JANUS HENDERSON INVESTORS US LLC
Legal name: JANUS HENDERSON INVESTORS
CRD #104652 SEC #801-13991 DENVER, CO (303) 333-3863
SEC Registered Private Funds Disclosures
Total AUM
$274.7B
Discretionary
$274.6B
Employees
1,010
Clients
--
Accounts
6,806
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Sep 9, 2025
- Branch Offices
- 5
- LEI
- G7D5LKZKIBRMES6BO437
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALGREEN, PAUL, DONALD | I | SENIOR VICE PRESIDENT, CHIEF INFORMATION OFFICER | NA | Control |
| ALGREEN, PAUL, DONALD | I | SENIOR VICE PRESIDENT, CHIEF INFORMATION OFFICER | NA | Control |
| ALGREEN, PAUL, DONALD | I | SENIOR VICE PRESIDENT, CHIEF INFORMATION OFFICER | NA | Control |
| BAILEY, THOMAS, HAGAN | I | PRESIDENT, CEO | NA | Control |
| BAILEY, THOMAS, HAGAN | I | PRESIDENT, CEO | NA | Control |
| BATEJAN, GEORGE, SAMUEL | I | SENIOR V.P. GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS | NA | Control |
| BATEJAN, GEORGE, SAMUEL | I | SENIOR V.P. AND GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS | NA | Control |
| BATEJAN, GEORGE, SAMUEL | I | SENIOR V.P. AND GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS | NA | Control |
| BATEJAN, GEORGE, SAMUEL | I | SENIOR V.P. AND GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS | NA | Control |
| BATEJAN, GEORGE, SAMUEL | I | SENIOR V.P. GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS | NA | Control |
| BATEJAN, GEORGE, SAMUEL | I | SENIOR V.P. GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS | NA | Control |
| BATEJAN, GEORGE, SAMUEL | I | EXECUTIVE V.P. AND GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS | NA | Control |
| BATEJAN, GEORGE, SAMUEL | I | EXECUTIVE V.P. AND GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS | NA | Control |
| BATEJAN, GEORGE, SAMUEL | I | EXECUTIVE V.P. AND GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS | NA | Control |
| BATEJAN, GEORGE, SAMUEL | I | EXECUTIVE V.P. AND GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS | NA | Control |
| BATEJAN, GEORGE, SAMUEL | I | EXECUTIVE V.P. AND GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS | NA | Control |
| BATEJAN, GEORGE, SAMUEL | I | EXECUTIVE V.P. AND GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS | NA | Control |
| BATEJAN, GEORGE, SAMUEL | I | EXECUTIVE V.P. AND GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS | NA | Control |
| BATEJAN, GEORGE, SAMUEL | I | EXECUTIVE V.P. AND GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS | NA | Control |
| BATEJAN, GEORGE, SAMUEL | I | EXECUTIVE V.P. AND GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS | NA | Control |
| BATEJAN, GEORGE, SAMUEL | I | EXECUTIVE V.P. AND GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS | NA | Control |
| BATEJAN, GEORGE, SAMUEL | I | EXECUTIVE V.P. AND GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS | NA | Control |
| BATEJAN, GEORGE, SAMUEL | I | EXECUTIVE V.P. AND GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS | NA | Control |
| BATEJAN, GEORGE, SAMUEL | I | EXECUTIVE V.P. AND GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS | NA | Control |
| BATEJAN, GEORGE, SAMUEL | I | EXECUTIVE V.P. AND GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS | NA | Control |
| BATEJAN, GEORGE, SAMUEL | I | EXECUTIVE V.P. AND GLOBAL HEAD OF TECHNOLOGY AND OPERATIONS | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND CHIEF MARKETING OFFICER | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND CHIEF MARKETING OFFICER | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND CHIEF MARKETING OFFICER | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND HEAD OF INTERMEDIARY, DISTRUBUTION, GLOBAL MARKETING AND PRODUCT | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND HEAD OF U.S. DISTRIBUTION | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND HEAD OF INTERMEDIARY, DISTRUBUTION, GLOBAL MARKETING AND PRODUCT | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND HEAD OF U.S. DISTRIBUTION | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND HEAD OF U.S. DISTRIBUTION | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND CHIEF MARKETING OFFICER | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND CHIEF MARKETING OFFICER | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND CHIEF MARKETING OFFICER | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND CHIEF MARKETING OFFICER | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND CHIEF MARKETING OFFICER | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND HEAD OF INTERMEDIARY, DISTRUBUTION, GLOBAL MARKETING AND PRODUCT | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND HEAD OF INTERMEDIARY, DISTRUBUTION, GLOBAL MARKETING AND PRODUCT | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND HEAD OF INTERMEDIARY, DISTRUBUTION, GLOBAL MARKETING AND PRODUCT | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND HEAD OF U.S. DISTRIBUTION | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND HEAD OF U.S. DISTRIBUTION | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND HEAD OF U.S. DISTRIBUTION | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND HEAD OF U.S. DISTRIBUTION | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND HEAD OF U.S. DISTRIBUTION | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND HEAD OF U.S. DISTRIBUTION | NA | Control |
