LAURA, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| KRAJEWSKI, LAURA, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| KRAJEWSKI, LAURA, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| KRAJEWSKI, LAURA, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| KRAJEWSKI, LAURA, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| KRAJEWSKI, LAURA, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| KRAJEWSKI, LAURA, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| KRAJEWSKI, LAURA, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| LASH, CONSTANCE, GRETCHEN SMITH | I | CHIEF EXECUTIVE OFFICER; EXEC COMM MBR | NA | Control |
| LASH, CONSTANCE, GRETCHEN SMITH | I | CHIEF EXECUTIVE OFFICER; EXEC COMM MBR | NA | Control |
| LASH, CONSTANCE, GRETCHEN SMITH | I | CHIEF EXECUTIVE OFFICER; EXEC COMM MBR | NA | Control |
| LASH, CONSTANCE, GRETCHEN SMITH | I | CHIEF EXECUTIVE OFFICER; EXEC COMM MBR | NA | Control |
| LASH, CONSTANCE, GRETCHEN SMITH | I | CHIEF EXECUTIVE OFFICER; EXEC COMM MBR | NA | Control |
| LEONARD, LISA, H | I | PORTFOLIO MANAGER - MUNICIPAL SECURITIES | NA | |
| LEONARD, LISA, H | I | PORTFOLIO MANAGER - MUNICIPAL SECURITIES | NA | |
| LEONARD, LISA, H | I | PORTFOLIO MANAGER - MUNICIPAL SECURITIES | NA | |
| LEONARD, LISA, H | I | PORTFOLIO MANAGER - MUNICIPAL SECURITIES | NA | |
| LEONARD, LISA, H | I | PORTFOLIO MANAGER - MUNICIPAL SECURITIES | NA | |
| LEONARD, LISA, H | I | PORTFOLIO MANAGER - MUNICIPAL SECURITIES | NA | |
| LEONARD, LISA, H | I | PORTFOLIO MANAGER - MUNICIPAL SECURITIES | NA | |
| LEONARD, LISA, H | I | PORTFOLIO MANAGER - MUNICIPAL SECURITIES | NA | |
| LITTLE, RICHARD, DALE | I | SR. PORTFOLIO MGR./EQUITY | NA | Control |
| LITTLE, RICHARD, DALE | I | SR. PORTFOLIO MGR./EQUITY | NA | Control |
| LITTLE, RICHARD, DALE | I | SR. PORTFOLIO MGR./EQUITY | NA | Control |
| LITTLE, RICHARD, DALE | I | SR. PORTFOLIO MGR./EQUITY | NA | Control |
| LITTLE, RICHARD, DALE | I | SR. PORTFOLIO MGR./EQUITY | NA | Control |
| LITTLE, RICHARD, DALE | I | SR. PORTFOLIO MGR./EQUITY | NA | Control |
| LITTLE, RICHARD, DALE | I | CIO - EQUITIES; EXEC COMM MBR | NA | Control |
| LITTLE, RICHARD, DALE | I | CIO - EQUITIES; EXEC COMM MBR | NA | Control |
| LITTLE, RICHARD, DALE | I | CIO - EQUITIES; EXEC COMM MBR | NA | Control |
| LITTLE, RICHARD, DALE | I | CIO - EQUITIES; EXEC COMM MBR | NA | Control |
| LITTLE, RICHARD, DALE | I | CIO - EQUITIES; EXEC COMM MBR | NA | Control |
| LITTLE, RICHARD, DALE | I | SR. PORTFOLIO MGR./EQUITY | NA | Control |
| MALONE, SARA, BOONIN | I | SR. PORTFOLIO ADVISOR | NA | |
| MALONE, SARA, BOONIN | I | SR. PORTFOLIO ADVISOR | NA | |
| MENARD, PATRICIA, A | I | ASSISTANT VICE PRESIDENT | NA | Control |
| MENARD, PATRICIA, A | I | ASSISTANT VICE PRESIDENT | NA | Control |
| MENARD, PATRICIA, A | I | ASSISTANT VICE PRESIDENT | NA | Control |
| MENARD, PATRICIA, A | I | ASSISTANT VICE PRESIDENT | NA | Control |
| MENARD, PATRICIA, A | I | ASSISTANT VICE PRESIDENT | NA | Control |
| MONTICELLI, SANDRA, JO | I | CHIEF OPERATING OFFICER; EXEC COMM MBR | NA | Control |
| MONTICELLI, SANDRA, JO | I | CHIEF OPERATING OFFICER; EXEC COMM MBR | NA | Control |
| MONTICELLI, SANDRA, JO | I | CHIEF OPERATING OFFICER; EXEC COMM MBR | NA | Control |
| MONTICELLI, SANDRA, JO | I | CHIEF OPERATING OFFICER; EXEC COMM MBR | NA | Control |
| MONTICELLI, SANDRA, JO | I | CHIEF OPERATING OFFICER; EXEC COMM MBR | NA | Control |
| MONTICELLI, SANDRA, JO | I | CHIEF OPERATING OFFICER | NA | Control |
| MONTICELLI, SANDRA, JO | I | CHIEF OPERATING OFFICER | NA | Control |
| MONTICELLI, SANDRA, JO | I | CHIEF OPERATING OFFICER | NA | Control |
