INSTITUTIONAL CAPITAL LLC
CRD #107149 SEC #801-40779 CHICAGO, IL 312-424-9100
SEC Registered
Total AUM
$10.2B
Discretionary
$9.6B
Employees
51
Clients
0
Accounts
77
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jan 10, 2017
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ASHE, CHRISTOPHER, THOMAS | I | DIRECTOR | NA | Control |
| BANKS, KATIE, JEANNE | I | SENIOR VICE PRESIDENT AND DIRECTOR OF HUMAN RESOURCES | NA | Control |
| BANKS, KATIE, JEANNE | I | SENIOR VICE PRESIDENT AND DIRECTOR OF HUMAN RESOURCES | NA | Control |
| BANKS, KATIE, JEANNE | I | SENIOR VICE PRESIDENT AND DIRECTOR OF HUMAN RESOURCES | NA | Control |
| BANKS, KATIE, JEANNE | I | SENIOR VICE PRESIDENT AND DIRECTOR OF HUMAN RESOURCES | NA | Control |
| BANKS, KATIE, JEANNE | I | SENIOR VICE PRESIDENT AND DIRECTOR OF HUMAN RESOURCES | NA | Control |
| BANKS, KATIE, JEANNE | I | SENIOR VICE PRESIDENT AND DIRECTOR OF HUMAN RESOURCES | NA | Control |
| BANKS, KATIE, JEANNE | I | SENIOR VICE PRESIDENT AND DIRECTOR OF HUMAN RESOURCES | NA | Control |
| BANKS, KATIE, JEANNE | I | SENIOR VICE PRESIDENT AND DIRECTOR OF HUMAN RESOURCES | NA | Control |
| BANKS, KATIE, JEANNE | I | SENIOR VICE PRESIDENT AND DIRECTOR OF HUMAN RESOURCES | NA | Control |
| BANKS, KATIE, JEANNE | I | SENIOR VICE PRESIDENT AND DIRECTOR OF HUMAN RESOURCES | NA | Control |
| BIENEMAN, KATIE, JEANNE | I | VICE PRESIDENT AND DIRECTOR OF HUMAN RESOURCES | NA | |
| BIENEMAN, KATIE, JEANNE | I | VICE PRESIDENT AND DIRECTOR OF HUMAN RESOURCES | NA | |
| BIENEMAN, KATIE, JEANNE | I | VICE PRESIDENT AND DIRECTOR OF HUMAN RESOURCES | NA | |
| BIENEMAN, KATIE, JEANNE | I | VICE PRESIDENT AND DIRECTOR OF HUMAN RESOURCES | NA | |
| BIENEMAN, KATIE, JEANNE | I | VICE PRESIDENT AND DIRECTOR OF HUMAN RESOURCES | NA | |
| BIENEMAN, KATIE, JEANNE | I | VICE PRESIDENT AND DIRECTOR OF HUMAN RESOURCES | NA | |
| BLUNT, CHRISTOPHER, OWSLEY | I | ELECTED MANAGER | NA | Control |
| BLUNT, CHRISTOPHER, OWSLEY | I | ELECTED MANAGER | NA | Control |
| BLUNT, CHRISTOPHER, OWSLEY | I | ELECTED MANAGER | NA | Control |
| BLUNT, CHRISTOPHER, OWSLEY | I | ELECTED MANAGER | NA | Control |
| BLUNT, CHRISTOPHER, OWSLEY | I | ELECTED MANAGER | NA | Control |
| BLUNT, CHRISTOPHER, OWSLEY | I | ELECTED MANAGER | NA | Control |
| CEDERBERG, KAIN, DAVID | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| CEDERBERG, KAIN, DAVID | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| CEDERBERG, KAIN, DAVID | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| CEDERBERG, KAIN, DAVID | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| CEDERBERG, KAIN, DAVID | I | SENIOR VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| CEDERBERG, KAIN, DAVID | I | SENIOR VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| CEDERBERG, KAIN, DAVID | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| CEDERBERG, KAIN, DAVID | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| CEDERBERG, KAIN, DAVID | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| CEDERBERG, KAIN, DAVID | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| CEDERBERG, KAIN, DAVID | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| CEDERBERG, KAIN, DAVID | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF TRADING | NA | Control |