| BEERY, ROBIN | I | EXECUTIVE V.P. AND HEAD OF U.S. DISTRIBUTION | NA | Control |
| BEERY, ROBIN, CHRISTINE | I | SENIOR V.P. AND CHIEF MARKETING OFFICER | NA | Control |
| BEERY, ROBIN, CHRISTINE | I | SENIOR V.P. AND CHIEF MARKETING OFFICER | NA | Control |
| BEERY, ROBIN, CHRISTINE | I | CHIEF MARKETING OFFICER | NA | Control |
| BEERY, ROBIN, CHRISTINE | I | CHIEF MARKETING OFFICER | NA | Control |
| BEERY, ROBIN, CHRISTINE | I | SENIOR V.P. AND CHIEF MARKETING OFFICER | NA | Control |
| BEERY, ROBIN, CHRISTINE | I | SENIOR V.P. AND CHIEF MARKETING OFFICER | NA | Control |
| BEERY, ROBIN, CHRISTINE | I | SENIOR V.P. AND CHIEF MARKETING OFFICER | NA | Control |
| BLACK, GARY, DOUGLAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| BLACK, GARY, DOUGLAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| BLACK, GARY, DOUGLAS | I | CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER | NA | Control |
| BLACK, GARY, DOUGLAS | I | PRESIDENT, CHIEF INVESTMENT OFFICER | NA | Control |
| BLACK, GARY, DOUGLAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| BLACK, GARY, DOUGLAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| BLACK, GARY, DOUGLAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| BLACK, GARY, DOUGLAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| BLACK, GARY, DOUGLAS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| BLACK, GARY, DOUGLAS | I | PRESIDENT, CHIEF INVESTMENT OFFICER | NA | Control |
| BLACK, GARY, DOUGLAS | I | PRESIDENT, CHIEF INVESTMENT OFFICER | NA | Control |
| BLUHER, JOHN, HALE | I | SECRETARY, EXECUTIVE V.P., AND CHIEF PUBLIC AFFAIRS OFFICER | NA | Control |
| BLUHER, JOHN, HALE | I | SECRETARY, EXECUTIVE V.P., AND CHIEF PUBLIC AFFAIRS OFFICER | NA | Control |
| BLUHER, JOHN, HALE | I | SECRETARY, EXECUTIVE V.P., AND CHIEF PUBLIC AFFAIRS OFFICER | NA | Control |
| BLUHER, JOHN, HALE | I | SECRETARY, SENIOR V.P., AND CHIEF PUBLIC AFFAIRS OFFICER | NA | Control |
| CARPENTER, DANNY, RAY | I | DIRECTOR | NA | Control |
| CARPENTER, DANNY, RAY | I | INTERIM DIRECTOR | NA | Control |
| CHANG, ENRIQUE | I | CHIEF INVESTMENT OFFICER OF EQUITIES AND ASSET ALLOCATION | NA | Control |
| CHANG, ENRIQUE | I | CHIEF INVESTMENT OFFICER OF EQUITIES AND ASSET ALLOCATION | NA | Control |
| CHANG, ENRIQUE | I | CHIEF INVESTMENT OFFICER OF EQUITIES AND ASSET ALLOCATION | NA | Control |
| CHANG, ENRIQUE | I | CHIEF INVESTMENT OFFICER OF EQUITIES AND ASSET ALLOCATION | NA | Control |
| CHANG, ENRIQUE | I | CHIEF INVESTMENT OFFICER OF EQUITIES AND ASSET ALLOCATION | NA | Control |
| CHANG, ENRIQUE | I | CHIEF INVESTMENT OFFICER OF EQUITIES AND ASSET ALLOCATION | NA | Control |
| CHANG, ENRIQUE | I | CHIEF INVESTMENT OFFICER OF EQUITIES AND ASSET ALLOCATION | NA | Control |
| CHANG, ENRIQUE | I | CHIEF INVESTMENT OFFICER OF EQUITIES AND ASSET ALLOCATION | NA | Control |
| CHANG, ENRIQUE | I | CHIEF INVESTMENT OFFICER OF EQUITIES AND ASSET ALLOCATION | NA | Control |
| CHANG, ENRIQUE | I | CHIEF INVESTMENT OFFICER OF EQUITIES AND ASSET ALLOCATION | NA | Control |
| CHANG, ENRIQUE | I | HEAD OF INVESTMENTS | NA | Control |
| CHANG, ENRIQUE | I | HEAD OF INVESTMENTS | NA | Control |
| CHANG, ENRIQUE, DE JESUS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CHANG, ENRIQUE, DE JESUS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CHANG, ENRIQUE, DE JESUS | I | HEAD OF INVESTMENTS | NA | Control |
| CHANG, ENRIQUE, DE JESUS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CHANG, ENRIQUE, DE JESUS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CHANG, ENRIQUE, DE JESUS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CHANG, ENRIQUE, DE JESUS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CHANG, ENRIQUE, DE JESUS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CHANG, ENRIQUE, DE JESUS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CHANG, ENRIQUE, DE JESUS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CHANG, ENRIQUE, DE JESUS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CHANG, ENRIQUE, DE JESUS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CHANG, ENRIQUE, DE JESUS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CHANG, ENRIQUE, DE JESUS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CHANG, ENRIQUE, DE JESUS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CHANG, ENRIQUE, DE JESUS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CHANG, ENRIQUE, DE JESUS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CHANG, ENRIQUE, DE JESUS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CHANG, ENRIQUE, DE JESUS | I | CHIEF INVESTMENT OFFICER | NA | Control |
| CHARLES, DANIEL | I | EXECUTIVE V.P. MANAGING DIRECTOR OF JANUS CAPITAL GROUP INSTITUTIONAL | NA | Control |
| CHARLES, DANIEL | I | SENIOR V.P. MANAGING DIRECTOR OF JIIAM | NA | Control |