| MONTICELLI, SANDRA, JO | I | CHIEF OPERATING OFFICER | NA | Control |
| MONTICELLI, SANDRA, JO | I | CHIEF OPERATING OFFICER | NA | Control |
| MONTICELLI, SANDRA, JO | I | CHIEF OPERATING OFFICER/MGRMBR | NA | Control |
| MONTICELLI, SANDRA, JO | I | CHIEF OPERATING OFFICER; EXEC COMM MBR | NA | Control |
| MONTICELLI, SANDRA, JO | I | CHIEF OPERATING OFFICER | NA | Control |
| MONTICELLI, SANDRA, JO | I | CHIEF OPERATING OFFICER; EXEC COMM MBR | NA | Control |
| MONTICELLI, SANDRA, JO | I | CHIEF OPERATING OFFICER; EXEC COMM MBR | NA | Control |
| MONTICELLI, SANDRA, JO | I | CHIEF OPERATING OFFICER; EXEC COMM MBR | NA | Control |
| MONTICELLI, SANDRA, JO | I | CHIEF OPERATING OFFICER; EXEC COMM MBR | NA | Control |
| MONTICELLI, SANDRA, JO | I | CHIEF OPERATING OFFICER; EXEC COMM MBR | NA | Control |
| MONTICELLI, SANDRA, JO | I | CHIEF OPERATING OFFICER | NA | Control |
| MONTICELLI, SANDRA, JO | I | CHIEF OPERATING OFFICER/MGRMBR | NA | Control |
| MORCOS, ALAN | I | CHIEF ADMN OFFICER | NA | |
| MORCOS, ALAN | I | CHIEF ADMN OFFICER | NA | |
| MORCOS, ALAN | I | CHIEF ADMN OFFICER | NA | |
| MORCOS, ALAN | I | CHIEF ADMN OFFICER | NA | |
| MORCOS, ALAN | I | CHIEF ADMN OFFICER | NA | |
| MORCOS, ALAN | I | CHIEF ADMN OFFICER | NA | |
| MORCOS, ALAN | I | CHIEF ADMN OFFICER | NA | |
| PALMER, MARK, RICHARD | I | VICE PRESIDENT AND SENIOR COMPLIANCE OFFICER | NA | |
| PALMER, MARK, RICHARD | I | VICE PRESIDENT AND SENIOR COMPLIANCE OFFICER | NA | |
| PALMER, MARK, RICHARD | I | VICE PRESIDENT AND SENIOR COMPLIANCE OFFICER | NA | |
| PALMER, MARK, RICHARD | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | |
| PALMER, MARK, RICHARD | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | |
| PALMER, MARK, RICHARD | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | |
| PALMER, MARK, RICHARD | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | |
| PALMER, MARK, RICHARD | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | |
| PALMER, MARK, RICHARD | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | |
| PALMER, MARK, RICHARD | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | |
| PALMER, MARK, RICHARD | I | VICE PRESIDENT AND SENIOR COMPLIANCE OFFICER | NA | |
| PALMER, MARK, RICHARD | I | VICE PRESIDENT AND SENIOR COMPLIANCE OFFICER | NA | |
| PATEL, UMESH | I | SR. PORTFOLIO MGR./FIXED | NA | |
| PATEL, UMESH | I | SR. PORTFOLIO MGR./FIXED | NA | |
| PATEL, UMESH | I | SR. PORTFOLIO MGR./FIXED | NA | |
| PATEL, UMESH | I | SR. PORTFOLIO MGR./FIXED | NA | |
| PATEL, UMESH | I | SR. PORTFOLIO MGR./FIXED | NA | |
| PATEL, UMESH | I | SR. PORTFOLIO MGR./FIXED | NA | |
| PATEL, UMESH | I | SR. PORTFOLIO MGR./FIXED | NA | |
| PEASE, GLENN, H | I | VICE PRESIDENT, FINANCE & TREASURER | NA | Control |
| PEASE, GLENN, H | I | VICE PRESIDENT, FINANCE & TREASURER | NA | Control |
| PEASE, GLENN, H | I | VICE PRESIDENT, FINANCE & TREASURER | NA | Control |
| PEASE, GLENN, H | I | VICE PRESIDENT, FINANCE & TREASURER | NA | Control |
| PEASE, GLENN, H | I | VICE PRESIDENT, FINANCE & TREASURER | NA | Control |
| PEASE, GLENN, H | I | VICE PRESIDENT, FINANCE & TREASURER | NA | Control |
| SAHA, KAUSHIK | I | FIXED INCOME PORTFOLIO MANAGER | NA | |
| SAHA, KAUSHIK | I | FIXED INCOME PORTFOLIO MANAGER | NA | |
| SAHA, KAUSHIK | I | FIXED INCOME PORTFOLIO MANAGER | NA | |
| SAHA, KAUSHIK | I | FIXED INCOME PORTFOLIO MANAGER | NA | |
| SAHA, KAUSHIK | I | FIXED INCOME PORTFOLIO MANAGER | NA | |
