UBS ASSET MANAGEMENT (AMERICAS) LLC
CRD #106838 SEC #801-34910 NEW YORK, NY 212-713-2000
SEC Registered Private Funds Disclosures
Total AUM
$542.2B
Discretionary
$522.1B
Employees
792
Clients
0
Accounts
399,225
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
- Aug 27, 2025
- Branch Offices
- 17
- LEI
- F88SLSBEMHN5FUSNRO91
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALGER, BARBARA, LYNNE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALGER, BARBARA, LYNNE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALLESSIE, JOSEPH, JUNIOR | I | CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| ALLESSIE, JOSEPH, JUNIOR | I | CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| ALLESSIE, JOSEPH, JUNIOR | I | CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| ALLESSIE, JOSEPH, JUNIOR | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALLESSIE, JOSEPH, JUNIOR | I | CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| ALLESSIE, JOSEPH, JUNIOR | I | CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| ALLESSIE, JOSEPH, JUNIOR | I | CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| ALLESSIE, JOSEPH, JUNIOR | I | CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| ALLESSIE, JOSEPH, JUNIOR | I | CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| ALLESSIE, JOSEPH, JUNIOR | I | CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| ALLESSIE, JOSEPH, JUNIOR | I | CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| ALLESSIE, JOSEPH, JUNIOR | I | CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| ALLESSIE, JOSEPH, JUNIOR | I | CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| ALLESSIE, JOSEPH, JUNIOR | I | CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| ALLESSIE, JOSEPH, JUNIOR | I | CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| Azelby, Joseph | I | HEAD OF INVESTMENTS, HEAD OF REAL ESTATE AND PRIVATE MARKETS | NA | |
| Azelby, Joseph | I | HEAD OF INVESTMENTS, HEAD OF REAL ESTATE AND PRIVATE MARKETS | NA | |
| Azelby, Joseph | I | HEAD OF INVESTMENTS, HEAD OF REAL ESTATE AND PRIVATE MARKETS | NA | |
| Azelby, Joseph | I | HEAD OF INVESTMENTS, HEAD OF REAL ESTATE AND PRIVATE MARKETS | NA | |
| Azelby, Joseph | I | HEAD OF INVESTMENTS, HEAD OF REAL ESTATE AND PRIVATE MARKETS | NA | |
| Azelby, Joseph | I | HEAD OF INVESTMENTS, HEAD OF REAL ESTATE AND PRIVATE MARKETS | NA | |
| Azelby, Joseph | I | HEAD OF INVESTMENTS, HEAD OF REAL ESTATE AND PRIVATE MARKETS | NA | |
| Azelby, Joseph | I | HEAD OF INVESTMENTS, HEAD OF REAL ESTATE AND PRIVATE MARKETS | NA | |
| Azelby, Joseph | I | HEAD OF INVESTMENTS, HEAD OF REAL ESTATE AND PRIVATE MARKETS | NA | |
| Azelby, Joseph | I | HEAD OF INVESTMENTS, HEAD OF REAL ESTATE AND PRIVATE MARKETS | NA | |
| BELASCO, MICHAEL, SCOTT | I | VICE PRESIDENT | NA | |
| BELASCO, MICHAEL, SCOTT | I | VICE PRESIDENT | NA | |
| BELASCO, MICHAEL, SCOTT | I | VICE PRESIDENT | NA | |
| BRAGG, CHARLES, LEROY | I | CHIEF RISK OFFICER | NA | |
| BRAGG, CHARLES, LEROY | I | CHIEF RISK OFFICER | NA | |
| BRAGG, CHARLES, LEROY | I | CHIEF RISK OFFICER | NA | |
| BRAGG, CHARLES, LEROY | I | CHIEF RISK OFFICER | NA | |
| BRAGG, CHARLES, LEROY | I | CHIEF RISK OFFICER | NA | |
| CALHOUN, MICHAEL, JOHN | I | CORPORATE SECRETARY | NA | |
| CALHOUN, MICHAEL, JOHN | I | CORPORATE SECRETARY | NA | |
| CASPARIUS, PHILIP, GEORGE | I | VICE PRESIDENT AND DIRECTOR | NA | Control |
| CASPARIUS, PHILIP, GEORGE | I | VICE PRESIDENT AND DIRECTOR | NA | Control |
| CASPARIUS, PHILIP, GEORGE | I | VICE PRESIDENT AND DIRECTOR | NA | Control |
| CASPARIUS, PHILIP, GEORGE | I | VICE PRESIDENT AND DIRECTOR | NA | Control |
| CASPARIUS, PHILIP, GEORGE | I | VICE PRESIDENT AND DIRECTOR | NA | Control |
| CASPARIUS, PHILIP, GEORGE | I | VICE PRESIDENT AND DIRECTOR | NA | Control |
| CASPARIUS, PHILIP, GEORGE | I | VICE PRESIDENT AND DIRECTOR | NA | Control |
| CASPARIUS, PHILIP, GEORGE | I | VICE PRESIDENT AND DIRECTOR | NA | Control |
| CASPARIUS, PHILIP, GEORGE | I | VICE PRESIDENT AND DIRECTOR | NA | Control |
| CASPARIUS, PHILIP, GEORGE | I | VICE PRESIDENT AND DIRECTOR | NA | Control |
| DIERMEIER, JEFFREY, JAMES | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DIERMEIER, JEFFREY, JAMES | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DIERMEIER, JEFFREY, JAMES | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DIERMEIER, JEFFREY, JAMES | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DOBERMAN, AMY, ROSE | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| DOBERMAN, AMY, ROSE | I | ASSISTANT SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| DOBERMAN, AMY, ROSE | I | ASSISTANT SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| DOBERMAN, AMY, ROSE | I | ASSISTANT SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| DUGENSKE, JOHN, EDWARD | I | VICE PRESIDENT | NA | Control |