| CHEH, AUGUSTUS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CHEH, AUGUSTUS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CHEH, AUGUSTUS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CHEH, AUGUSTUS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CHEH, AUGUSTUS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CHEH, AUGUSTUS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CHEH, AUGUSTUS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CHEH, AUGUSTUS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CHEH, AUGUSTUS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CHEH, AUGUSTUS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CHEH, AUGUSTUS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CHEH, AUGUSTUS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CHEH, AUGUSTUS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CHEH, AUGUSTUS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CHEH, AUGUSTUS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CHEH, AUGUSTUS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CHEH, AUGUSTUS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CHEH, AUGUSTUS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CHEH, AUGUSTUS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CHEH, AUGUSTUS, WING CHUN | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| COLEMAN, JONATHAN, DANIEL | I | CO-CHIEF INVESTMENT OFFICER & VICE PRESIDENT | NA | Control |
| COLEMAN, JONATHAN, DANIEL | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| COLEMAN, JONATHAN, DANIEL | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| COLEMAN, JONATHAN, DANIEL | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| COLEMAN, JONATHAN, DANIEL | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| COLEMAN, JONATHAN, DANIEL | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| COLEMAN, JONATHAN, DANIEL | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| COLEMAN, JONATHAN, DANIEL | I | CO-CHIEF INVESTMENT OFFICER & VICE PRESIDENT | NA | Control |
| COLEMAN, JONATHAN, DANIEL | I | CO-CHIEF INVESTMENT OFFICER & VICE PRESIDENT | NA | Control |
| COLEMAN, JONATHAN, DANIEL | I | CO-CHIEF INVESTMENT OFFICER & VICE PRESIDENT | NA | Control |
| COLEMAN, JONATHAN, DANIEL | I | CO-CHIEF INVESTMENT OFFICER & VICE PRESIDENT | NA | Control |
| COLEMAN, JONATHAN, DANIEL | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE VICE PRESIDENT | NA | Control |
| COLEMAN, JONATHAN, DANIEL | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| COLEMAN, JONATHAN, DANIEL | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| COLEMAN, JONATHAN, DANIEL | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| COLEMAN, JONATHAN, DANIEL | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| COLEMAN, JONATHAN, DANIEL | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| COLEMAN, JONATHAN, DANIEL | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| COLEMAN, JONATHAN, DANIEL | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| COLEMAN, JONATHAN, DANIEL | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| COLEMAN, JONATHAN, DANIEL | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| CONNEALY, DANIEL, PAUL | I | DIRECTOR | NA | Control |
| CONNEALY, DANIEL, PAUL | I | INTERIM DIRECTOR | NA | Control |
| CRAWFORD, BERG, ASHTON | I | CHIEF ACCOUNTING OFFICER | NA | Control |
| CRAWFORD, BERG, ASHTON | I | CHIEF ACCOUNTING OFFICER | NA | Control |
| CRAWFORD, BERG, ASHTON | I | CHIEF ACCOUNTING OFFICER | NA | Control |
| CRAWFORD, BERG, ASHTON | I | CHIEF ACCOUNTING OFFICER | NA | Control |
| CRAWFORD, BERG, ASHTON | I | CHIEF ACCOUNTING OFFICER | NA | Control |
| Crawford, Berg | I | CHIEF ACCOUNTING OFFICER | NA | Control |
| EARLY, THOMAS, ALAN | I | SENIOR V.P., CHIEF CORPORATE AFFAIRS OFFICER, AND SECRETARY | NA | Control |
| EARLY, THOMAS, ALAN | I | SENIOR V.P., CHIEF CORPORATE AFFAIRS OFFICER, AND SECRETARY | NA | Control |
| EARLY, THOMAS, ALAN | I | V.P., GENERAL COUNSEL | NA | Control |
| EARLY, THOMAS, ALAN | I | V.P., GENERAL COUNSEL | NA | Control |
| EARLY, THOMAS, ALAN | I | DIRECTOR, V.P., GENERAL COUNSEL | NA | Control |
| EARLY, THOMAS, ALAN | I | INTERIM DIRECTOR, V.P., GENERAL COUNSEL | NA | Control |
| EARLY, THOMAS, ALAN | I | SENIOR V.P., CHIEF CORPORATE AFFAIRS OFFICER, GENERAL COUNSEL AND SECRETARY | NA | Control |
| ELDER, MICHAEL, DREW | I | SVP, HEAD OF NORTH AMERICAN DISTRIBUTION | NA | Control |
| ELDER, MICHAEL, DREW | I | SVP, HEAD OF NORTH AMERICAN DISTRIBUTION | NA | Control |
| ELDER, MICHAEL, DREW | I | SVP, HEAD OF NORTH AMERICAN DISTRIBUTION | NA | Control |
| ELDER, MICHAEL, DREW | I | SVP, HEAD OF NORTH AMERICAN DISTRIBUTION | NA | Control |
| ELDER, MICHAEL, DREW | I | SVP, HEAD OF NORTH AMERICAN DISTRIBUTION | NA | Control |
| ELDER, MICHAEL, DREW | I | SVP, HEAD OF NORTH AMERICAN DISTRIBUTION | NA | Control |
| FOUST, CURT, ROBERT | I | DIRECTOR | NA | Control |
| FOUST, CURT, ROBERT | I | INTERIM DIRECTOR | NA | Control |
| FROST, GREGORY, A. | I | EXECUTIVE V.P., TREASURER AND CHIEF FINANCIAL OFFICER | NA | Control |
| FROST, GREGORY, A. | I | EXECUTIVE V.P., TREASURER AND CHIEF FINANCIAL OFFICER | NA | Control |
| FROST, GREGORY, A. | I | EXECUTIVE V.P., TREASURER AND CHIEF FINANCIAL OFFICER | NA | Control |
| FROST, GREGORY, A. | I | EXECUTIVE V.P., TREASURER AND CHIEF FINANCIAL OFFICER | NA | Control |
| FROST, GREGORY, A. | I | EXECUTIVE V.P., TREASURER AND CHIEF FINANCIAL OFFICER | NA | Control |