| CITRANO, MICHAEL, FRANK | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF MIS | NA | Control |
| CITRANO, MICHAEL, FRANK | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF MIS | NA | Control |
| CITRANO, MICHAEL, FRANK | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF MIS | NA | Control |
| CITRANO, MICHAEL, FRANK | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF MIS | NA | Control |
| CITRANO, MICHAEL, FRANK | I | SENIOR VICE PRESIDENT AND DIRECTOR OF MIS | NA | Control |
| CITRANO, MICHAEL, FRANK | I | SENIOR VICE PRESIDENT AND DIRECTOR OF MIS | NA | Control |
| CITRANO, MICHAEL, FRANK | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF MIS | NA | Control |
| CITRANO, MICHAEL, FRANK | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF MIS | NA | Control |
| CITRANO, MICHAEL, FRANK | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF MIS | NA | Control |
| CITRANO, MICHAEL, FRANK | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF MIS | NA | Control |
| CITRANO, MICHAEL, FRANK | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF MIS | NA | Control |
| CITRANO, MICHAEL, FRANK | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF MIS | NA | Control |
| COLE, THOMAS, M | I | SENIOR EXECUTIVE VICE PRESIDENT AND DEPUTY CHIEF INVESTMENT OFFICER | NA | Control |
| COLE, THOMAS, M | I | SENIOR EXECUTIVE VICE PRESIDENT AND CO-CHIEF INVESTMENT OFFICER | NA | Control |
| COLE, THOMAS, M | I | SENIOR EXECUTIVE VICE PRESIDENT AND DEPUTY CHIEF INVESTMENT OFFICER | NA | Control |
| COLE, THOMAS, M | I | SENIOR EXECUTIVE VICE PRESIDENT AND DEPUTY CHIEF INVESTMENT OFFICER | NA | Control |
| COLE, THOMAS, M | I | SENIOR EXECUTIVE VICE PRESIDENT AND DEPUTY CHIEF INVESTMENT OFFICER | NA | Control |
| COLE, THOMAS, M | I | SENIOR EXECUTIVE VICE PRESIDENT AND DEPUTY CHIEF INVESTMENT OFFICER | NA | Control |
| COLE, THOMAS, M | I | SENIOR EXECUTIVE VICE PRESIDENT AND CO-DIRECTOR OF RESEARCH | NA | Control |
| COLE, THOMAS, M | I | SENIOR EXECUTIVE VICE PRESIDENT AND CO-DIRECTOR OF RESEARCH | NA | Control |
| COLE, THOMAS, M | I | SENIOR EXECUTIVE VICE PRESIDENT AND CO-DIRECTOR OF RESEARCH | NA | Control |
| COLE, THOMAS, M | I | SENIOR EXECUTIVE VICE PRESIDENT AND CO-DIRECTOR OF RESEARCH | NA | Control |
| COLE, THOMAS, M | I | SENIOR EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| COLE, THOMAS, M | I | SENIOR EXECUTIVE VICE PRESIDENT AND CO-CHIEF INVESTMENT OFFICER | NA | Control |
| COLE, THOMAS, M | I | SENIOR EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| COLE, THOMAS, M | I | SENIOR EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| CONROY, PAMELA, H | I | EXEC VP/DIRECTOR/CHIEF COMPLIANCE OFFICER | NA | Control |
| CONROY, PAMELA, H | I | SR VP/DIRECTOR/CHIEF COMPLIANCE OFFICER | NA | |
| CONROY, PAMELA, H | I | EXEC VP/DIRECTOR/CHIEF COMPLIANCE OFFICER | NA | Control |
| CONROY, PAMELA, H | I | SENIOR VP/DIRECTOR | NA | |
| CONROY, PAMELA, H | I | SENIOR VP/DIRECTOR | NA | |
| FLANAGAN, MARK, EDWARD | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| FLANAGAN, MARK, EDWARD | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| FLANAGAN, MARK, EDWARD | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| FLANAGAN, MARK, EDWARD | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| FLANAGAN, MARK, EDWARD | I | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND DIRECTOR OF BUSINESS OPERATIONS | NA | Control |