| DUGENSKE, JOHN, EDWARD | I | VICE PRESIDENT | NA | Control |
| DUGENSKE, JOHN, EDWARD | I | VICE PRESIDENT | NA | Control |
| ELLINGER, CRAIG, GARRET | I | HEAD OF AMERICAS FIXED INCOME | NA | |
| ELLINGER, CRAIG, GARRET | I | HEAD OF AMERICAS FIXED INCOME | NA | |
| ELLINGER, CRAIG, GARRET | I | HEAD OF AMERICAS FIXED INCOME | NA | |
| ELLINGER, CRAIG, GARRET | I | HEAD OF AMERICAS FIXED INCOME | NA | |
| ELLINGER, CRAIG, GARRET | I | HEAD OF AMERICAS FIXED INCOME | NA | |
| ELLINGER, CRAIG, GARRET | I | HEAD OF AMERICAS FIXED INCOME | NA | |
| ELLINGER, CRAIG, GARRET | I | HEAD OF AMERICAS FIXED INCOME | NA | |
| ELLINGER, CRAIG, GARRET | I | HEAD OF AMERICAS FIXED INCOME | NA | |
| ELLINGER, CRAIG, GARRET | I | HEAD OF AMERICAS FIXED INCOME | NA | |
| ELLINGER, CRAIG, GARRET | I | HEAD OF AMERICAS FIXED INCOME | NA | |
| ELLINGER, CRAIG, GARRET | I | HEAD OF AMERICAS FIXED INCOME | NA | |
| ELLINGER, CRAIG, GARRET | I | HEAD OF AMERICAS FIXED INCOME | NA | |
| ELLINGER, CRAIG, GARRET | I | HEAD OF AMERICAS FIXED INCOME | NA | |
| ELLINGER, CRAIG, GARRET | I | HEAD OF AMERICAS FIXED INCOME | NA | |
| ELLINGER, CRAIG, GARRET | I | HEAD OF AMERICAS FIXED INCOME | NA | |
| ELLINGER, CRAIG, GARRET | I | HEAD OF AMERICAS FIXED INCOME | NA | |
| FERRI, WILLIAM, JOSEPH | I | VICE PRESIDENT | NA | Control |
| FERRI, WILLIAM, JOSEPH | I | VICE PRESIDENT | NA | Control |
| FERRI, WILLIAM, JOSEPH | I | VICE PRESIDENT | NA | Control |
| FERRI, WILLIAM, JOSEPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| FERRI, WILLIAM, JOSEPH | I | PRESIDENT AND DIRECTOR | NA | Control |
| FERRI, WILLIAM, JOSEPH | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| FERRI, WILLIAM, JOSEPH | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| FERRI, WILLIAM, JOSEPH | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| FERRI, WILLIAM, JOSEPH | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| FERRI, WILLIAM, JOSEPH | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| FERRI, WILLIAM, JOSEPH | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| FERRI, WILLIAM, JOSEPH | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| FERRI, WILLIAM, JOSEPH | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| FERRI, WILLIAM, JOSEPH | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| FERRI, WILLIAM, JOSEPH | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| FERRI, WILLIAM, JOSEPH | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| FERRI, WILLIAM, JOSEPH | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| FITZPATRICK, DAWN, NORA | I | VICE PRESIDENT | NA | Control |
| FITZPATRICK, DAWN, NORA | I | VICE PRESIDENT | NA | Control |
| FITZPATRICK, DAWN, NORA | I | VICE PRESIDENT | NA | Control |
| GILL, BARRY | I | VICE PRESIDENT | NA | Control |
| GILL, BARRY | I | VICE PRESIDENT | NA | Control |
| GILL, BARRY | I | VICE PRESIDENT | NA | Control |
| GILL, BARRY | I | VICE PRESIDENT | NA | Control |
| GILL, BARRY | I | VICE PRESIDENT | NA | Control |
| GILL, BARRY | I | VICE PRESIDENT | NA | Control |
| GILL, BARRY | I | VICE PRESIDENT | NA | Control |
| GILL, BARRY | I | VICE PRESIDENT | NA | Control |
| GILL, BARRY, JOHN | I | HEAD OF INVESTMENTS | NA | |
| GILL, BARRY, JOHN | I | HEAD OF INVESTMENTS | NA | |
| GILL, BARRY, JOHN | I | HEAD OF INVESTMENTS | NA | |
| GILL, BARRY, JOHN | I | HEAD OF INVESTMENTS | NA | |
| GILL, BARRY, JOHN | I | HEAD OF INVESTMENTS | NA | |
| GILL, BARRY, JOHN | I | HEAD OF INVESTMENTS | NA | |
| GILL, BARRY, JOHN | I | HEAD OF INVESTMENTS | NA | |
| GILL, BARRY, JOHN | I | HEAD OF INVESTMENTS | NA | |
| GILL, BARRY, JOHN | I | HEAD OF INVESTMENTS | NA | |
| GILL, BARRY, JOHN | I | HEAD OF INVESTMENTS | NA | |
| GILL, BARRY, JOHN | I | HEAD OF INVESTMENTS | NA | |
| GILL, BARRY, JOHN | I | HEAD OF INVESTMENTS | NA | |
| GILL, BARRY, JOHN | I | HEAD OF INVESTMENTS | NA | |
| Gill, Barry, John | I | GLOBAL HEAD OF INVESTMENTS | NA | |
| Gill, Barry, John | I | GLOBAL HEAD OF INVESTMENTS | NA | |
| Gill, Barry, John | I | GLOBAL HEAD OF INVESTMENTS | NA | |
| Gill, Barry, John | I | GLOBAL HEAD OF INVESTMENTS | NA | |
| Gill, Barry, John | I | GLOBAL HEAD OF INVESTMENTS | NA | |
| Gyr, Peter | I | CHIEF COMPLIANCE OFFICER | NA | |
| Gyr, Peter | I | CHIEF COMPLIANCE OFFICER | NA | |
| Gyr, Peter | I | CHIEF COMPLIANCE OFFICER | NA | |
| Gyr, Peter | I | CHIEF COMPLIANCE OFFICER | NA | |