| FROST, GREGORY, A. | I | EXECUTIVE V.P., TREASURER AND CHIEF FINANCIAL OFFICER | NA | Control |
| FROST, GREGORY, A. | I | EXECUTIVE V.P., TREASURER AND CHIEF FINANCIAL OFFICER | NA | Control |
| FROST, GREGORY, ALAN | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| FROST, GREGORY, ALAN | I | EXECUTIVE V.P. AND CHIEF FINANCIAL OFFICER | NA | Control |
| FROST, GREGORY, ALAN | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| FROST, GREGORY, ALAN | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| FROST, GREGORY, ALAN | I | SENIOR V.P. AND CHIEF FINANCIAL OFFICER | NA | Control |
| GOFF, JAMES, PAUL | I | V.P., DIRECTOR OF RESEARCH | NA | Control |
| GOFF, JAMES, PAUL | I | V.P., DIRECTOR OF RESEARCH | NA | Control |
| GOFF, JAMES, PAUL | I | V.P., DIRECTOR OF RESEARCH | NA | Control |
| GRACE, SCOTT | I | SENIOR V.P. AND TREASURER | NA | Control |
| HARDIN, HEIDI, J | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, J | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, J | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, J | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, J | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, J | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, W. | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, W. | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, W. | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, W. | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, W. | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, W. | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, W. | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, W. | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, W. | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, W. | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, W. | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, W. | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, W. | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, W. | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, WALTER | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, WALTER | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, WALTER | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HARDIN, HEIDI, WALTER | I | SENIOR V.P., GENERAL COUNSEL AND SECRETARY | NA | Control |
| HAYES, HELEN, YOUNG | I | DIRECTOR, EXEC V.P. | NA | Control |
| HAYES, HELEN, YOUNG | I | V.P., MANAGING DIRECTOR OF INVESTMENTS | NA | Control |
| HAYES, HELEN, YOUNG | I | V.P., MANAGING DIRECTOR OF INVESTMENTS | NA | Control |
| HERMAN, MICHAEL, EDWARD | I | DIRECTOR | NA | Control |
| HERMAN, MICHAEL, EDWARD | I | DIRECTOR | NA | Control |
| HOWES, KELLEY | I | EXECUTIVE V.P. AND CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| HOWES, KELLEY | I | EXECUTIVE V.P. AND CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| HOWES, KELLEY | I | EXECUTIVE V.P. | NA | Control |
| HOWES, KELLEY | I | EXECUTIVE V.P. AND CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| HOWES, KELLEY, DAWN ABBOTT | I | SENIOR V.P., GENERAL COUNSEL, AND SECRETARY | NA | Control |
| HOWES, KELLEY, DAWN ABBOTT | I | SENIOR V.P., GENERAL COUNSEL | NA | Control |
| HOWES, KELLEY, DAWN ABBOTT | I | V.P. OF DOMESTIC FUNDS, GENERAL COUNSEL | NA | Control |
| HOWES, KELLEY, DAWN ABBOTT | I | V.P. OF DOMESTIC FUNDS, GENERAL COUNSEL | NA | Control |
| HOWES, KELLEY, DAWN ABBOTT | I | SENIOR V.P., GENERAL COUNSEL | NA | Control |
| HOWES, KELLEY, DAWN ABBOTT | I | SENIOR V.P., GENERAL COUNSEL | NA | Control |
| HOWES, KELLEY, DAWN ABBOTT | I | SENIOR V.P., GENERAL COUNSEL, AND SECRETARY | NA | Control |
| HOWES, KELLEY, DAWN ABBOTT | I | SENIOR V.P., GENERAL COUNSEL, AND SECRETARY | NA | Control |
| HOWES, KELLEY, DAWN ABBOTT | I | DIRECTOR | NA | Control |
| HOWES, KELLEY, DAWN ABBOTT | I | INTERIM DIRECTOR | NA | Control |
| HOWES, KELLEY, DAWN ABBOTT | I | EXECUTIVE V.P. | NA | Control |
| HOWES, KELLEY, DAWN ABBOTT | I | SENIOR V.P., GENERAL COUNSEL | NA | Control |
| HOWES, KELLEY, DAWN ABBOTT | I | V.P. OF DOMESTIC FUNDS, GENERAL COUNSEL | NA | Control |
| HUDNER, RAYMOND, TIMOTHY | I | SENIOR V.P. OF OPERATIONS AND TECHNOLOGY | NA | Control |
| HUDNER, RAYMOND, TIMOTHY | I | SENIOR V.P. OF OPERATIONS AND TECHNOLOGY | NA | Control |
| HUDNER, RAYMOND, TIMOTHY | I | V.P., CHIEF TECHNOLOGY OFFICER | NA | Control |
| HUDNER, RAYMOND, TIMOTHY | I | V.P., CHIEF TECHNOLOGY OFFICER | NA | Control |
| HUDNER, RAYMOND, TIMOTHY | I | V.P., CHIEF TECHNOLOGY OFFICER | NA | Control |
| HUDNER, RAYMOND, TIMOTHY | I | V.P., CHIEF TECHNOLOGY OFFICER | NA | Control |
| HUDNER, RAYMOND, TIMOTHY | I | SENIOR V.P. OF OPERATIONS AND TECHNOLOGY | NA | Control |
| HUDNER, RAYMOND, TIMOTHY | I | SENIOR V.P. OF OPERATIONS AND TECHNOLOGY | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, BRENNAN, ALLEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| INGRAM, JOHN | I | HEAD OF ADVISER DISTRIBUTION | NA | Control |
| INGRAM, JOHN | I | HEAD OF ADVISER DISTRIBUTION | NA | Control |
| INGRAM, JOHN | I | HEAD OF ADVISER DISTRIBUTION | NA | Control |
| INGRAM, JOHN | I | HEAD OF ADVISER DISTRIBUTION | NA | Control |
