MORLEY CAPITAL MANAGEMENT, INC.
CRD #105339 SEC #801-20608 PORTLAND, OR 503-484-9300
SEC Registered
Total AUM
$17B
Discretionary
$13.7B
Employees
27
Clients
--
Accounts
17
Firm Details
- Organization Type
- Corporation
- State of Formation
- Oregon
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 23, 2018
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BLAKE, DAVID, MICHAEL | I | DIRECTOR, EXECUTIVE VICE-PRESIDENT | NA | Control |
| BLAKE, DAVID, MICHAEL | I | DIRECTOR, EXECUTIVE VICE-PRESIDENT | NA | Control |
| BLAKE, DAVID, MICHAEL | I | DIRECTOR, EXECUTIVE VICE-PRESIDENT | NA | Control |
| BLAKE, DAVID, MICHAEL | I | DIRECTOR | NA | Control |
| BLAKE, DAVID, MICHAEL | I | DIRECTOR, EXECUTIVE VICE-PRESIDENT | NA | Control |
| BLAKE, DAVID, MICHAEL | I | DIRECTOR, EXECUTIVE VICE-PRESIDENT | NA | Control |
| BLAKE, DAVID, MICHAEL | I | DIRECTOR, EXECUTIVE VICE-PRESIDENT | NA | Control |
| BLAKE, DAVID, MICHAEL | I | DIRECTOR, EXECUTIVE VICE-PRESIDENT | NA | Control |
| BURROWS, GREGORY, JOHN | I | DIRECTOR | NA | Control |
| BURROWS, GREGORY, JOHN | I | DIRECTOR | NA | Control |
| BURROWS, GREGORY, JOHN | I | DIRECTOR | NA | Control |
| BURROWS, GREGORY, JOHN | I | DIRECTOR | NA | Control |
| BURROWS, GREGORY, JOHN | I | DIRECTOR | NA | Control |
| BURROWS, GREGORY, JOHN | I | DIRECTOR | NA | Control |
| Brady, Elizabeth, Strand | I | DIRECTOR | NA | Control |
| CASTAGNA, DOUGLAS, DONALD | I | SENIOR VICE PRESIDENT, US HEAD OF FINANCE AND ACCOUNTING | NA | |
| CASTAGNA, DOUGLAS, DONALD | I | SENIOR VICE PRESIDENT, HEAD OF FINANCE AND ACCOUNTING | NA | |
| CASTAGNA, DOUGLAS, DONALD | I | SENIOR VICE PRESIDENT, HEAD OF FINANCE AND ACCOUNTING | NA | |
| CASTAGNA, DOUGLAS, DONALD | I | SENIOR VICE PRESIDENT, HEAD OF FINANCE AND ACCOUNTING | NA | |
| CASTAGNA, DOUGLAS, DONALD | I | SENIOR VICE PRESIDENT, HEAD OF FINANCE AND ACCOUNTING | NA | |
| CHIN, YOUNG, DUCHUNG | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER, EQUITIES | NA | Control |
| CROSSETT, KEVIN, STEPHEN | I | EXECUTIVE VICE PRESIDENT AND GLOBAL GENERAL COUNSEL | NA | |
| CUNIFF, JILL, REMBIE | I | MANAGING DIRECTOR-CHIEF INVESTMENT OFFICER | NA | Control |
| CUNIFF, JILL, REMBIE | I | MANAGING DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| CUNIFF, JILL, REMBIE | I | MANAGING DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| CUNIFF, JILL, REMBIE | I | DIRECTOR, PRESIDENT, CHIEF INVESTMENT OFFICER | NA | Control |
| CUNIFF, JILL, REMBIE | I | MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER | NA | Control |
| CUNIFF, JILL, REMBIE | I | MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER | NA | Control |
| CUNIFF, JILL, REMBIE | I | MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER | NA | Control |
| CUNIFF, JILL, REMBIE | I | MANAGING DIRECTOR | NA | Control |
| CUNIFF, JILL, REMBIE | I | MANAGING DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| CUNIFF, JILL, REMBIE | I | DIRECTOR, PRESIDENT, CHIEF INVESTMENT OFFICER | NA | Control |
| CUNIFF, JILL, REMBIE | I | DIRECTOR | NA | Control |
| FERBER, STEVEN, ELLIS | I | DIRECTOR, SENIOR VICE PRESIDENT-SALES AND MARKETING | NA | Control |
| FERBER, STEVEN, ELLIS | I | DIRECTOR, SENIOR VICE PRESIDENT-SALES AND MARKETING | NA | Control |
| FINLEY, WILLIAM, MATT | I | DIRECTOR/CHIEF INVESTMENT OFFICER | NA | Control |
| FINLEY, WILLIAM, MATT | I | CHIEF INVESTMENT OFFICER | NA | Control |
| FINLEY, WILLIAM, MATT | I | DIRECTOR/CHIEF INVESTMENT OFFICER | NA | Control |