| Gyr, Peter | I | CHIEF COMPLIANCE OFFICER | NA | |
| Gyr, Peter | I | CHIEF COMPLIANCE OFFICER | NA | |
| Gyr, Peter | I | CHIEF COMPLIANCE OFFICER | NA | |
| Gyr, Peter | I | CHIEF COMPLIANCE OFFICER | NA | |
| Gyr, Peter | I | CHIEF COMPLIANCE OFFICER | NA | |
| Gyr, Peter | I | CHIEF COMPLIANCE OFFICER | NA | |
| Gyr, Peter | I | CHIEF COMPLIANCE OFFICER | NA | |
| HOLLENBECK, ANDREW, D | I | CHIEF LEGAL OFFICER | NA | Control |
| HOLLENBECK, ANDREW, D | I | CHIEF LEGAL OFFICER | NA | Control |
| HOLLENBECK, ANDREW, D | I | CHIEF LEGAL OFFICER | NA | Control |
| HOLLENBECK, ANDREW, D | I | CHIEF LEGAL OFFICER | NA | Control |
| HOLLENBECK, ANDREW, D | I | CHIEF LEGAL OFFICER | NA | Control |
| HOLLENBECK, ANDREW, D | I | CHIEF LEGAL OFFICER | NA | Control |
| HOLLENBECK, ANDREW, D | I | CHIEF LEGAL OFFICER | NA | Control |
| Harford, Suni | I | VICE PRESIDENT | NA | |
| Harford, Suni | I | VICE PRESIDENT | NA | |
| Harford, Suni | I | VICE PRESIDENT | NA | |
| Harford, Suni | I | VICE PRESIDENT | NA | |
| Hiltabrand, David, Blake | I | HEAD OF INVESTMENTS, O'CONNOR | NA | |
| Hiltabrand, David, Blake | I | HEAD OF INVESTMENTS, O'CONNOR | NA | |
| Hiltabrand, David, Blake | I | HEAD OF INVESTMENTS, O'CONNOR | NA | |
| Hiltabrand, David, Blake | I | HEAD OF INVESTMENTS, O'CONNOR | NA | |
| Hiltabrand, David, Blake | I | HEAD OF INVESTMENTS, O'CONNOR | NA | |
| Hiltabrand, David, Blake | I | HEAD OF INVESTMENTS, O'CONNOR | NA | |
| Hiltabrand, David, Blake | I | HEAD OF INVESTMENTS, O'CONNOR | NA | |
| Hiltabrand, David, Blake | I | HEAD OF INVESTMENTS, O'CONNOR | NA | |
| Hiltabrand, David, Blake | I | HEAD OF INVESTMENTS, O'CONNOR | NA | |
| Hiltabrand, David, Blake | I | HEAD OF INVESTMENTS, O'CONNOR | NA | |
| JOHNSON, NANCY | I | DIRECTOR-OPERATIONS | NA | |
| JOHNSON, NANCY | I | DIRECTOR-OPERATIONS | NA | |
| JOHNSON, NANCY | I | DIRECTOR-OPERATIONS | NA | |
| JOHNSON, NANCY | I | DIRECTOR-OPERATIONS | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY & LEGAL ADVISER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY & LEGAL ADVISER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY & CHIEF COMPLIANCE OFFICER LEGAL ADVISER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY & CHIEF COMPLIANCE OFFICER LEGAL ADVISER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY | NA | |
| KEMPER, MARK, FREDERICK | I | SECRETARY AND CHIEF LEGAL OFFICER | NA | |
| KEMPER, MARK, FREDERICK | I | CHIEF LEGAL OFFICER | NA | |
| KHANNA, SUMIT | I | MANAGER | NA | Control |
| KHANNA, SUMIT | I | MANAGER | NA | Control |
| KHANNA, SUMIT | I | MANAGER | NA | Control |
| KRIEG, JOHN, L | I | HEAD OF INSTITUTIONAL CLIENT COVERAGE AND DIRECTOR | NA | |
| KRIEG, JOHN, L | I | HEAD OF INSTITUTIONAL CLIENT COVERAGE AND DIRECTOR | NA | |
| KRIEG, JOHN, L | I | HEAD OF INSTITUTIONAL CLIENT COVERAGE AND DIRECTOR | NA | |
| Kulback, Emily, Marie | I | HEAD OF PRODUCTS AMERICAS AND MANAGER | NA | |
| Kulback, Emily, Marie | I | HEAD OF PRODUCTS AMERICAS AND MANAGER | NA | |
| Kulback, Emily, Marie | I | HEAD OF PRODUCTS AMERICAS AND MANAGER | NA | |
| Kulback, Emily, Marie | I | HEAD OF PRODUCTS AMERICAS AND MANAGER | NA | |
| Kulback, Emily, Marie | I | HEAD OF PRODUCTS AMERICAS AND MANAGER | NA | |
| Kulback, Emily, Marie | I | HEAD OF PRODUCTS AMERICAS AND MANAGER | NA | |
| Kulback, Emily, Marie | I | HEAD OF PRODUCTS AMERICAS AND MANAGER | NA | |
| LENHARDT, BENJAMIN, FRANKLIN | I | PRESIDENT & CEO | NA | Control |
| LENHARDT, BENJAMIN, FRANKLIN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LENHARDT, BENJAMIN, FRANKLIN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LENHARDT, BENJAMIN, FRANKLIN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LENZA, LISA, ANNE | I | VICE PRESIDENT AND DIRECTOR | NA | Control |
| LENZA, LISA, ANNE | I | VICE PRESIDENT AND DIRECTOR | NA | Control |
| LENZA, LISA, ANNE | I | VICE PRESIDENT AND DIRECTOR | NA | Control |
| LENZA, LISA, ANNE | I | VICE PRESIDENT AND DIRECTOR | NA | Control |
| LENZA, LISA, ANNE | I | VICE PRESIDENT AND DIRECTOR | NA | Control |
| LENZA, LISA, ANNE | I | VICE PRESIDENT AND DIRECTOR | NA | Control |
| LENZA, LISA, ANNE | I | VICE PRESIDENT AND DIRECTOR | NA | Control |
| LENZA, LISA, ANNE | I | VICE PRESIDENT AND DIRECTOR | NA | Control |
| LYTLE, SHAWN | I | PRESIDENT AND DIRECTOR | NA | Control |
| LYTLE, SHAWN, KEITH | I | PRESIDENT AND DIRECTOR | NA | Control |
| LYTLE, SHAWN, KEITH | I | PRESIDENT AND DIRECTOR | NA | Control |
| LYTLE, SHAWN, KEITH | I | PRESIDENT AND DIRECTOR | NA | Control |
| LYTLE, SHAWN, KEITH | I | PRESIDENT AND DIRECTOR | NA | Control |
| LYTLE, SHAWN, KEITH | I | PRESIDENT AND DIRECTOR | NA | Control |