| FLANAGAN, MARK, EDWARD | I | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND DIRECTOR OF BUSINESS OPERATIONS | NA | Control |
| FLANAGAN, MARK, EDWARD | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| FLANAGAN, MARK, EDWARD | I | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND DIRECTOR OF BUSINESS OPERATIONS | NA | Control |
| FLANAGAN, MARK, EDWARD | I | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND DIRECTOR OF BUSINESS OPERATIONS | NA | Control |
| FLANAGAN, MARK, EDWARD | I | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND DIRECTOR OF BUSINESS OPERATIONS | NA | Control |
| FLANAGAN, MARK, EDWARD | I | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND DIRECTOR OF BUSINESS OPERATIONS | NA | Control |
| FLANAGAN, MARK, EDWARD | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| FLANAGAN, MARK, EDWARD | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| FLANAGAN, MARK, EDWARD | I | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND DIRECTOR OF BUSINESS OPERATIONS | NA | Control |
| FLANAGAN, MARK, EDWARD | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| FLANAGAN, MARK, EDWARD | I | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND DIRECTOR OF BUSINESS OPERATIONS | NA | Control |
| FLANAGAN, MARK, EDWARD | I | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND DIRECTOR OF BUSINESS OPERATIONS | NA | Control |
| FLANAGAN, MARK, EDWARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| FLANAGAN, MARK, EDWARD | I | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND DIRECTOR OF BUSINESS OPERATIONS | NA | Control |
| FLEURANT, JOHN, THOMAS | I | DIRECTOR | NA | Control |
| FRANC, BRIAN, EDWARD | I | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| FRANC, BRIAN, EDWARD | I | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| FRANC, BRIAN, EDWARD | I | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| FRANC, BRIAN, EDWARD | I | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| FRANC, BRIAN, EDWARD | I | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| FRANC, BRIAN, EDWARD | I | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| FRANC, BRIAN, EDWARD | I | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| FRANC, BRIAN, EDWARD | I | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| FRANC, BRIAN, EDWARD | I | EXECUTIVE VICE PRESIDENT, CCO AND DIRECTOR OF RISK MANAGEMENT AND PORTFOLIO OPERATIONS | NA | Control |
| FRANC, BRIAN, EDWARD | I | EXECUTIVE VICE PRESIDENT, CCO AND DIRECTOR OF RISK MANAGEMENT AND PORTFOLIO OPERATIONS | NA | Control |
| FRANC, BRIAN, EDWARD | I | EXECUTIVE VICE PRESIDENT, CCO AND DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| FRANC, BRIAN, EDWARD | I | EXECUTIVE VICE PRESIDENT, CCO AND DIRECTOR OF RISK MANAGEMENT AND PORTFOLIO OPERATIONS | NA | Control |
| FRANC, BRIAN, EDWARD | I | EXECUTIVE VICE PRESIDENT, CCO AND DIRECTOR OF RISK MANAGEMENT AND PORTFOLIO OPERATIONS | NA | Control |
| FRANC, BRIAN, EDWARD | I | EXECUTIVE VICE PRESIDENT, CCO AND DIRECTOR OF RISK MANAGEMENT AND PORTFOLIO OPERATIONS | NA | Control |
| FRANC, BRIAN, EDWARD | I | EXECUTIVE VICE PRESIDENT, CCO AND DIRECTOR OF RISK MANAGEMENT AND PORTFOLIO OPERATIONS | NA | Control |