| INGRAM, JOHN | I | HEAD OF ADVISER DISTRIBUTION | NA | Control |
| INGRAM, JOHN | I | HEAD OF ADVISER DISTRIBUTION | NA | Control |
| INGRAM, JOHN | I | HEAD OF ADVISER DISTRIBUTION | NA | Control |
| INGRAM, JOHN | I | HEAD OF ADVISER DISTRIBUTION | NA | Control |
| INGRAM, JOHN | I | HEAD OF ADVISER DISTRIBUTION | NA | Control |
| INGRAM, JOHN | I | HEAD OF ADVISER DISTRIBUTION | NA | Control |
| INGRAM, JOHN | I | HEAD OF ADVISER DISTRIBUTION | NA | Control |
| INGRAM, JOHN | I | HEAD OF ADVISER DISTRIBUTION | NA | Control |
| INGRAM, JOHN | I | HEAD OF ADVISER DISTRIBUTION | NA | Control |
| INGRAM, JOHN | I | HEAD OF ADVISER DISTRIBUTION | NA | Control |
| INGRAM, JOHN | I | HEAD OF ADVISER DISTRIBUTION | NA | Control |
| ISEMAN, ANDREW | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| ISEMAN, ANDREW | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| ISEMAN, ANDREW | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| KOEPFGEN, BRUCE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| KOEPFGEN, BRUCE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| KOEPFGEN, BRUCE | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| KOEPFGEN, BRUCE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| KOEPFGEN, BRUCE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| KOEPFGEN, BRUCE | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOEPFGEN, BRUCE, LEWIS | I | PRESIDENT | NA | Control |
| KOWALSKI, DAVID | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | V.P., CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | V.P., CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | V.P., CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | V.P., CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | SENIOR V.P. OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | CHIEF RISK OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | CHIEF RISK OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| KOWALSKI, DAVID, RICHARD | I | CHIEF RISK OFFICER | NA | Control |
| Lowry, James, Robert | I | CHIEF OPERATING OFFICER | NA | Control |
| Lowry, James, Robert | I | CHIEF OPERATING OFFICER | NA | Control |
| Lowry, James, Robert | I | CHIEF OPERATING OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARTELLARO, DOMINIC, CARL | I | EXECUTIVE V.P. | NA | Control |
| MARTELLARO, DOMINIC, CARL | I | EXECUTIVE V.P. | NA | Control |
| MARTELLARO, DOMINIC, CARL | I | EXECUTIVE V.P. | NA | Control |
| MARTELLARO, DOMINIC, CARL | I | EXECUTIVE V.P. | NA | Control |
| MARTELLARO, DOMINIC, CARL | I | EXECUTIVE V.P. | NA | Control |
| MARTELLARO, DOMINIC, CARL | I | EXECUTIVE V.P. | NA | Control |
| MARTELLARO, DOMINIC, CARL | I | EXECUTIVE V.P. | NA | Control |
| MARTELLARO, DOMINIC, CARL | I | EXECUTIVE V.P. | NA | Control |
| MARTIN, DAVID, ROBERT | I | EXECUTIVE V.P. AND CHIEF FINANCIAL OFFICER | NA | Control |
| MARTIN, DAVID, ROBERT | I | EXECUTIVE V.P. AND CHIEF FINANCIAL OFFICER | NA | Control |
| MARTIN, DAVID, ROBERT | I | EXECUTIVE V.P. AND CHIEF FINANCIAL OFFICER | NA | Control |
| MCDONNELL, THOMAS, ABBOTT | I | DIRECTOR | NA | Control |
| MCDONNELL, THOMAS, ABBOTT | I | DIRECTOR | NA | Control |
| MCPEEK, JENNIFER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCPEEK, JENNIFER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCPEEK, JENNIFER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCPEEK, JENNIFER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCPEEK, JENNIFER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCPEEK, JENNIFER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCPEEK, JENNIFER, JOYCE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCPEEK, JENNIFER, JOYCE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCPEEK, JENNIFER, JOYCE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCPEEK, JENNIFER, JOYCE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCPEEK, JENNIFER, JOYCE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCPEEK, JENNIFER, JOYCE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCPEEK, JENNIFER, JOYCE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCPEEK, JENNIFER, JOYCE | I | CHIEF OPERATING AND STRATEGY OFFICER | NA | Control |
| MCPEEK, JENNIFER, JOYCE | I | CHIEF OPERATING AND STRATEGY OFFICER | NA | Control |
| MCPEEK, JENNIFER, JOYCE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCPEEK, JENNIFER, JOYCE | I | CHIEF OPERATING AND STRATEGY OFFICER | NA | Control |
| MILLER, GIRARD, CECIL | I | EXECUTIVE V.P. AND CHIEF OPERATING OFFICER | NA | Control |
| MILLER, GIRARD, CECIL | I | EXECUTIVE V.P. AND CHIEF OPERATING OFFICER | NA | Control |
| MILLER, GIRARD, CECIL | I | EXECUTIVE V.P. AND CHIEF OPERATING OFFICER | NA | Control |
| MILLER, GIRARD, CECIL | I | EXECUTIVE V.P. AND CHIEF OPERATING OFFICER | NA | Control |
| MILLER, GIRARD, CECIL | I | EXECUTIVE V.P. AND CHIEF OPERATING OFFICER | NA | Control |
| NOVEK, STUART, LEE | I | V.P., CHIEF MARKETING OFFICER | NA | Control |