| LYTLE, SHAWN, KEITH | I | PRESIDENT AND DIRECTOR | NA | Control |
| LYTLE, SHAWN, KEITH | I | PRESIDENT AND DIRECTOR | NA | Control |
| LYTLE, SHAWN, KEITH | I | PRESIDENT AND DIRECTOR | NA | Control |
| LYTLE, SHAWN, KEITH | I | PRESIDENT AND DIRECTOR | NA | Control |
| LYTLE, SHAWN, KEITH | I | PRESIDENT AND DIRECTOR | NA | Control |
| LYTLE, SHAWN, KEITH | I | PRESIDENT AND DIRECTOR | NA | Control |
| LYTLE, SHAWN, KEITH | I | PRESIDENT AND DIRECTOR | NA | Control |
| LYTLE, SHAWN, KEITH | I | PRESIDENT AND DIRECTOR | NA | Control |
| LYTLE, SHAWN, KEITH | I | PRESIDENT AND DIRECTOR | NA | Control |
| LYTLE, SHAWN, KEITH | I | PRESIDENT AND DIRECTOR | NA | Control |
| LYTLE, SHAWN, KEITH | I | PRESIDENT AND DIRECTOR | NA | Control |
| LYTLE, SHAWN, KEITH | I | PRESIDENT AND DIRECTOR | NA | Control |
| LYTLE, SHAWN, KEITH | I | PRESIDENT AND DIRECTOR | NA | Control |
| MANDINACH, BARRY, MITCHELL | I | DIRECTOR | NA | Control |
| MANDINACH, BARRY, MITCHELL | I | DIRECTOR | NA | Control |
| MANDINACH, BARRY, MITCHELL | I | DIRECTOR | NA | Control |
| MANDINACH, BARRY, MITCHELL | I | DIRECTOR | NA | Control |
| MANDINACH, BARRY, MITCHELL | I | DIRECTOR | NA | Control |
| MANDINACH, BARRY, MITCHELL | I | DIRECTOR | NA | Control |
| MANDINACH, BARRY, MITCHELL | I | DIRECTOR | NA | Control |
| MANDINACH, BARRY, MITCHELL | I | DIRECTOR | NA | Control |
| MANDINACH, BARRY, MITCHELL | I | DIRECTOR | NA | Control |
| MANDINACH, BARRY, MITCHELL | I | DIRECTOR | NA | Control |
| MANDINACH, BARRY, MITCHELL | I | DIRECTOR | NA | Control |
| MANDINACH, BARRY, MITCHELL | I | DIRECTOR | NA | Control |
| MANDINACH, BARRY, MITCHELL | I | DIRECTOR | NA | Control |
| MANDINACH, BARRY, MITCHELL | I | DIRECTOR | NA | Control |
| MANDINACH, BARRY, MITCHELL | I | DIRECTOR | NA | Control |
| MANDINACH, BARRY, MITCHELL | I | DIRECTOR | NA | Control |
| MANDINACH, BARRY, MITCHELL | I | DIRECTOR | NA | Control |
| MANDINACH, BARRY, MITCHELL | I | DIRECTOR | NA | Control |
| MANDINACH, BARRY, MITCHELL | I | DIRECTOR | NA | Control |
| MANDINACH, BARRY, MITCHELL | I | DIRECTOR | NA | Control |
| MATTONE, RALPH | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| MATTONE, RALPH | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| MATTONE, RALPH | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| MATTONE, RALPH | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| MATTONE, RALPH | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| MATTONE, RALPH | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| MATTONE, RALPH | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| MATTONE, RALPH | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| MATTONE, RALPH | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| MATTONE, RALPH | I | CHIEF FINANCIAL OFFICER | NA | |
| MATTONE, RALPH | I | CHIEF FINANCIAL OFFICER | NA | |
| MATTONE, RALPH | I | CHIEF FINANCIAL OFFICER | NA | |
| MATTONE, RALPH | I | CHIEF FINANCIAL OFFICER | NA | |
| MATTONE, RALPH | I | CHIEF FINANCIAL OFFICER | NA | |
| MCGILL, JOSEPH, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCGILL, JOSEPH, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCGILL, JOSEPH, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCGILL, JOSEPH, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCGILL, JOSEPH, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCGILL, JOSEPH, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCGILL, JOSEPH, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCGILL, JOSEPH, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCGILL, JOSEPH, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCGILL, JOSEPH, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCGILL, JOSEPH, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCGILL, JOSEPH, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCGILL, JOSEPH, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCGILL, JOSEPH, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCGILL, JOSEPH, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCGILL, JOSEPH, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCGILL, JOSEPH, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCGILL, JOSEPH, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCGILL, JOSEPH, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCGILL, JOSEPH, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCGILL, JOSEPH, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCINTOSH, IAN, ROSS | I | HEAD OF ACTIVE EQUITIES | NA | |
| MCINTOSH, IAN, ROSS | I | HEAD OF ACTIVE EQUITIES | NA | |
| MCINTOSH, IAN, ROSS | I | HEAD OF ACTIVE EQUITIES | NA | |