| FINLEY, WILLIAM, MATT | I | DIRECTOR/CHIEF INVESTMENT OFFICER | NA | Control |
| FINLEY, WILLIAM, MATT | I | DIRECTOR/CHIEF INVESTMENT OFFICER | NA | Control |
| FINLEY, WILLIAM, MATT | I | DIRECTOR/CHIEF INVESTMENT OFFICER | NA | Control |
| FINLEY, WILLIAM, MATT | I | DIRECTOR/CHIEF INVESTMENT OFFICER | NA | Control |
| FINLEY, WILLIAM, MATT | I | DIRECTOR/CHIEF INVESTMENT OFFICER | NA | Control |
| FINLEY, WILLIAM, MATT | I | DIRECTOR/CHIEF INVESTMENT OFFICER | NA | Control |
| FINLEY, WILLIAM, MATT | I | DIRECTOR/CHIEF INVESTMENT OFFICER | NA | Control |
| FINLEY, WILLIAM, MATT | I | DIRECTOR/CHIEF INVESTMENT OFFICER | NA | Control |
| FINLEY, WILLIAM, MATT | I | DIRECTOR/CHIEF INVESTMENT OFFICER | NA | Control |
| FINLEY, WILLIAM, MATT | I | DIRECTOR/CHIEF INVESTMENT OFFICER | NA | Control |
| GHAZANFARI, ALEXANDER, WILLIAMS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GHAZANFARI, ALEXANDER, WILLIAMS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GHAZANFARI, ALEXANDER, WILLIAMS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GHAZANFARI, ALEXANDER, WILLIAMS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GHAZANFARI, ALEXANDER, WILLIAMS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GHAZANFARI, ALEXANDER, WILLIAMS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GHAZANFARI, ALEXANDER, WILLIAMS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GHAZANFARI, ALEXANDER, WILLIAMS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GHAZANFARI, ALEXANDER, WILLIAMS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GHAZANFARI, ALEXANDER, WILLIAMS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GRADY, JOHN, HENRY | I | PRESIDENT, NWD INVESTMENTS | NA | Control |
| GRADY, JOHN, HENRY | I | PRESIDENT, NWD INVESTMENTS | NA | Control |
| GRADY, JOHN, HENRY | I | PRESIDENT, NATIONWIDE FUNDS GROUP | NA | Control |
| HALTER, PATRICK, GREGORY | I | DIRECTOR | NA | Control |
| HEATH, RONALD, WILLIAM | I | MANAGING DIRECTOR - SALES & MARKETING | NA | Control |
| HEATH, RONALD, WILLIAM | I | MANAGING DIRECTOR - SALES & MARKETING | NA | Control |
| HEATH, RONALD, WILLIAM | I | PRESIDENT | NA | Control |
| HEATH, RONALD, WILLIAM | I | PRESIDENT | NA | Control |
| HEATH, RONALD, WILLIAM | I | MANAGING DIRECTOR - SALES & MARKETING | NA | Control |
| HEATH, RONALD, WILLIAM | I | MANAGING DIRECTOR - SALES & MARKETING | NA | Control |
| HEATH, RONALD, WILLIAM | I | MANAGING DIRECTOR - SALES & MARKETING | NA | Control |
| HEATH, RONALD, WILLIAM | I | PRESIDENT | NA | Control |
| HEATH, RONALD, WILLIAM | I | PRESIDENT | NA | Control |
| HEATH, RONALD, WILLIAM | I | DIRECTOR/PRESIDENT | NA | Control |
| HEATH, RONALD, WILLIAM | I | DIRECTOR/PRESIDENT | NA | Control |
| HEATH, RONALD, WILLIAM | I | DIRECTOR/PRESIDENT | NA | Control |
| HILLER, JEFFREY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HILLER, JEFFREY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HILLER, JEFFREY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HILLER, JEFFREY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HITTNER, JILL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HITTNER, JILL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HITTNER, JILL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HITTNER, JILL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HITTNER, JILL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HITTNER, JILL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