| SENA, JAMES, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| SENA, JAMES, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| SENA, JAMES, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| SENA, JAMES, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| SENA, JAMES, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| SENA, JAMES, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| SENECA, GAIL, PATRICE | I | CHAIRPERSON | NA | Control |
| SENECA, GAIL, PATRICE | I | CHAIRPERSON | NA | Control |
| SENECA, GAIL, PATRICE | I | CHAIRPERSON | NA | Control |
| SENECA, GAIL, PATRICE | I | CHAIRPERSON | NA | Control |
| SENECA, GAIL, PATRICE | I | CHAIRPERSON | NA | Control |
| SENECA, GAIL, PATRICE | I | PRESIDENT, CIO, CEO | NA | Control |
| SENECA, GAIL, PATRICE | I | PRESIDENT, CIO, CEO | NA | Control |
| SENECA, GAIL, PATRICE | I | PRESIDENT, CIO, CEO | NA | Control |
| SENECA, GAIL, PATRICE | I | PRESIDENT, CIO, CEO | NA | Control |
| SENECA, GAIL, PATRICE | I | PRESIDENT, CIO, CEO | NA | Control |
| SENECA, GAIL, PATRICE | I | CHAIRPERSON | NA | Control |
| SENECA, GAIL, PATRICE | I | PRESIDENT, CIO, CEO | NA | Control |
| SENECA, GAIL, PATRICE | I | CHAIRPERSON | NA | |
| SENECA, GAIL, PATRICE | I | CHAIRPERSON | NA | |
| SENECA, GAIL, PATRICE | I | CHAIRPERSON | NA | |
| SENECA, GAIL, PATRICE | I | CHAIRPERSON | NA | |
| SENECA, GAIL, PATRICE | I | CHAIRPERSON | NA | Control |
| SHAMIA, MARK, RAMSEY | I | CHIEF ADMN OFFICER; EXEC COMM MBR | NA | Control |
| SHAMIA, MARK, RAMSEY | I | CHIEF ADMN OFFICER; EXEC COMM MBR | NA | Control |
| SHAMIA, MARK, RAMSEY | I | CHIEF ADMN OFFICER; EXEC COMM MBR | NA | Control |
| SHAMIA, MARK, RAMSEY | I | CHIEF ADMN OFFICER; EXEC COMM MBR | NA | Control |
| SHAMIA, MARK, RAMSEY | I | CHIEF ADMN OFFICER; EXEC COMM MBR | NA | Control |
| SHAMIA, MARK, RAMSEY | I | CHIEF ADMN OFFICER; EXEC COMM MBR | NA | Control |
| SHAMIA, MARK, RAMSEY | I | CHIEF ADMN OFFICER; EXEC COMM MBR | NA | Control |
| SHAMIA, MARK, RAMSEY | I | CHIEF ADMN OFFICER; EXEC COMM MBR | NA | Control |
| SHAMIA, MARK, RAMSEY | I | CHIEF ADMN OFFICER | NA | |
| SHAMIA, MARK, RAMSEY | I | CHIEF ADMN OFFICER | NA | |
| SHAMIA, MARK, RAMSEY | I | CHIEF ADMN OFFICER | NA | |
| SHAMIA, MARK, RAMSEY | I | CHIEF ADMN OFFICER | NA | |
| SHAMIA, MARK, RAMSEY | I | CHIEF ADMN OFFICER | NA | |
| SHAPIRO, DAVID, ALAN | I | PORTFOLIO MGR./RE | NA | |
| SHAPIRO, DAVID, ALAN | I | PORTFOLIO MGR./RE | NA | |
| SHAPIRO, DAVID, ALAN | I | PORTFOLIO MGR./RE | NA | |
| SHAPIRO, DAVID, ALAN | I | PORTFOLIO MGR./RE | NA | |
| SHAPIRO, DAVID, ALAN | I | PORTFOLIO MGR./RE | NA | |
| SHAPIRO, DAVID, ALAN | I | PORTFOLIO MGR./RE | NA | |
| SHAPIRO, DAVID, ALAN | I | PORTFOLIO MGR./RE | NA | |
| SMITH, SCOTT | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, SCOTT | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, SCOTT | I | CHIEF COMPLIANCE OFFICER | NA | |
| SOLLICITO, MICHAEL, NMN | I | CHIEF OPERATING OFFICER | NA | |
| SOLLICITO, MICHAEL, NMN | I | CHIEF OPERATING OFFICER | NA | |
| SOLLICITO, MICHAEL, NMN | I | CHIEF OPERATING OFFICER | NA | |
| SOLLICITO, MICHAEL, NMN | I | CHIEF OPERATING OFFICER | NA | |
| SOLLICITO, MICHAEL, NMN | I | CHIEF OPERATING OFFICER | NA | |
| SOLLICITO, MICHAEL, NMN | I | CHIEF OPERATING OFFICER | NA | |
| SOLLICITO, MICHAEL, NMN | I | CHIEF OPERATING OFFICER | NA | |
| SOLLICITO, MICHAEL, NMN | I | CHIEF OPERATING OFFICER | NA | |
| SOLLICITO, MICHAEL, NMN | I | CHIEF OPERATING OFFICER | NA | |
| SOLLICITO, MICHAEL, NMN | I | CHIEF OPERATING OFFICER | NA | |
| SOLLICITO, MICHAEL, NMN | I | CHIEF OPERATING OFFICER | NA | |
| SOLLICITO, MICHAEL, NMN | I | CHIEF OPERATING OFFICER | NA | |
| SOLLICITO, MICHAEL, NMN | I | CHIEF OPERATING OFFICER | NA | |