| MCINTOSH, IAN, ROSS | I | HEAD OF ACTIVE EQUITIES | NA | |
| MCINTOSH, IAN, ROSS | I | HEAD OF ACTIVE EQUITIES | NA | |
| MCINTOSH, IAN, ROSS | I | HEAD OF ACTIVE EQUITIES | NA | |
| MCINTOSH, IAN, ROSS | I | HEAD OF ACTIVE EQUITIES | NA | |
| MCINTOSH, IAN, ROSS | I | HEAD OF ACTIVE EQUITIES | NA | |
| MCINTOSH, IAN, ROSS | I | HEAD OF ACTIVE EQUITIES | NA | |
| MCINTOSH, IAN, ROSS | I | HEAD OF ACTIVE EQUITIES | NA | |
| MCINTOSH, IAN, ROSS | I | HEAD OF ACTIVE EQUITIES | NA | |
| MCINTOSH, IAN, ROSS | I | HEAD OF ACTIVE EQUITIES | NA | |
| MCINTOSH, IAN, ROSS | I | HEAD OF INVESTMENTS, ACTIVE EQUITIES | NA | |
| MCINTOSH, IAN, ROSS | I | HEAD OF INVESTMENTS, ACTIVE EQUITIES | NA | |
| MCINTOSH, IAN, ROSS | I | HEAD OF INVESTMENTS, ACTIVE EQUITIES | NA | |
| MCINTOSH, IAN, ROSS | I | HEAD OF INVESTMENTS, ACTIVE EQUITIES | NA | |
| MCINTOSH, IAN, ROSS | I | HEAD OF INVESTMENTS, ACTIVE EQUITIES | NA | |
| MCINTOSH, IAN, SEAN | I | HEAD OF ACTIVE EQUITIES | NA | |
| MOORE, EDWARD, BLAKE | I | PRESIDENT AND DIRECTOR | NA | Control |
| MOORE, EDWARD, BLAKE | I | PRESIDENT AND DIRECTOR | NA | Control |
| MOORE, EDWARD, BLAKE | I | PRESIDENT AND DIRECTOR | NA | Control |
| MOORE, EDWARD, BLAKE | I | PRESIDENT AND DIRECTOR | NA | Control |
| MOORE, EDWARD, BLAKE | I | PRESIDENT AND DIRECTOR | NA | Control |
| MOORE, EDWARD, BLAKE | I | PRESIDENT AND DIRECTOR | NA | Control |
| MOORE, EDWARD, BLAKE | I | PRESIDENT AND DIRECTOR | NA | Control |
| MOORE, EDWARD, BLAKE | I | PRESIDENT AND DIRECTOR | NA | Control |
| MOORE, EDWARD, BLAKE | I | PRESIDENT AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MOORE, JOHN, CYRIL | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| MULLEN, BARRY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MULLEN, BARRY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MULLEN, BARRY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MULLEN, BARRY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MULLEN, BARRY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MULLEN, BARRY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MULLEN, BARRY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MULLEN, BARRY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MULLEN, BARRY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MULLEN, BARRY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MULLEN, BARRY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MULLEN, BARRY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MULLEN, BARRY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MULLEN, BARRY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MULLEN, BARRY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MULLEN, BARRY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MULLEN, BARRY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MULLEN, BARRY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MULLEN, BARRY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MURPHY, STEPHEN | I | HEAD OF INSTITUTIONAL CLIENT COVERAGE | NA | |
| MURPHY, STEPHEN | I | HEAD OF INSTITUTIONAL CLIENT COVERAGE | NA | |
| MURPHY, STEPHEN | I | HEAD OF INSTITUTIONAL CLIENT COVERAGE | NA | |
| MURPHY, STEPHEN | I | HEAD OF INSTITUTIONAL CLIENT COVERAGE | NA | |
| MURPHY, STEPHEN | I | HEAD OF INSTITUTIONAL CLIENT COVERAGE | NA | |
| MURPHY, STEPHEN | I | HEAD OF INSTITUTIONAL CLIENT COVERAGE | NA | |
| MURPHY, STEPHEN | I | HEAD OF INSTITUTIONAL CLIENT COVERAGE | NA | |
| MURPHY, STEPHEN | I | HEAD OF INSTITUTIONAL CLIENT COVERAGE | NA | |
| MURPHY, STEPHEN | I | HEAD OF INSTITUTIONAL CLIENT COVERAGE AMERICAS | NA | |
| MURPHY, STEPHEN | I | HEAD OF INSTITUTIONAL CLIENT COVERAGE AMERICAS | NA | |
| MURPHY, STEPHEN | I | HEAD OF INSTITUTIONAL CLIENT COVERAGE AMERICAS | NA | |
| MURPHY, STEPHEN | I | HEAD OF INSTITUTIONAL CLIENT COVERAGE AMERICAS | NA | |
| MURPHY, STEPHEN | I | HEAD OF INSTITUTIONAL CLIENT COVERAGE AMERICAS | NA | |
| POPP, JOHN, GERARD | I | HEAD OF INVESTMENTS, CREDIT INVESTMENTS GROUP | NA | |
| POPP, JOHN, GERARD | I | HEAD OF INVESTMENTS, CREDIT INVESTMENTS GROUP | NA | |
| POPP, JOHN, GERARD | I | HEAD OF INVESTMENTS, CREDIT INVESTMENTS GROUP | NA | |
| POPP, JOHN, GERARD | I | HEAD OF INVESTMENTS, CREDIT INVESTMENTS GROUP | NA | |
| POPP, JOHN, GERARD | I | HEAD OF INVESTMENTS, CREDIT INVESTMENTS GROUP | NA | |
| POPP, JOHN, GERARD | I | HEAD OF INVESTMENTS, CREDIT INVESTMENTS GROUP | NA | |
| POPP, JOHN, GERARD | I | HEAD OF INVESTMENTS, CREDIT INVESTMENTS GROUP | NA | |
| POPP, JOHN, GERARD | I | HEAD OF INVESTMENTS, CREDIT INVESTMENTS GROUP | NA | |
| POPP, JOHN, GERARD | I | HEAD OF INVESTMENTS, CREDIT INVESTMENTS GROUP | NA | |