HITTNER, JILL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HITTNER, JILL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HITTNER, JILL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HITTNER, JILL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HITTNER, JILL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HITTNER, JILL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HITTNER, JILL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HITTNER, JILL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HITTNER, JILL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HITTNER, JILL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HITTNER, JILL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HOLLAND, GERALD, JAMES | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| HOLLAND, GERALD, JAMES | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| HOLLAND, GERALD, JAMES | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | |
| HOLLAND, GERALD, JAMES | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| HOLLAND, GERALD, JAMES | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | |
| HONDROS, PAUL, JAMES | I | DIRECTOR, VICE CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| HONDROS, PAUL, JAMES | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| HONDROS, PAUL, JAMES | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| HONDROS, PAUL, JAMES | I | DIRECTOR, PRESIDENT & CEO | NA | Control |
| HOUSTON, DANIEL, JOSEPH | I | DIRECTOR | NA | Control |
| HOUSTON, DANIEL, JOSEPH | I | DIRECTOR | NA | Control |
| HOUSTON, DANIEL, JOSEPH | I | DIRECTOR | NA | Control |
| HOUSTON, DANIEL, JOSEPH | I | DIRECTOR | NA | Control |
| HOUSTON, DANIEL, JOSEPH | I | DIRECTOR | NA | Control |
| HOUSTON, DANIEL, JOSEPH | I | DIRECTOR | NA | Control |
| Jones, Kathryn, Lynn | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Jones, Kathryn, Lynn | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Jones, Kathryn, Lynn | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KRULIKOWSKI, MICHAEL, ADAM | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | |
| KRULIKOWSKI, MICHAEL, ADAM | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | |
| KRULIKOWSKI, MICHAEL, ADAM | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| KRULIKOWSKI, MICHAEL, ADAM | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | |
| KRULIKOWSKI, MICHAEL, ADAM | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| MCAFEE, KAREN, LYNN | I | SENIOR VICE PRESIDENT AND DIRECTOR OF TRADING AND OPERATIONS | NA | |
| MCAFEE, KAREN, LYNN | I | SENIOR VICE PRESIDENT AND DIRECTOR OF TRADING AND OPERATIONS | NA | |
| MCAFEE, KAREN, LYNN | I | SENIOR VICE PRESIDENT AND DIRECTOR OF TRADING AND OPERATIONS | NA | Control |
| MCAFEE, KAREN, LYNN | I | DIRECTOR OF OPERATIONS | NA | Control |
| MCAFEE, KAREN, LYNN | I | DIRECTOR OF OPERATIONS | NA | Control |
| MCAFEE, KAREN, LYNN | I | DIRECTOR OF OPERATIONS | NA | Control |
| MCAFEE, KAREN, LYNN | I | SENIOR VICE PRESIDENT AND DIRECTOR OF TRADING AND OPERATIONS | NA | |
| MCAFEE, KAREN, LYNN | I | SENIOR VICE PRESIDENT AND DIRECTOR OF TRADING AND OPERATIONS | NA | Control |
| MCAFEE, KAREN, LYNN | I | DIRECTOR OF OPERATIONS | NA | Control |
| MCAFEE, KAREN, LYNN | I | DIRECTOR OF OPERATIONS | NA | Control |
| MCAFEE, KAREN, LYNN | I | DIRECTOR OF OPERATIONS | NA | Control |
| MCAFEE, KAREN, LYNN | I | CHIEF OPERATING OFFICER | NA | Control |