| SOLLICITO, MICHAEL, NMN | I | CHIEF OPERATING OFFICER | NA | |
| SOLLICITO, MICHAEL, NMN | I | CHIEF OPERATING OFFICER | NA | |
| SOLLICITO, MICHAEL, NMN | I | CHIEF OPERATING OFFICER | NA | |
| SOLLICITO, MICHAEL, NMN | I | CHIEF OPERATING OFFICER | NA | |
| SOLLICITO, MICHAEL, NMN | I | CHIEF OPERATING OFFICER | NA | |
| SOLLICITO, MICHAEL, NMN | I | CHIEF OPERATING OFFICER | NA | |
| SOLLICITO, MICHAEL, NMN | I | CHIEF OPERATING OFFICER | NA | |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| SPIRANDELLI, DIANE, MARGARETTA | I | SENIOR PORTFOLIO ADVISOR | NA | |
| SPIRANDELLI, DIANE, MARGARETTA | I | SENIOR PORTFOLIO ADVISOR | NA | |
| SPIRANDELLI, DIANE, MARGARETTA | I | SENIOR PORTFOLIO ADVISOR | NA | |
| SPIRANDELLI, DIANE, MARGARETTA | I | SENIOR PORTFOLIO ADVISOR | NA | |
| STANNARD, SUSAN | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| STANNARD, SUSAN | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| STANNARD, SUSAN | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| STANNARD, SUSAN | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| STANNARD, SUSAN | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| STANNARD, SUSAN | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| STANNARD, SUSAN | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| STANNARD, SUSAN | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| STANNARD, SUSAN | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| STANNARD, SUSAN | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| STANNARD, SUSAN | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| STANNARD, SUSAN | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| STANNARD, SUSAN | I | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WALTMAN, FRANCIS, GEORGE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WILDER, CHARLES, F. | I | EXECUTIVE VICE PRESIDENT | NA | |
| WILDER, CHARLES, F. | I | EXECUTIVE VICE PRESIDENT | NA | |
| WILDER, CHARLES, F. | I | EXECUTIVE VICE PRESIDENT | NA | |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | E | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | E | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | E | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | E | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | E | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | E | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | E | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | E | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | E | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | E | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | E | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | E | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | E | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | E | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | E | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | E | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. (FKA PHOENIX INVESTMENT PARTNERS, LTD.) | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. (FKA PHOENIX INVESTMENT PARTNERS, LTD.) | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. (FKA PHOENIX INVESTMENT PARTNERS, LTD.) | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. (FKA PHOENIX INVESTMENT PARTNERS, LTD.) | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. (FKA PHOENIX INVESTMENT PARTNERS, LTD.) | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. (FKA PHOENIX INVESTMENT PARTNERS, LTD.) | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. (FKA PHOENIX INVESTMENT PARTNERS, LTD.) | DE | DIRECT OWNER | E | Control |