| POPP, JOHN, GERARD | I | HEAD OF INVESTMENTS, CREDIT INVESTMENTS GROUP | NA | |
| POUCHER, JAMES | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER | NA | Control |
| POUCHER, JAMES | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER | NA | Control |
| POUCHER, JAMES | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER | NA | Control |
| POUCHER, JAMES | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER | NA | Control |
| POUCHER, JAMES | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER | NA | Control |
| POUCHER, JAMES | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER | NA | Control |
| POUCHER, JAMES | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER | NA | Control |
| POUCHER, JAMES | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER | NA | Control |
| POUCHER, JAMES | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER | NA | Control |
| POUCHER, JAMES | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER | NA | Control |
| POUCHER, JAMES | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER | NA | Control |
| POUCHER, JAMES | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER | NA | Control |
| POUCHER, JAMES, H | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | |
| POUCHER, JAMES, HARLEY | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| POUCHER, JAMES, HARLEY | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| POUCHER, JAMES, HARLEY | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| POUCHER, JAMES, HARLEY | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | NA | Control |
| PRIMMER, RYAN, FRANKLIN | I | HEAD OF INVESTMENT SOLUTIONS | NA | |
| PRIMMER, RYAN, FRANKLIN | I | HEAD OF INVESTMENT SOLUTIONS | NA | |
| PRIMMER, RYAN, FRANKLIN | I | HEAD OF INVESTMENT SOLUTIONS | NA | |
| PRIMMER, RYAN, FRANKLIN | I | HEAD OF INVESTMENT SOLUTIONS | NA | |
| PRIMMER, RYAN, FRANKLIN | I | HEAD OF INVESTMENT SOLUTIONS | NA | |
| PRIMMER, RYAN, FRANKLIN | I | HEAD OF INVESTMENT SOLUTIONS | NA | |
| PRIMMER, RYAN, FRANKLIN | I | HEAD OF INVESTMENT SOLUTIONS | NA | |
| PRIMMER, RYAN, FRANKLIN | I | HEAD OF INVESTMENT SOLUTIONS | NA | |
| PRIMMER, RYAN, FRANKLIN | I | HEAD OF INVESTMENT SOLUTIONS | NA | |
| PRIMMER, RYAN, FRANKLIN | I | HEAD OF INVESTMENT SOLUTIONS | NA | |
| PRIMMER, RYAN, FRANKLIN | I | HEAD OF INVESTMENT SOLUTIONS | NA | |
| RASSAS, NICHOLAS, CHARLES | I | VICE PRESIDENT | NA | Control |
| RASSAS, NICHOLAS, CHARLES | I | VICE PRESIDENT | NA | Control |
| RASSAS, NICHOLAS, CHARLES | I | VICE PRESIDENT & DIRECTOR | NA | Control |
| RASSAS, NICHOLAS, CHARLES | I | VICE PRESIDENT & DIRECTOR | NA | Control |
| RONGETTI, MICHAEL, JAMES | I | MANAGER | NA | |
| RONGETTI, MICHAEL, JAMES | I | MANAGER | NA | |
| RONGETTI, MICHAEL, JAMES | I | MANAGER | NA | |
| RONGETTI, MICHAEL, JAMES | I | MANAGER | NA | |
| RONGETTI, MICHAEL, JAMES | I | MANAGER | NA | |
| RONGETTI, MICHAEL, JAMES | I | MANAGER | NA | |
| RONGETTI, MICHAEL, JAMES | I | MANAGER | NA | |
| RONGETTI, MICHAEL, JAMES | I | MANAGER | NA | |
| RONGETTI, MICHAEL, JAMES | I | MANAGER | NA | |
| RONGETTI, MICHAEL, JAMES | I | MANAGER | NA | |
| Rongetti, Michael | I | HEAD OF CREDIT SUISSE ASSET MANAGEMENT AND MANAGER | NA | |
| Rongetti, Michael | I | HEAD OF CREDIT SUISSE ASSET MANAGEMENT AND MANAGER | NA | |
| Rulli, Edoardo | I | HEAD OF INVESTMENTS, HEDGE FUND SOLUTIONS | NA | |
| Rulli, Edoardo | I | HEAD OF INVESTMENTS, HEDGE FUND SOLUTIONS | NA | |
| Rulli, Edoardo | I | HEAD OF INVESTMENTS, HEDGE FUND SOLUTIONS | NA | |
| Rulli, Edoardo | I | HEAD OF INVESTMENTS, HEDGE FUND SOLUTIONS | NA | |
| Rulli, Edoardo | I | HEAD OF INVESTMENTS, HEDGE FUND SOLUTIONS | NA | |
| Rulli, Edoardo | I | HEAD OF INVESTMENTS, HEDGE FUND SOLUTIONS | NA | |
| Rulli, Edoardo | I | HEAD OF INVESTMENTS, HEDGE FUND SOLUTIONS | NA | |
| Rulli, Edoardo | I | HEAD OF INVESTMENTS, HEDGE FUND SOLUTIONS | NA | |
| Rulli, Edoardo | I | HEAD OF INVESTMENTS, HEDGE FUND SOLUTIONS | NA | |
| Rulli, Edoardo | I | HEAD OF INVESTMENTS, HEDGE FUND SOLUTIONS | NA | |
| SINGER, BRIAN, DAVID | I | CHIEF INVESTMENT OFFICER AND DIRECTOR | NA | Control |
| SINGER, BRIAN, DAVID | I | CHIEF INVESTMENT OFFICER | NA | Control |
| SINGER, BRIAN, DAVID | I | CHIEF INVESTMENT OFFICER | NA | Control |
| SINGER, BRIAN, DAVID | I | CHIEF INVESTMENT OFFICER | NA | Control |
| SINGER, BRIAN, DAVID | I | CHIEF INVESTMENT OFFICER | NA | Control |
| SINGER, BRIAN, DAVID | I | CHIEF INVESTMENT OFFICER AND DIRECTOR | NA | Control |
| SINGER, BRIAN, DAVID | I | CHIEF INVESTMENT OFFICER AND DIRECTOR | NA | Control |