| FRANC, BRIAN, EDWARD | I | EXECUTIVE VICE PRESIDENT, CCO AND DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| FRANC, BRIAN, EDWARD | I | EXECUTIVE VICE PRESIDENT, CCO AND DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| FRANC, BRIAN, EDWARD | I | EXECUTIVE VICE PRESIDENT, CCO AND DIRECTOR OF RISK MANAGEMENT AND PORTFOLIO OPERATIONS | NA | Control |
| FRANC, BRIAN, EDWARD | I | EXECUTIVE VICE PRESIDENT, CCO AND DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| FRANC, BRIAN, EDWARD | I | EXECUTIVE VICE PRESIDENT, CCO AND DIRECTOR OF RISK MANAGEMENT AND PORTFOLIO OPERATIONS | NA | Control |
| FRANC, BRIAN, EDWARD | I | EXECUTIVE VICE PRESIDENT, CCO AND DIRECTOR OF RISK MANAGEMENT AND PORTFOLIO OPERATIONS | NA | Control |
| FRANC, BRIAN, EDWARD | I | EXECUTIVE VICE PRESIDENT, CCO AND DIRECTOR OF RISK MANAGEMENT AND PORTFOLIO OPERATIONS | NA | Control |
| FRANC, BRIAN, EDWARD | I | EXECUTIVE VICE PRESIDENT, CCO AND DIRECTOR OF RISK MANAGEMENT AND PORTFOLIO OPERATIONS | NA | Control |
| GARDNER, ROBERT, MICHAEL | I | ELECTED MANAGER | NA | Control |
| GARDNER, ROBERT, MICHAEL | I | ELECTED MANAGER | NA | Control |
| GARDNER, ROBERT, MICHAEL | I | DIRECTOR | NA | Control |
| GARDNER, ROBERT, MICHAEL | I | DIRECTOR | NA | Control |
| GARDNER, ROBERT, MICHAEL | I | DIRECTOR | NA | Control |
| GARDNER, ROBERT, MICHAEL | I | ELECTED MANAGER | NA | Control |
| GARDNER, ROBERT, MICHAEL | I | DIRECTOR | NA | Control |
| GARDNER, ROBERT, MICHAEL | I | ELECTED MANAGER | NA | Control |
| GARDNER, ROBERT, MICHAEL | I | ELECTED MANAGER | NA | Control |
| GARDNER, ROBERT, MICHAEL | I | ELECTED MANAGER | NA | Control |
| GARDNER, ROBERT, MICHAEL | I | ELECTED MANAGER | NA | Control |
| GARRETT, JOHN, PATRICK | I | SENIOR VP/DIRECTOR | NA | |
| GARRETT, JOHN, PATRICK | I | SENIOR VP/DIRECTOR | NA | |
| GARRETT, JOHN, PATRICK | I | SENIOR VP/DIRECTOR | NA | |
| GRADY, JOHN, MICHAEL | I | DIRECTOR | NA | Control |
| GRADY, JOHN, MICHAEL | I | DIRECTOR | NA | Control |
| GRADY, JOHN, MICHAEL | I | DIRECTOR | NA | Control |
| HARTE, FRANCIS, MICHAEL | I | ELECTED MANAGER | NA | Control |
| HARTE, FRANCIS, MICHAEL | I | ELECTED MANAGER | NA | Control |
| HARTE, FRANCIS, MICHAEL | I | DIRECTOR | NA | Control |
| HARTE, FRANCIS, MICHAEL | I | DIRECTOR | NA | Control |
| HARTE, FRANCIS, MICHAEL | I | DIRECTOR | NA | Control |
| HARTE, FRANCIS, MICHAEL | I | ELECTED MANAGER | NA | Control |
| HARTE, FRANCIS, MICHAEL | I | ELECTED MANAGER | NA | Control |
| HARTE, FRANCIS, MICHAEL | I | ELECTED MANAGER | NA | Control |
| HARTE, FRANCIS, MICHAEL | I | ELECTED MANAGER | NA | Control |
| HARTE, FRANCIS, MICHAEL | I | ELECTED MANAGER | NA | Control |
| HUNG, YIE-HSIN | I | DIRECTOR | NA | Control |
| HUNG, YIE-HSIN | I | DIRECTOR | NA | Control |
| HUNG, YIE-HSIN | I | DIRECTOR | NA | Control |
| HUNG, YIE-HSIN | I | DIRECTOR | NA | Control |
| HUNG, YIE-HSIN | I | DIRECTOR | NA | Control |
| HUNG, YIE-HSIN | I | DIRECTOR | NA | Control |
| HUNG, YIE-HSIN | I | DIRECTOR | NA | Control |
| HUNG, YIE-HSIN | I | DIRECTOR | NA | Control |
| HUNG, YIE-HSIN, NMN | I | ELECTED MANAGER | NA | Control |
| HUNG, YIE-HSIN, NMN | I | ELECTED MANAGER | NA | Control |
| HUNG, YIE-HSIN, NMN | I | ELECTED MANAGER | NA | Control |
| HUNG, YIE-HSIN, NMN | I | ELECTED MANAGER | NA | Control |