| MCAFEE, KAREN, LYNN | I | CHIEF OPERATING OFFICER | NA | Control |
| MCAFEE, KAREN, LYNN | I | CHIEF OPERATING OFFICER | NA | Control |
| MCAFEE, KAREN, LYNN | I | DIRECTOR OF OPERATIONS | NA | Control |
| MCAFEE, KAREN, LYNN | I | DIRECTOR OF OPERATIONS | NA | Control |
| MCAFEE, KAREN, LYNN | I | DIRECTOR OF OPERATIONS | NA | Control |
| MCAFEE, KAREN, LYNN | I | CHIEF OPERATING OFFICER | NA | Control |
| MCAFEE, KAREN, LYNN | I | CHIEF OPERATING OFFICER | NA | Control |
| MCAFEE, KAREN, LYNN | I | CHIEF OPERATING OFFICER | NA | Control |
| MCAFEE, KAREN, LYNN | I | CHIEF OPERATING OFFICER | NA | Control |
| MCCAUGHAN, JAMES, PATRICK | I | CHAIRMAN OF THE BOARD | NA | Control |
| MCCAUGHAN, JAMES, PATRICK | I | CHAIRMAN | NA | Control |
| MCCAUGHAN, JAMES, PATRICK | I | CHAIRMAN | NA | Control |
| MCCAUGHAN, JAMES, PATRICK | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MCCAUGHAN, JAMES, PATRICK | I | CHAIRMAN | NA | Control |
| MCCAUGHAN, JAMES, PATRICK | I | CHAIRMAN | NA | Control |
| MCCAUGHAN, JAMES, PATRICK | I | CHAIRMAN | NA | Control |
| MCCAUGHAN, JAMES, PATRICK | I | CHAIRMAN | NA | Control |
| MCCAUGHAN, JAMES, PATRICK | I | CHAIRMAN | NA | Control |
| MCCAUGHAN, JAMES, PATRICK | I | CHAIRMAN | NA | Control |
| MCCAUGHAN, JAMES, PATRICK | I | CHAIRMAN | NA | Control |
| MCCAUGHAN, JAMES, PATRICK | I | CHAIRMAN | NA | Control |
| MCCAUGHAN, JAMES, PATRICK | I | CHAIRMAN | NA | Control |
| MCCAUGHAN, JAMES, PATRICK | I | CHAIRMAN | NA | Control |
| MCCAUGHAN, JAMES, PATRICK | I | DIRECTOR | NA | Control |
| MCCAUGHAN, JAMES, PATRICK | I | DIRECTOR | NA | Control |
| MCCAUGHAN, JAMES, PATRICK | I | DIRECTOR | NA | Control |
| MCKENZIE, BARBARA | I | DIRECTOR/VICE PRESIDENT | NA | Control |
| MCKENZIE, BARBARA | I | DIRECTOR/VICE PRESIDENT | NA | Control |
| MCKENZIE, BARBARA | I | DIRECTOR/VICE PRESIDENT | NA | Control |
| MCKENZIE, BARBARA | I | DIRECTOR/VICE PRESIDENT | NA | Control |
| MCKENZIE, BARBARA | I | DIRECTOR/VICE PRESIDENT | NA | Control |
| MCKENZIE, BARBARA | I | DIRECTOR/VICE PRESIDENT | NA | Control |
| MCKENZIE, BARBARA | I | DIRECTOR/VICE PRESIDENT | NA | Control |
| MCKENZIE, BARBARA | I | DIRECTOR/VICE PRESIDENT | NA | Control |
| MCKENZIE, BARBARA | I | DIRECTOR | NA | Control |
| MCKENZIE, BARBARA | I | DIRECTOR | NA | Control |
| MCKENZIE, BARBARA | I | DIRECTOR | NA | Control |
| MILLER, ERIC, EDWARD | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY | NA | Control |
| MILLER, ERIC, EDWARD | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY | NA | Control |
| MILLER, ERIC, EDWARD | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY | NA | |
| MILLER, ERIC, EDWARD | I | SENIOR VICE PRESIDENT CHIEF COUNSEL | NA | Control |
| MILLER, ERIC, EDWARD | I | SENIOR VICE PRESIDENT CHIEF COUNSEL | NA | Control |
| MILLER, ERIC, EDWARD | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY | NA | Control |
| MILLER, ERIC, EDWARD | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY | NA | |
| MITCHELL, THOMAS, FRANK | I | VICE PRESIDENT-CORPORATE SECRETARY, SENIOR PORTFOLIO MANAGER, AND DIRECTOR OF COMPLIANCE | NA | |
| NICHOLS, JERRY, T | I | SENIOR VICE PRESIDENT-CO-HEAD OF US FIXED INCOME | NA | Control |
| NICHOLS, JERRY, T | I | SENIOR VICE PRESIDENT-HEAD OF FIXED INCOME | NA | Control |
| NICHOLS, JERRY, T | I | SENIOR VICE PRESIDENT-HEAD OF FIXED INCOME | NA | Control |
| NICHOLS, JERRY, T | I | SENIOR VICE PRESIDENT-HEAD OF FIXED INCOME | NA | Control |