| SINGER, BRIAN, DAVID | I | CHIEF INVESTMENT OFFICER AND DIRECTOR | NA | Control |
| SINGER, BRIAN, DAVID | I | CHIEF INVESTMENT OFFICER | NA | Control |
| SOTORP, KAI, REINER | I | PRESIDENT AND DIRECTOR | NA | Control |
| SOTORP, KAI, REINER | I | PRESIDENT AND DIRECTOR | NA | Control |
| SOTORP, KAI, REINER | I | PRESIDENT AND DIRECTOR | NA | Control |
| SOTORP, KAI, REINER | I | PRESIDENT AND DIRECTOR | NA | Control |
| SOTORP, KAI, REINER | I | PRESIDENT AND DIRECTOR | NA | Control |
| SOTORP, KAI, REINER | I | PRESIDENT AND DIRECTOR | NA | Control |
| SOTORP, KAI, REINER | I | PRESIDENT AND DIRECTOR | NA | Control |
| SOTORP, KAI, REINER | I | PRESIDENT AND DIRECTOR | NA | Control |
| SOTORP, KAI, REINER | I | PRESIDENT AND DIRECTOR | NA | Control |
| SOTORP, KAI, REINER | I | PRESIDENT AND DIRECTOR | NA | Control |
| SQUIRES, DAVID, SACHA | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| SQUIRES, DAVID, SACHA | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| SQUIRES, DAVID, SACHA | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| SQUIRES, DAVID, SACHA | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| SQUIRES, DAVID, SACHA | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| SQUIRES, DAVID, SACHA | I | TREASURER, CHIEF FINANCIAL OFFICER, AND DIRECTOR | NA | Control |
| SQUIRES, DAVID, SACHA | I | TREASURER, CHIEF FINANCIAL OFFICER, AND DIRECTOR | NA | Control |
| SQUIRES, DAVID, SACHA | I | TREASURER, CHIEF FINANCIAL OFFICER, AND DIRECTOR | NA | Control |
| SQUIRES, DAVID, SACHA | I | TREASURER, CHIEF FINANCIAL OFFICER, AND DIRECTOR | NA | Control |
| SQUIRES, DAVID, SACHA | I | TREASURER, CHIEF FINANCIAL OFFICER, AND DIRECTOR | NA | Control |
| SQUIRES, DAVID, SACHA | I | TREASURER, CHIEF FINANCIAL OFFICER, AND DIRECTOR | NA | Control |
| SQUIRES, DAVID, SACHA | I | TREASURER, CHIEF FINANCIAL OFFICER, AND DIRECTOR | NA | Control |
| STACEY, PHILIP, DAVID | I | CHIEF LEGAL OFFICER | NA | |
| STACEY, PHILIP, DAVID | I | CHIEF LEGAL OFFICER | NA | |
| STACEY, PHILIP, DAVID | I | CHIEF LEGAL OFFICER | NA | |
| STACEY, PHILIP, DAVID | I | CHIEF LEGAL OFFICER | NA | |
| STACEY, PHILIP, DAVID | I | CHIEF LEGAL OFFICER | NA | |
| STACEY, PHILIP, DAVID | I | CHIEF LEGAL OFFICER | NA | |
| STACEY, PHILIP, DAVID | I | CHIEF LEGAL OFFICER | NA | |
| STACEY, PHILIP, DAVID | I | CHIEF LEGAL OFFICER | NA | |
| STACEY, PHILIP, DAVID | I | CHIEF LEGAL OFFICER | NA | |
| STACEY, PHILIP, DAVID | I | CHIEF LEGAL OFFICER | NA | |
| STACEY, PHILIP, DAVID | I | CHIEF LEGAL OFFICER | NA | |
| STACEY, PHILIP, DAVID | I | CHIEF LEGAL OFFICER | NA | |
| STACEY, PHILIP, DAVID | I | CHIEF LEGAL OFFICER | NA | |
| STACEY, PHILIP, DAVID | I | CHIEF LEGAL OFFICER | NA | |
| STACEY, PHILIP, DAVID | I | CHIEF LEGAL OFFICER | NA | |
| STORMS, BRIAN, MARSHALL | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | NA | Control |
| STORMS, BRIAN, MARSHALL | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | NA | Control |
| STORMS, BRIAN, MARSHALL | I | CHIEF OPERATING OFFICER | NA | Control |
| STORMS, BRIAN, MARSHALL | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| STORMS, BRIAN, MARSHALL | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| Sledge, Rachael, Natalie | I | CHIEF FINANCIAL OFFICER | NA | |
| Sledge, Rachael, Natalie | I | CHIEF FINANCIAL OFFICER | NA | |
| Sledge, Rachael, Natalie | I | CHIEF FINANCIAL OFFICER | NA | |
| Sledge, Rachael, Natalie | I | CHIEF FINANCIAL OFFICER | NA | |
| Sledge, Rachael, Natalie | I | CHIEF FINANCIAL OFFICER | NA | |
| VAGRA, NICHOLAS, JAMES | I | HEAD OF GLOBAL PRODUCT CONTROL AND LOGISTICS AND DIRECTOR | NA | |
| VARNAS, JOSEPH, ANTHONY | I | HEAD OF PRODUCT, TECHNOLOGY AND OPERATIONS | NA | |
| VARNAS, JOSEPH, ANTHONY | I | HEAD OF PRODUCT, TECHNOLOGY AND OPERATIONS | NA | |
| VARNAS, JOSEPH, ANTHONY | I | HEAD OF PRODUCT, TECHNOLOGY AND OPERATIONS | NA | |
| VARNAS, JOSEPH, ANTHONY | I | HEAD OF PRODUCT, TECHNOLOGY AND OPERATIONS | NA | |
| VARNAS, JOSEPH, ANTHONY | I | HEAD OF PRODUCT, TECHNOLOGY AND OPERATIONS | NA | |
| WOLFANGEL, ROBERT, PETER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WOLFANGEL, ROBERT, PETER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WOLFANGEL, ROBERT, PETER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WOLFANGEL, ROBERT, PETER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WOLFANGEL, ROBERT, PETER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WOLFANGEL, ROBERT, PETER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WOLFANGEL, ROBERT, PETER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WOLFANGEL, ROBERT, PETER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WOLFANGEL, ROBERT, PETER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Zabel, Meggan, Kinum | I | HEAD OF INVESTMENTS BUSINESS MANAGEMENT AND MANAGER | NA | |