| HUNG, YIE-HSIN, NMN | I | ELECTED MANAGER | NA | Control |
| HUNG, YIE-HSIN, NMN | I | ELECTED MANAGER | NA | Control |
| HUNG, YIE-HSIN, NMN | I | ELECTED MANAGER | NA | Control |
| KIM, JOHN, YONG | I | DIRECTOR | NA | Control |
| KIM, JOHN, YONG | I | DIRECTOR | NA | Control |
| KIM, JOHN, YONG | I | DIRECTOR | NA | Control |
| KIM, JOHN, YONG | I | DIRECTOR | NA | Control |
| KIM, JOHN, YONG | I | DIRECTOR | NA | Control |
| KIM, JOHN, YONG | I | DIRECTOR | NA | Control |
| KIM, JOHN, YONG | I | DIRECTOR | NA | Control |
| KIM, JOHN, YONG | I | DIRECTOR | NA | Control |
| KOZIEL JR., PAUL, G | I | EXECUTIVE VICE PRESIDENT AND CHIEF TECHNOLOGY OFFICER | NA | Control |
| KOZIEL JR., PAUL, G | I | EXECUTIVE VICE PRESIDENT AND CHIEF TECHNOLOGY OFFICER | NA | Control |
| LAWTON, DREW, EDWARD | I | DIRECTOR | NA | Control |
| LAWTON, DREW, EDWARD | I | HEAD OF TRADITIONAL SCALE BUSINESSES | NA | Control |
| LAWTON, DREW, EDWARD | I | HEAD OF TRADITIONAL SCALE BUSINESSES | NA | Control |
| LAWTON, DREW, EDWARD | I | DIRECTOR | NA | Control |
| LAWTON, DREW, EDWARD | I | DIRECTOR | NA | Control |
| LAWTON, DREW, EDWARD | I | DIRECTOR | NA | Control |
| LAWTON, DREW, EDWARD | I | ELECTED MANAGER | NA | Control |
| LAWTON, DREW, EDWARD | I | DIRECTOR | NA | Control |
| LAWTON, DREW, EDWARD | I | DIRECTOR | NA | Control |
| LUKASZEWICZ, ROBERT, JOHN | I | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| LUKASZEWICZ, ROBERT, JOHN | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| LUKASZEWICZ, ROBERT, JOHN | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| LYON, ROBERT, HAYES | I | PRESIDENT/DIRECTOR | NA | Control |
| MAURER, GARY, SCOTT | I | EXECUTIVE VP | NA | Control |
| MAURER, GARY, SCOTT | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| MURDOCK, BRIAN, ANDREW | I | DIRECTOR | NA | Control |
| MURDOCK, BRIAN, ANDREW | I | DIRECTOR | NA | Control |
| NENNINGER, BRIAN, W. | I | CHIEF FINANCIAL OFFICER | NA | Control |
| O'KELLY, KELLY, ANN | I | SENIOR VICE PRESIDENT AND CHIEF MARKETING OFFICER | NA | |
| O'KELLY, KELLY, ANN | I | SENIOR VICE PRESIDENT AND CHIEF MARKETING OFFICER | NA | |
| O'KELLY, KELLY, ANN | I | SENIOR VICE PRESIDENT AND CHIEF MARKETING OFFICER | NA | |
| O'KELLY, KELLY, ANN | I | SENIOR VICE PRESIDENT AND CHIEF MARKETING OFFICER | NA | |
| O'KELLY, KELLY, ANN | I | SENIOR VICE PRESIDENT AND CHIEF MARKETING OFFICER | NA | |
| O'KELLY, KELLY, ANN | I | SENIOR VICE PRESIDENT AND CHIEF MARKETING OFFICER | NA | |
| O'KELLY, KELLY, ANN | I | EXECUTIVE VICE PRESIDENT AND CHIEF MARKETING OFFICER | NA | Control |
| O'KELLY, KELLY, ANN | I | EXECUTIVE VICE PRESIDENT AND CHIEF MARKETING OFFICER | NA | Control |
| O'KELLY, KELLY, ANN | I | EXECUTIVE VICE PRESIDENT AND CHIEF MARKETING OFFICER | NA | Control |
| O'KELLY, KELLY, ANN | I | EXECUTIVE VICE PRESIDENT AND CHIEF MARKETING OFFICER | NA | Control |
| ROGERS, PAULA, LYNN | I | SENIOR VICE PRESIDENT | NA | Control |
| ROGERS, PAULA, LYNN | I | SENIOR VICE PRESIDENT | NA | |
| ROGERS, PAULA, LYNN | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ROGERS, PAULA, LYNN | I | DIRECTOR, PRESIDENT | NA | Control |
| ROGERS, PAULA, LYNN | I | DIRECTOR, PRESIDENT | NA | Control |
| ROGERS, PAULA, LYNN | I | DIRECTOR, PRESIDENT | NA | Control |
| ROGERS, PAULA, LYNN | I | DIRECTOR, PRESIDENT | NA | Control |