| NOVEK, STUART, LEE | I | V.P., CHIEF MARKETING OFFICER | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | SENIOR VICE PRESIDENT, DEPUTY GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | SENIOR VICE PRESIDENT, DEPUTY GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | SENIOR VICE PRESIDENT, DEPUTY GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | DEPUTY GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | DEPUTY GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | SENIOR VICE PRESIDENT, DEPUTY GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | DEPUTY GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | DEPUTY GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | DEPUTY GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | PRESIDENT AND GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | PRESIDENT AND GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | PRESIDENT AND GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | PRESIDENT AND GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | PRESIDENT AND GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | PRESIDENT AND GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | PRESIDENT AND GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | PRESIDENT AND GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | PRESIDENT AND GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | PRESIDENT AND GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | PRESIDENT AND GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | PRESIDENT AND GENERAL COUNSEL | NA | Control |
| ROSENBERG, MICHELLE, ROSE | I | PRESIDENT AND GENERAL COUNSEL | NA | Control |
| ROWLAND, LANDON, HILL | I | DIRECTOR | NA | Control |
| ROWLAND, LANDON, HILL | I | DIRECTOR | NA | Control |
| ROYLE, GUINEVERE, EVE | I | DIRECTOR | NA | Control |
| ROYLE, GUINEVERE, EVE | I | INTERIM DIRECTOR | NA | Control |
| RULH, GARY, JAMES | I | SENIOR V.P. AND CHIEF TECHNOLOGY OFFICER | NA | Control |
| SABA, STEVEN, RICHARD | I | CHIEF ACCOUNTING OFFICER | NA | Control |
| SCHEID, STEVEN, L | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHEID, STEVEN, L | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHEID, STEVEN, L | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, RICHARD | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| SMITH, RICHARD | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| SMITH, RICHARD | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| SMITH, RICHARD | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| SMITH, RICHARD | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| SMITH, RICHARD | I | CHIEF INVESTMENT OFFICER, FIXED INCOME | NA | Control |
| SMITH, RICHARD | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| SMITH, RICHARD | I | CHIEF INVESTMENT OFFICER, FIXED INCOME | NA | Control |
| SMITH, RICHARD | I | CHIEF INVESTMENT OFFICER, FIXED INCOME | NA | Control |
| SMITH, RICHARD | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| SMITH, RICHARD | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| SMITH, RICHARD | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| SMITH, RICHARD | I | CHIEF INVESTMENT OFFICER, FIXED INCOME | NA | Control |
| SMITH, RICHARD | I | CHIEF INVESTMENT OFFICER, FIXED INCOME | NA | Control |
| SMITH, RICHARD, GIBSON | I | CO-CHIEF INVESTMENT OFFICER & VICE PRESIDENT | NA | Control |
| SMITH, RICHARD, GIBSON | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| SMITH, RICHARD, GIBSON | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| SMITH, RICHARD, GIBSON | I | CO-CHIEF INVESTMENT OFFICER & VICE PRESIDENT | NA | Control |
| SMITH, RICHARD, GIBSON | I | CO-CHIEF INVESTMENT OFFICER & VICE PRESIDENT | NA | Control |
| SMITH, RICHARD, GIBSON | I | CO-CHIEF INVESTMENT OFFICER & VICE PRESIDENT | NA | Control |
| SMITH, RICHARD, GIBSON | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE VICE PRESIDENT | NA | Control |
| SMITH, RICHARD, GIBSON | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| SMITH, RICHARD, GIBSON | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| SMITH, RICHARD, GIBSON | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| SMITH, RICHARD, GIBSON | I | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | NA | Control |
| SMITH, RICHARD, GIBSON | I | CHIEF INVESTMENT OFFICER, FIXED INCOME | NA | Control |
| SMITH, RICHARD, GIBSON | I | CHIEF INVESTMENT OFFICER, FIXED INCOME | NA | Control |
| SMITH, RICHARD, GIBSON | I | CHIEF INVESTMENT OFFICER, FIXED INCOME | NA | Control |
| SMITH, RICHARD, GIBSON | I | CHIEF INVESTMENT OFFICER, FIXED INCOME | NA | Control |
| SMITH, RICHARD, GIBSON | I | CHIEF INVESTMENT OFFICER, FIXED INCOME | NA | Control |
| SODERBERG, LARS, OLOF | I | EXECUTIVE VICE PRESIDENT AND MANAGING DIRECTOR OF INSTITUTIONAL SERVICES | NA | Control |
| SODERBERG, LARS, OLOF | I | EXECUTIVE VICE PRESIDENT AND MANAGING DIRECTOR OF INSTITUTIONAL SERVICES | NA | Control |
| SODERBERG, LARS, OLOF | I | EXECUTIVE VICE PRESIDENT AND MANAGING DIRECTOR OF INSTITUTIONAL SERVICES | NA | Control |
| SODERBERG, LARS, OLOF | I | EXECUTIVE VICE PRESIDENT AND MANAGING DIRECTOR OF INSTITUTIONAL SERVICES | NA | Control |
| STARR, LOREN, MICHAEL | I | SENIOR V.P. AND CHIEF FINANCIAL OFFICER | NA | Control |
| STARR, LOREN, MICHAEL | I | SENIOR V.P. AND CHIEF FINANCIAL OFFICER | NA | Control |
| STARR, LOREN, MICHAEL | I | V.P., CHIEF FINANCIAL OFFICER | NA | Control |