| NICHOLS, JERRY, T | I | SENIOR VICE PRESIDENT-HEAD OF FIXED INCOME | NA | Control |
| SCHAFER, MARTIN, JOSEPH | I | DIRECTOR OF SALES & MARKETING | NA | Control |
| SCHAFER, MARTIN, JOSEPH | I | DIRECTOR OF SALES & MARKETING | NA | Control |
| SCHAFER, MARTIN, JOSEPH | I | DIRECTOR OF SALES & MARKETING | NA | Control |
| SHAFF, KAREN, ELIZABETH | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| SHAFF, KAREN, ELIZABETH | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| SHAFF, KAREN, ELIZABETH | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| SHUMWAY, ELLEN, W | I | DIRECTOR | NA | Control |
| SHUMWAY, ELLEN, W | I | DIRECTOR | NA | Control |
| SHUMWAY, ELLEN, W | I | DIRECTOR | NA | Control |
| SHUMWAY, ELLEN, W | I | DIRECTOR | NA | Control |
| SHUMWAY, ELLEN, W | I | DIRECTOR | NA | Control |
| SHUMWAY, ELLEN, W | I | DIRECTOR | NA | Control |
| SIPP, THOMAS, MICHAEL | I | DIRECTOR, VICE PRESIDENT-CHIEF FINANCIAL OFFICER | NA | Control |
| SIPP, THOMAS, MICHAEL | I | DIRECTOR, VICE PRESIDENT-CHIEF FINANCIAL OFFICER | NA | Control |
| SIPP, THOMAS, MICHAEL | I | DIRECTOR, VICE PRESIDENT-CHIEF FINANCIAL OFFICER | NA | Control |
| STRABLE, DEANNA | I | DIRECTOR | NA | Control |
| STRABLE, DEANNA | I | DIRECTOR | NA | Control |
| STRABLE, DEANNA | I | DIRECTOR | NA | Control |
| STRABLE, DEANNA | I | DIRECTOR | NA | Control |
| STUMPFF, TIMOTHY, EMIL | I | DIRECTOR, PRESIDENT | NA | Control |
| STUMPFF, TIMOTHY, EMIL | I | DIRECTOR, PRESIDENT | NA | Control |
| STUMPFF, TIMOTHY, EMIL | I | DIRECTOR, PRESIDENT | NA | Control |
| STUMPFF, TIMOTHY, EMIL | I | DIRECTOR, PRESIDENT | NA | Control |
| STUMPFF, TIMOTHY, EMIL | I | DIRECTOR, PRESIDENT | NA | Control |
| STUMPFF, TIMOTHY, EMIL | I | DIRECTOR, PRESIDENT | NA | Control |
| STUMPFF, TIMOTHY, EMIL | I | DIRECTOR, PRESIDENT | NA | Control |
| STUMPFF, TIMOTHY, EMIL | I | DIRECTOR, PRESIDENT | NA | Control |
| THUNELIUS, GERALD, ERNEST | I | SENIOR VICE PRESIDENT & CHIEF INVESTMENT OFFICER | NA | |
| UDOVICH, PATRICK, JOHN | I | SENIOR VICE PRESIDENT, HEAD OF HUMAN RESOURCES | NA | |
| UDOVICH, PATRICK, JOHN | I | SENIOR VICE PRESIDENT, HEAD OF HUMAN RESOURCES | NA | |
| UDOVICH, PATRICK, JOHN | I | SENIOR VICE PRESIDENT, HEAD OF HUMAN RESOURCES | NA | |
| UDOVICH, PATRICK, JOHN | I | SENIOR VICE PRESIDENT, HEAD OF HUMAN RESOURCES | NA | |
| WIESE, THOMAS, FRANCIS | I | DIRECTOR | NA | Control |
| GARTMORE MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| GARTMORE MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| GARTMORE MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| MORLEY FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF APPLICANT | E | Control |
| NATIONWIDE FINANCIAL SERVICES, INC. | DE | PARENT COMPANY OF VILLANOVA CAPITAL, INC. | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY US LLC | DE | PARENT COMPANY OF APPLICANT | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY US LLC | DE | PARENT COMPANY OF APPLICANT | E | Control |
| VILLANOVA CAPITAL, INC. | DE | PARENT COMPANY OF MFS | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| GARTMORE GLOBAL ASSET MANAGEMENT TRUST | DE | NATIONWIDE ASSET MANAGEMENT HOLDINGS, LTD. | E | Control |
| GARTMORE GLOBAL ASSET MANAGEMENT TRUST | DE | NATIONWIDE ASSET MANAGEMENT HOLDINGS, LTD. | E | Control |
| GARTMORE GLOBAL ASSET MANAGEMENT TRUST | DE | NATIONWIDE ASSET MANAGEMENT HOLDINGS, LTD. | E | Control |
| GARTMORE GLOBAL ASSET MANAGEMENT, INC. | DE | GARTMORE MORLEY FINANCIAL SERVICES, INC. | E | Control |