| ROGERS, PAULA, LYNN | I | SENIOR VICE PRESIDENT | NA | |
| ROGERS, PAULA, LYNN | I | DIRECTOR, EXECUTIVE VICE PRESIDENT AND DIRECTOR OF CLIENT SERVICES AND NEW BUSINESS DEVELOPMENT | NA | Control |
| ROGERS, PAULA, LYNN | I | DIRECTOR, EXECUTIVE VICE PRESIDENT AND DIRECTOR OF CLIENT SERVICES AND NEW BUSINESS DEVELOPMENT | NA | Control |
| ROGERS, PAULA, LYNN | I | SENIOR VICE PRESIDENT | NA | |
| ROGERS, PAULA, LYNN | I | DIRECTOR, PRESIDENT | NA | Control |
| ROGERS, PAULA, LYNN | I | DIRECTOR, PRESIDENT | NA | Control |
| ROGERS, PAULA, LYNN | I | DIRECTOR, PRESIDENT | NA | Control |
| ROGERS, PAULA, LYNN | I | DIRECTOR, PRESIDENT | NA | Control |
| ROGERS, PAULA, LYNN | I | DIRECTOR, PRESIDENT | NA | Control |
| ROGERS, PAULA, LYNN | I | DIRECTOR, PRESIDENT | NA | Control |
| SCHUB, BARRY, A | I | DIRECTOR | NA | Control |
| SCHUB, BARRY, A | I | DIRECTOR | NA | Control |
| SCOTT, DOUGLAS | I | SENIOR VP/DIRECTOR | NA | |
| SENSER, JERROLD | I | EXEC VP | NA | Control |
| SENSER, JERROLD | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| SENSER, JERROLD, KEITH | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| SENSER, JERROLD, KEITH | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| SENSER, JERROLD, KEITH | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| SENSER, JERROLD, KEITH | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| SENSER, JERROLD, KEITH | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| SENSER, JERROLD, KEITH | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| SENSER, JERROLD, KEITH | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| SENSER, JERROLD, KEITH | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| SENSER, JERROLD, KEITH | I | ELECTED MANAGER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| SENSER, JERROLD, KEITH | I | ELECTED MANAGER, CHAIRMAN AND CO-CHIEF INVESTMENT OFFICER | NA | Control |
| SENSER, JERROLD, KEITH | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| SENSER, JERROLD, KEITH | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| SENSER, JERROLD, KEITH | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| SENSER, JERROLD, KEITH | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| SENSER, JERROLD, KEITH | I | ELECTED MANAGER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| SENSER, JERROLD, KEITH | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| SENSER, JERROLD, KEITH | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| SENSER, JERROLD, KEITH | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| SENSER, JERROLD, KEITH | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| SENSER, JERROLD, KEITH | I | ELECTED MANAGER, CHAIRMAN AND CO-CHIEF INVESTMENT OFFICER | NA | Control |
| SHAPIRO, JOEL | I | SENIOR VICE PRESIDENT | NA | |
| SHAPIRO, JOEL | I | SENIOR VICE PRESIDENT | NA | |
| SHAPIRO, JOEL | I | SENIOR VICE PRESIDENT | NA | |
| SICILIANO, JOHN, CARMINE | I | DIRECTOR | NA | Control |
| SICILIANO, JOHN, CARMINE | I | DIRECTOR | NA | Control |
| SICILIANO, JOHN, CARMINE | I | DIRECTOR | NA | Control |
| SICILIANO, JOHN, CARMINE | I | DIRECTOR | NA | Control |
| SICILIANO, JOHN, CARMINE | I | DIRECTOR | NA | Control |
| SPROULE, MICHAEL, EDWARD | I | DIRECTOR | NA | Control |
| SPROULE, MICHAEL, EDWARD | I | DIRECTOR | NA | Control |