| STARR, LOREN, MICHAEL | I | V.P., CHIEF FINANCIAL OFFICER | NA | Control |
| STARR, LOREN, MICHAEL | I | DIRECTOR, V.P., CHIEF FINANCIAL OFFICER | NA | Control |
| STARR, LOREN, MICHAEL | I | INTERIM DIRECTOR, V.P., CHIEF FINANCIAL OFFICER | NA | Control |
| STARR, LOREN, MICHAEL | I | SENIOR V.P. AND CHIEF FINANCIAL OFFICER | NA | Control |
| STARR, LOREN, MICHAEL | I | SENIOR V.P. AND CHIEF FINANCIAL OFFICER | NA | Control |
| STARR, LOREN, MICHAEL | I | SENIOR V.P. AND CHIEF FINANCIAL OFFICER | NA | Control |
| STOLPER, MICHAEL | I | DIRECTOR | NA | Control |
| STOLPER, MICHAEL | I | DIRECTOR | NA | Control |
| Schweitzer, Michael, Alan | I | HEAD OF RETAIL DISTRIBUTION NA | NA | Control |
| Schweitzer, Michael, Alan | I | HEAD OF RETAIL DISTRIBUTION NA | NA | Control |
| Schweitzer, Michael, Alan | I | HEAD OF RETAIL DISTRIBUTION NA | NA | Control |
| Schweitzer, Michael, Alan | I | HEAD OF RETAIL DISTRIBUTION NA | NA | Control |
| Schweitzer, Michael, Alan | I | HEAD OF RETAIL DISTRIBUTION NA | NA | Control |
| Schweitzer, Michael, Alan | I | HEAD OF RETAIL DISTRIBUTION NA | NA | Control |
| Schweitzer, Michael, Alan | I | HEAD OF RETAIL DISTRIBUTION NA | NA | Control |
| Schweitzer, Michael, Alan | I | HEAD OF NORTH AMERICA CLIENT GROUP | NA | Control |
| Schweitzer, Michael, Alan | I | HEAD OF NORTH AMERICA CLIENT GROUP | NA | Control |
| Schweitzer, Michael, Alan | I | HEAD OF NORTH AMERICA CLIENT GROUP | NA | Control |
| Schweitzer, Michael, Alan | I | HEAD OF NORTH AMERICA CLIENT GROUP | NA | Control |
| Schweitzer, Michael, Alan | I | HEAD OF NORTH AMERICA CLIENT GROUP | NA | Control |
| Schweitzer, Michael, Alan | I | HEAD OF NORTH AMERICA CLIENT GROUP | NA | Control |
| TYSON, RICHARD, E | I | SENIOR VICE PRESIDENT, GLOBAL HEAD OF OPERATIONS | NA | Control |
| TYSON, RICHARD, EARL | I | SENIOR VICE PRESIDENT, GLOBAL HEAD OF OPERATIONS | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEIL, RICHARD, MACCOY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WHISTON, MARK, BRADLEY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WHISTON, MARK, BRADLEY | I | V.P., PRES. OF RETAIL AND INSTITUTIONAL SERVICES | NA | Control |
| WHISTON, MARK, BRADLEY | I | V.P., PRES. OF RETAIL AND INSTITUTIONAL SERVICES | NA | Control |
| WHISTON, MARK, BRADLEY | I | V.P., PRES. OF RETAIL AND INSTITUTIONAL SERVICES | NA | Control |
| WHISTON, MARK, BRADLEY | I | V.P., PRES. OF RETAIL AND INSTITUTIONAL SERVICES | NA | Control |
| WHISTON, MARK, BRADLEY | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WOLD, SUSAN, KELLY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WOLD, SUSAN, KELLY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WOLD, SUSAN, KELLY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ZIMMERMAN, JOHN, WITHERSPOON | I | EXECUTIVE V.P. | NA | Control |
| ZIMMERMAN, JOHN, WITHERSPOON | I | EXECUTIVE V.P. | NA | Control |
| ZIMMERMAN, JOHN, WITHERSPOON | I | EXECUTIVE V.P. | NA | Control |
| ZIMMERMAN, JOHN, WITHERSPOON | I | EXECUTIVE V.P. | NA | Control |
| ZIMMERMAN, JOHN, WITHERSPOON | I | EXECUTIVE V.P. | NA | Control |
| JANUS CAPITAL CORPORATION | DE | SHAREHOLDER | E | Control |
| JANUS CAPITAL CORPORATION | DE | SHAREHOLDER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | SHAREHOLDER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | SHAREHOLDER | E | Control |
| JANUS CAPITAL GROUP INC | DE | SHAREHOLDER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | SHAREHOLDER | E | Control |
| JANUS CAPITAL GROUP INC | DE | SHAREHOLDER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | SHAREHOLDER | E | Control |
| JANUS CAPITAL GROUP INC | DE | SHAREHOLDER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | SHAREHOLDER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS CAPITAL GROUP INC | DE | MANAGING MEMBER | E | Control |
| JANUS HENDERSON US (HOLDINGS) INC. | DE | MANAGING MEMBER | E | Control |
| JANUS HENDERSON US (HOLDINGS) INC. | DE | MANAGING MEMBER | E | Control |
| JANUS HENDERSON US (HOLDINGS) INC. | DE | MANAGING MEMBER | E | Control |
| JANUS HENDERSON US (HOLDINGS) INC. | DE | MANAGING MEMBER | E | Control |
| JANUS HENDERSON US (HOLDINGS) INC. | DE | MANAGING MEMBER | E | Control |
| JANUS HENDERSON US (HOLDINGS) INC. | DE | MANAGING MEMBER | E | Control |
| JANUS HENDERSON US (HOLDINGS) INC. | DE | MANAGING MEMBER | E | Control |
| JANUS HENDERSON US (HOLDINGS) INC. | DE | MANAGING MEMBER | E | Control |
| JANUS HENDERSON US (HOLDINGS) INC. | DE | MANAGING MEMBER | E | Control |
| JANUS HENDERSON US (HOLDINGS) INC. | DE | MANAGING MEMBER | E | Control |
| JANUS HENDERSON US (HOLDINGS) INC. | DE | MANAGING MEMBER | E | Control |
| JANUS HENDERSON US (HOLDINGS) INC. | DE | MANAGING MEMBER | E | Control |
| JANUS HENDERSON US (HOLDINGS) INC. | DE | MANAGING MEMBER | E | Control |
| JANUS HENDERSON US (HOLDINGS) INC. | DE | MANAGING MEMBER | E | Control |
| JANUS HENDERSON US (HOLDINGS) INC. | DE | MANAGING MEMBER | E | Control |
| JANUS HENDERSON US (HOLDINGS) INC. | DE | MANAGING MEMBER | E | Control |
| JANUS HENDERSON US (HOLDINGS) INC. | DE | MANAGING MEMBER | E | Control |
| JANUS HENDERSON US (HOLDINGS) INC. | DE | MANAGING MEMBER | E | Control |
| STILWELL FINANCIAL, INC. | DE | SHAREHOLDER | E | Control |