| GARTMORE GLOBAL ASSET MANAGEMENT, INC. | DE | GARTMORE MORLEY FINANCIAL SERVICES, INC. | E | Control |
| GARTMORE GLOBAL ASSET MANAGEMENT, INC. | DE | GARTMORE MORLEY FINANCIAL SERVICES, INC. | E | Control |
| GARTMORE GLOBAL INVESTMENTS, INC. | DE | GARTMORE SA CAPITAL TRUST | E | Control |
| GARTMORE GLOBAL INVESTMENTS, INC. | DE | GARTMORE SA CAPITAL TRUST | E | Control |
| GARTMORE GLOBAL INVESTMENTS, INC. | DE | GARTMORE SA CAPITAL TRUST | E | Control |
| GARTMORE GROUP LIMITED | DE | GARTMORE GLOBAL INVESTMENTS, INC. | E | Control |
| GARTMORE GROUP LIMITED | DE | GARTMORE GLOBAL INVESTMENTS, INC. | E | Control |
| GARTMORE GROUP LIMITED | DE | GARTMORE GLOBAL INVESTMENTS, INC. | E | Control |
| GARTMORE SA CAPITAL TRUST | DE | GARTMORE GLOBAL ASSET MANAGEMENT, INC. | E | Control |
| GARTMORE SA CAPITAL TRUST | DE | NWD ASSET MANAGEMENT, INC. | E | Control |
| GARTMORE SA CAPITAL TRUST | DE | NWD ASSET MANAGEMENT HOLDINGS, INC. | E | Control |
| GARTMORE SA CAPITAL TRUST | DE | GARTMORE GLOBAL ASSET MANAGEMENT, INC. | E | Control |
| GARTMORE SA CAPITAL TRUST | DE | GARTMORE GLOBAL ASSET MANAGEMENT, INC. | E | Control |
| GARTMORE SA CAPITAL TRUST | DE | NWD ASSET MANAGEMENT, INC. | E | Control |
| NATIONWIDE ASSET MANAGEMENT HOLDINGS, LTD. | FE | GARTMORE GROUP LIMITED | E | Control |
| NATIONWIDE ASSET MANAGEMENT HOLDINGS, LTD. | FE | NWD INVESTMENT MANAGEMENT, INC. | E | Control |
| NATIONWIDE ASSET MANAGEMENT HOLDINGS, LTD. | FE | NWD INVESTMENT MANAGEMENT, INC. | E | Control |
| NATIONWIDE ASSET MANAGEMENT HOLDINGS, LTD. | FE | GARTMORE GROUP LIMITED | E | Control |
| NATIONWIDE ASSET MANAGEMENT HOLDINGS, LTD. | FE | GARTMORE GROUP LIMITED | E | Control |
| NATIONWIDE ASSET MANAGEMENT HOLDINGS, LTD. | FE | NWD INVESTMENT MANAGEMENT, INC. | E | Control |
| NATIONWIDE ASSET MANAGEMENT HOLDINGS, LTD. | FE | NWD INVESTMENT MANAGEMENT, INC. | E | Control |
| NATIONWIDE CORPORATION | DE | GARTMORE GLOBAL ASSET MANAGEMENT TRUST | E | Control |
| NATIONWIDE CORPORATION | DE | NWD MANAGEMENT & RESEARCH TRUST | E | Control |
| NATIONWIDE CORPORATION | DE | NWD MANAGEMENT & RESEARCH TRUST | E | Control |
| NATIONWIDE CORPORATION | DE | GARTMORE GLOBAL ASSET MANAGEMENT TRUST | E | Control |
| NATIONWIDE CORPORATION | DE | GARTMORE GLOBAL ASSET MANAGEMENT TRUST | E | Control |
| NATIONWIDE CORPORATION | DE | NWD MANAGEMENT & RESEARCH TRUST | E | Control |
| NATIONWIDE CORPORATION | DE | NWD MANAGEMENT & RESEARCH TRUST | E | Control |
| NATIONWIDE MUTUAL INSURANCE COMPANY | DE | NATIONWIDE CORPORATION | E | Control |
| NATIONWIDE MUTUAL INSURANCE COMPANY | DE | NATIONWIDE CORPORATION | E | Control |
| NATIONWIDE MUTUAL INSURANCE COMPANY | DE | NATIONWIDE CORPORATION | E | Control |
| NATIONWIDE MUTUAL INSURANCE COMPANY | DE | NATIONWIDE CORPORATION | E | Control |
| NATIONWIDE MUTUAL INSURANCE COMPANY | DE | NATIONWIDE CORPORATION | E | Control |
| NATIONWIDE MUTUAL INSURANCE COMPANY | DE | NATIONWIDE CORPORATION | E | Control |
| NATIONWIDE MUTUAL INSURANCE COMPANY | DE | NATIONWIDE CORPORATION | E | Control |
| NATIONWIDE SA CAPITAL TRUST | DE | NWD ASSET MANAGEMENT HOLDINGS, INC. | E | Control |
| NWD ASSET MANAGEMENT HOLDINGS, INC. | DE | MORLEY FINANCIAL SERVICES, INC. | E | Control |
| NWD ASSET MANAGEMENT HOLDINGS, INC. | DE | MORLEY FINANCIAL SERVICES, INC. | E | Control |
| NWD ASSET MANAGEMENT, INC. | DE | MORLEY FINANCIAL SERVICES, INC. | E | Control |