| Zabel, Meggan, Kinum | I | HEAD OF INVESTMENTS BUSINESS MANAGEMENT AND MANAGER | NA | |
| Zabel, Meggan, Kinum | I | HEAD OF INVESTMENTS BUSINESS MANAGEMENT AND MANAGER | NA | |
| Zabel, Meggan, Kinum | I | HEAD OF INVESTMENTS BUSINESS MANAGEMENT AND MANAGER | NA | |
| Zabel, Meggan, Kinum | I | HEAD OF INVESTMENTS BUSINESS MANAGEMENT AND MANAGER | NA | |
| Zabel, Meggan, Kinum | I | HEAD OF INVESTMENTS BUSINESS MANAGEMENT AND MANAGER | NA | |
| Zabel, Meggan, Kinum | I | HEAD OF INVESTMENTS BUSINESS MANAGEMENT AND MANAGER | NA | |
| Zabel, Meggan, Kinum | I | HEAD OF INVESTMENTS BUSINESS MANAGEMENT AND MANAGER | NA | |
| Zabel, Meggan, Kinum | I | HEAD OF INVESTMENTS BUSINESS MANAGEMENT AND MANAGER | NA | |
| Zabel, Meggan, Kinum | I | HEAD OF INVESTMENTS BUSINESS MANAGEMENT AND MANAGER | NA | |
| Zabel, Meggan, Kinum | I | HEAD OF INVESTMENTS BUSINESS MANAGEMENT AND MANAGER | NA | |
| Zabel, Meggan, Kinum | I | HEAD OF INVESTMENTS BUSINESS MANAGEMENT AND MANAGER | NA | |
| CSAM AMERICAS HOLDING CORP | DE | SHAREHOLDER | E | Control |
| CSAM AMERICAS HOLDING CORP | DE | SHAREHOLDER | E | Control |
| CSAM AMERICAS HOLDING CORP | DE | SHAREHOLDER | E | Control |
| CSAM AMERICAS HOLDING CORP | DE | SHAREHOLDER | E | Control |
| CSAM AMERICAS HOLDING CORP | DE | SHAREHOLDER | E | Control |
| CSAM AMERICAS HOLDING CORP | DE | SHAREHOLDER | E | Control |
| CSAM AMERICAS HOLDING CORP | DE | SHAREHOLDER | E | Control |
| CSAM AMERICAS HOLDING CORP | DE | SHAREHOLDER | E | Control |
| CSAM AMERICAS HOLDING CORP | DE | SHAREHOLDER | E | Control |
| CSAM AMERICAS HOLDING CORP | DE | SHAREHOLDER | E | Control |
| UBS (USA) INC. | DE | HOLDING COMPANY | E | Control |
| UBS (USA) INC. | DE | HOLDING COMPANY | E | Control |
| UBS (USA) INC. | DE | HOLDING COMPANY | E | Control |
| UBS (USA) INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | HOLDING COMPANY | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
| UBS AMERICAS INC. | DE | SHAREHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CREDIT SUISSE (USA) INC | DE | CSAM AMERICAS HOLDING CORP | E | Control |
| CREDIT SUISSE (USA) INC | DE | CSAM AMERICAS HOLDING CORP | E | Control |
| CREDIT SUISSE (USA) INC | DE | CSAM AMERICAS HOLDING CORP | E | Control |
| CREDIT SUISSE (USA) INC | DE | CSAM AMERICAS HOLDING CORP | E | Control |
| CREDIT SUISSE (USA) INC | DE | CSAM AMERICAS HOLDING CORP | E | Control |
| CREDIT SUISSE (USA) LLC | DE | CREDIT SUISSE HOLDINGS (USA) INC. | E | |
| CREDIT SUISSE (USA) LLC | DE | CREDIT SUISSE HOLDINGS (USA) INC. | E | |
| CREDIT SUISSE (USA) LLC | DE | CREDIT SUISSE HOLDINGS (USA) INC. | E | |
| CREDIT SUISSE (USA) LLC | DE | CREDIT SUISSE HOLDINGS (USA) INC. | E | |
| CREDIT SUISSE (USA) LLC | DE | CREDIT SUISSE HOLDINGS (USA) INC. | E | |
| CREDIT SUISSE HOLDINGS (USA) INC. | DE | CREDIT SUISSE (USA) INC | E | |
| CREDIT SUISSE HOLDINGS (USA) INC. | DE | CREDIT SUISSE (USA) INC | E | |
| CREDIT SUISSE HOLDINGS (USA) INC. | DE | CREDIT SUISSE (USA) INC | E | |
| CREDIT SUISSE HOLDINGS (USA) INC. | DE | CREDIT SUISSE (USA) INC | E | |
| CREDIT SUISSE HOLDINGS (USA) INC. | DE | CREDIT SUISSE (USA) INC | E | |
| UBS AG | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLAND | FE | UBS AMERICAS HOLDING LLC | E | Control |
| UBS AG, ZURICH, SWITZERLERLAND | FE | UBS (USA), INC. - HOLDING COMPANY | E | Control |
| UBS AG, ZURICH, SWITZERLERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLERLAND | FE | UBS AMERICAS INC. | E | Control |
| UBS AG, ZURICH, SWITZERLERLAND | FE | UBS (USA), INC. - HOLDING COMPANY | E | Control |
| UBS AG, ZURICH, SWITZERLERLAND | FE | UBS (USA), INC. - HOLDING COMPANY | E | Control |
| UBS AG, ZURICH, SWITZERLERLAND | FE | UBS (USA), INC. - HOLDING COMPANY | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS HOLDING LLC | DE | UBS AMERICAS INC. | E | Control |
| UBS AMERICAS INC. | DE | UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC. | E | Control |
| UBS AMERICAS INC. | DE | UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC. | E | Control |
| UBS AMERICAS INC. | DE | UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC. | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
| UBS GROUP AG | FE | UBS AG | E | Control |
Registrations
Federal
IA
Aug 27, 2025 REGISTERED
Notice Filings (52)
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 PR RI SC SD TN TX UT VA VI VT WA WI WV
Address
787 7TH AVENUENEW YORK, NY 10019
United States
Phone: 212-713-2000