| STILWELL FINANCIAL, INC. | DE | SHAREHOLDER | E | Control |
| BAILEY, THOMAS, HAGAN | I | PRES., DIR., CHRMN. OF BOARD, CEO | A | Control |
| BAILEY, THOMAS, HAGAN | I | PRES., DIR., CHRMN. OF BOARD, CEO | A | Control |
| JANUS HENDERSON MANAGEMENT US CORP. | DE | MEMBER | A | Control |
| JANUS HENDERSON MANAGEMENT US CORP. | DE | MEMBER | A | Control |
| JANUS HENDERSON MANAGEMENT US CORP. | DE | MEMBER | A | Control |
| JANUS HENDERSON MANAGEMENT US CORP. | DE | MEMBER | A | Control |
| JANUS HENDERSON MANAGEMENT US CORP. | DE | MEMBER | A | Control |
| JANUS HENDERSON MANAGEMENT US CORP. | DE | MEMBER | A | Control |
| JANUS HENDERSON MANAGEMENT US CORP. | DE | MEMBER | A | Control |
| JANUS HENDERSON MANAGEMENT US CORP. | DE | MEMBER | A | Control |
| JANUS HENDERSON MANAGEMENT US CORP. | DE | MEMBER | A | Control |
| JANUS HENDERSON MANAGEMENT US CORP. | DE | MEMBER | A | Control |
| JANUS HENDERSON MANAGEMENT US CORP. | DE | MEMBER | A | Control |
| JANUS HENDERSON MANAGEMENT US CORP. | DE | MEMBER | A | Control |
| JANUS HENDERSON MANAGEMENT US CORP. | DE | MEMBER | A | Control |
| JANUS HENDERSON MANAGEMENT US CORP. | DE | MEMBER | A | Control |
| JANUS HENDERSON MANAGEMENT US CORP. | DE | MEMBER | A | Control |
| JANUS HENDERSON MANAGEMENT US CORP. | DE | MEMBER | A | Control |
| JANUS HENDERSON MANAGEMENT US CORP. | DE | MEMBER | A | Control |
| JANUS HENDERSON MANAGEMENT US CORP. | DE | MEMBER | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | MEMBER | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | MEMBER | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | CORPORATION | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | MEMBER | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | MEMBER | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | MEMBER | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | MEMBER | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | MEMBER | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | MEMBER | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | MEMBER | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | MEMBER | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | MEMBER | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | MEMBER | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | MEMBER | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | MEMBER | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | MEMBER | A | Control |
| JANUS MANAGEMENT HOLDINGS CORPORATION | DE | MEMBER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| JANUS HENDERSON GROUP PLC | FE | JANUS CAPITAL GROUP INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS CAPITAL GROUP INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS CAPITAL GROUP INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS CAPITAL GROUP INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS CAPITAL GROUP INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS CAPITAL GROUP INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS CAPITAL GROUP INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS CAPITAL GROUP INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS CAPITAL GROUP INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS CAPITAL GROUP INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS CAPITAL GROUP INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS CAPITAL GROUP INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS CAPITAL GROUP INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS CAPITAL GROUP INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS CAPITAL GROUP INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS HENDERSON US (HOLDINGS) INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS HENDERSON US (HOLDINGS) INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS HENDERSON US (HOLDINGS) INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS CAPITAL GROUP INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS CAPITAL GROUP INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS HENDERSON US (HOLDINGS) INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS HENDERSON US (HOLDINGS) INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS HENDERSON US (HOLDINGS) INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS HENDERSON US (HOLDINGS) INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS HENDERSON US (HOLDINGS) INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS HENDERSON US (HOLDINGS) INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS HENDERSON US (HOLDINGS) INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS HENDERSON US (HOLDINGS) INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS HENDERSON US (HOLDINGS) INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS HENDERSON US (HOLDINGS) INC. | E | Control |
| JANUS HENDERSON GROUP PLC | FE | JANUS HENDERSON US (HOLDINGS) INC. | E | Control |
| STILWELL FINANCIAL, INC. | DE | JANUS CAPITAL CORPORATION | E | Control |
| STILWELL FINANCIAL, INC. | DE | JANUS CAPITAL CORPORATION | E | Control |
Registrations
Federal
IA
Sep 9, 2025 REGISTERED
Notice Filings (52)
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