| SPROULE, MICHAEL, EDWARD | I | DIRECTOR | NA | Control |
| SPROULE, MICHAEL, EDWARD | I | DIRECTOR | NA | Control |
| SPROULE, MICHAEL, EDWARD | I | DIRECTOR | NA | Control |
| SPROULE, MICHAEL, EDWARD | I | DIRECTOR | NA | Control |
| SPROULE, MICHAEL, EDWARD | I | DIRECTOR | NA | Control |
| SPROULE, MICHAEL, EDWARD | I | DIRECTOR | NA | Control |
| SPROULE, MICHAEL, EDWARD | I | DIRECTOR | NA | Control |
| SPROULE, MICHAEL, EDWARD | I | DIRECTOR | NA | Control |
| SPROULE, MICHAEL, EDWARD | I | DIRECTOR | NA | Control |
| SPROULE, MICHAEL, EDWARD | I | DIRECTOR | NA | Control |
| SPROULE, MICHAEL, EDWARD | I | DIRECTOR | NA | Control |
| SPROULE, MICHAEL, EDWARD | I | DIRECTOR | NA | Control |
| STARR, ANDREW, PATRICK | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF RESEARCH | NA | Control |
| STARR, ANDREW, PATRICK | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF RESEARCH | NA | Control |
| STARR, ANDREW, PATRICK | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF RESEARCH | NA | Control |
| STARR, ANDREW, PATRICK | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF RESEARCH | NA | Control |
| STARR, ANDREW, PATRICK | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF RESEARCH | NA | Control |
| STARR, ANDREW, PATRICK | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF RESEARCH | NA | Control |
| STARR, ANDREW, PATRICK | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF RESEARCH | NA | Control |
| STARR, ANDREW, PATRICK | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF RESEARCH | NA | Control |
| STARR, ANDREW, PATRICK | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF RESEARCH | NA | Control |
| WATSON, KEITH, DOUGLAS | I | EXECUTIVE VICE PRESIDENT AND HEAD OF CONSULTANT RELATIONSHIPS | NA | Control |
| WATSON, KEITH, DOUGLAS | I | EXECUTIVE VICE PRESIDENT AND HEAD OF CONSULTANT RELATIONSHIPS | NA | Control |
| WATSON, KEITH, DOUGLAS | I | EXECUTIVE VICE PRESIDENT AND HEAD OF CONSULTANT RELATIONSHIPS | NA | Control |
| WATSON, KEITH, DOUGLAS | I | EXECUTIVE VICE PRESIDENT AND HEAD OF CONSULTANT RELATIONSHIPS | NA | Control |
| WATSON, KEITH, DOUGLAS | I | EXECUTIVE VICE PRESIDENT AND HEAD OF CONSULTANT RELATIONSHIPS | NA | Control |
| WATSON, KEITH, DOUGLAS | I | EXECUTIVE VICE PRESIDENT AND HEAD OF CONSULTANT RELATIONSHIPS | NA | Control |
| WATSON, KEITH, DOUGLAS | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF CONSULTANT RELATIONSHIPS AND BUSINESS DEVELOPMENT | NA | Control |
| WATSON, KEITH, DOUGLAS | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF CLIENT SERVICE, CONSULTANT RELATIONS, AND BUSINESS DEVELOPMENT | NA | Control |
| WATSON, KEITH, DOUGLAS | I | EXECUTIVE VICE PRESIDENT AND HEAD OF CONSULTANT RELATIONSHIPS | NA | Control |
| WATSON, KEITH, DOUGLAS | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF CONSULTANT RELATIONSHIPS AND BUSINESS DEVELOPMENT | NA | Control |
| WATSON, KEITH, DOUGLAS | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF CONSULTANT RELATIONSHIPS AND BUSINESS DEVELOPMENT | NA | Control |
| WATSON, KEITH, DOUGLAS | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF CONSULTANT RELATIONSHIPS AND BUSINESS DEVELOPMENT | NA | Control |
| WATSON, KEITH, DOUGLAS | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF CONSULTANT RELATIONSHIPS AND BUSINESS DEVELOPMENT | NA | Control |