| NWD ASSET MANAGEMENT, INC. | DE | MORLEY FINANCIAL SERVICES, INC. | E | Control |
| NWD INVESTMENT MANAGEMENT, INC. | DE | GARTMORE SA CAPITAL TRUST | E | Control |
| NWD INVESTMENT MANAGEMENT, INC. | DE | GARTMORE SA CAPITAL TRUST | E | Control |
| NWD INVESTMENT MANAGEMENT, INC. | DE | GARTMORE SA CAPITAL TRUST | E | Control |
| NWD INVESTMENT MANAGEMENT, INC. | DE | NATIONWIDE SA CAPITAL TRUST | E | Control |
| NWD MANAGEMENT & RESEARCH TRUST | DE | NATIONWIDE ASSET MANAGEMENT HOLDINGS, LTD. | E | Control |
| NWD MANAGEMENT & RESEARCH TRUST | DE | NATIONWIDE ASSET MANAGEMENT HOLDINGS, LTD. | E | Control |
| NWD MANAGEMENT & RESEARCH TRUST | DE | NATIONWIDE ASSET MANAGEMENT HOLDINGS, LTD. | E | Control |
| NWD MANAGEMENT & RESEARCH TRUST | DE | NATIONWIDE ASSET MANAGEMENT HOLDINGS, LTD. | E | Control |
| PRINCIPAL FINANCIAL GROUP INC. | DE | PRINCIPAL FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL GROUP INC. | DE | PRINCIPAL FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL GROUP INC. | DE | PRINCIPAL FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL GROUP INC. | DE | PRINCIPAL FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL GROUP INC. | DE | PRINCIPAL FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL GROUP INC. | DE | PRINCIPAL FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL GROUP INC. | DE | PRINCIPAL FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL GROUP INC. | DE | PRINCIPAL FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL GROUP INC. | DE | PRINCIPAL FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL GROUP INC. | DE | PRINCIPAL FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL GROUP INC. | DE | PRINCIPAL FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL GROUP INC. | DE | PRINCIPAL FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL GROUP INC. | DE | PRINCIPAL FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL GROUP INC. | DE | PRINCIPAL FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL GROUP INC. | DE | PRINCIPAL FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL GROUP INC. | DE | PRINCIPAL FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL GROUP INC. | DE | PRINCIPAL FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | MORELY FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | MORELY FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | MORELY FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | MORELY FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | MORELY FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | MORELY FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | MORELY FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | MORELY FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | MORELY FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | MORELY FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | MORELY FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | MORELY FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | MORELY FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | MORELY FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | MORLEY FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US) LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US) LLC | E | Control |
Registrations
Federal
IA
Mar 23, 2018 REGISTERED
Notice Filings (1)
OR
Address
1300 SW FIFTH AVENUESUITE 3300
PORTLAND, OR 97201-5602
United States
Phone: 503-484-9300