| VIRTUS PARTNERS, INC. (FKA PHOENIX INVESTMENT PARTNERS, LTD.) | DE | DIRECT OWNER | E | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | D | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | D | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | D | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | D | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | D | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | D | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | D | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | D | Control |
| PHOENIX INVESTMENT PARTNERS, LTD. | DE | DIRECT OWNER | D | Control |
| JACKS, RONALD, KEITH | I | SR. PORTFOLIO MGR/EQUITY/MGRMBR | A | Control |
| JACKS, RONALD, KEITH | I | SR. PORTFOLIO MGR/EQUITY | A | |
| JACKS, RONALD, KEITH | I | SR. PORTFOLIO MGR/EQUITY/MGRMBR | A | Control |
| LITTLE, RICHARD, DALE | I | SR. PORTFOLIO MGR./EQUITY/MEMBER | A | Control |
| LITTLE, RICHARD, DALE | I | SR. PORTFOLIO MGR./EQUITY/MEMBER | A | Control |
| SENECA, GAIL, PATRICE | I | CEO/CIO/MGRMBR | A | Control |
| SENECA, GAIL, PATRICE | I | PRESIDENT, CIO, CEO | A | Control |
| SENECA, GAIL, PATRICE | I | CEO/CIO/MGRMBR | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | E | |
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | E | |
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | E | |
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | E | |
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | E | |
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | E | |
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | E | |
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | E | |
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | E | |
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | E | |
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | E | |
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | E | |
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | E | |
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | E | |
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | E | |
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | E | |
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | E | |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| VIRTUS INVESTMENT PARTNERS, INC. | DE | VIRTUS PARTNERS, INC. | E | Control |
| PHOENIX HOME LIFE MUTUAL INSURANCE COMPANY | DE | PM HOLDINGS, INC. | D | |
| PHOENIX HOME LIFE MUTUAL INSURANCE COMPANY | DE | PM HOLDINGS, INC. | D | |
| PHOENIX HOME LIFE MUTUAL INSURANCE COMPANY | DE | PM HOLDINGS, INC. | D | |
| PHOENIX HOME LIFE MUTUAL INSURANCE COMPANY | DE | PM HOLDINGS, INC. | D | |
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | D | |
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | D | |
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | D | |
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | D | |
| PHOENIX INVESTMENT MANAGEMENT COMPANY | DE | PHOENIX INVESTMENT PARTNERS, LTD. | D | |
| PM HOLDINGS, INC. | DE | PHOENIX INVESTMENT PARTNERS, LTD. | D | |
| PM HOLDINGS, INC. | DE | PHOENIX INVESTMENT PARTNERS, LTD. | D | |
| PM HOLDINGS, INC. | DE | PHOENIX INVESTMENT PARTNERS, LTD. | D | |
| PM HOLDINGS, INC. | DE | PHOENIX INVESTMENT PARTNERS, LTD. | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D | |
| THE PHOENIX COMPANIES, INC. | DE | PHOENIX INVESTMENT MANAGEMENT COMPANY | D |
Registrations
Federal
IA
Mar 31, 2022 REGISTERED
Notice Filings (50)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VT WA WI WV
Address
ONE FINANACIAL PLAZAHARTFORD, CT 06103
United States
Phone: 877-332-8172