| WATSON, KEITH, DOUGLAS | I | EXECUTIVE VICE PRESIDENT AND HEAD OF CONSULTANT RELATIONSHIPS | NA | Control |
| WATSON, KEITH, DOUGLAS | I | EXECUTIVE VICE PRESIDENT AND HEAD OF CONSULTANT RELATIONSHIPS | NA | Control |
| WATSON, KEITH, DOUGLAS | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF CONSULTANT RELATIONSHIPS AND BUSINESS DEVELOPMENT | NA | Control |
| WATSON, KEITH, DOUGLAS | I | EXECUTIVE VICE PRESIDENT AND HEAD OF CONSULTANT RELATIONSHIPS | NA | Control |
| WATSON, KEITH, DOUGLAS | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF CLIENT SERVICE, CONSULTANT RELATIONS, AND BUSINESS DEVELOPMENT | NA | Control |
| WATSON, KEITH, DOUGLAS | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF CLIENT SERVICE, CONSULTANT RELATIONS, AND BUSINESS DEVELOPMENT | NA | Control |
| WATSON, KEITH, DOUGLAS | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF CLIENT SERVICE, CONSULTANT RELATIONS, AND BUSINESS DEVELOPMENT | NA | Control |
| WEISENBERGER, SCOTT, EDWIN | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF BUSINESS DEVELOPMENT AND CLIENT SERVICE | NA | Control |
| WEISENBERGER, SCOTT, EDWIN | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF BUSINESS DEVELOPMENT AND CLIENT SERVICE | NA | Control |
| WEISENBERGER, SCOTT, EDWIN | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF BUSINESS DEVELOPMENT AND CLIENT SERVICE | NA | Control |
| WEISENBERGER, SCOTT, EDWIN | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF BUSINESS DEVELOPMENT AND CLIENT SERVICE | NA | Control |
| WEISENBERGER, SCOTT, EDWIN | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF BUSINESS DEVELOPMENT AND CLIENT SERVICE | NA | Control |
| WEISENBERGER, SCOTT, EDWIN | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF BUSINESS DEVELOPMENT AND CLIENT SERVICE | NA | Control |
| WEISENBERGER, SCOTT, EDWIN | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF CLIENT SERVICE AND BUSINESS DEVELOPMENT | NA | Control |
| WEISENBERGER, SCOTT, EDWIN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEISENBERGER, SCOTT, EDWIN | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF BUSINESS DEVELOPMENT AND CLIENT SERVICE | NA | Control |
| WEISENBERGER, SCOTT, EDWIN | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF CLIENT SERVICE AND BUSINESS DEVELOPMENT | NA | Control |
| WEISENBERGER, SCOTT, EDWIN | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF CLIENT SERVICE AND BUSINESS DEVELOPMENT | NA | Control |
| WEISENBERGER, SCOTT, EDWIN | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF CLIENT SERVICE AND BUSINESS DEVELOPMENT | NA | Control |
| WEISENBERGER, SCOTT, EDWIN | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF CLIENT SERVICE AND BUSINESS DEVELOPMENT | NA | Control |
| WEISENBERGER, SCOTT, EDWIN | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF BUSINESS DEVELOPMENT AND CLIENT SERVICE | NA | Control |
| WEISENBERGER, SCOTT, EDWIN | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF BUSINESS DEVELOPMENT AND CLIENT SERVICE | NA | Control |
| WEISENBERGER, SCOTT, EDWIN | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF CLIENT SERVICE AND BUSINESS DEVELOPMENT | NA | Control |
| WEISENBERGER, SCOTT, EDWIN | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF BUSINESS DEVELOPMENT AND CLIENT SERVICE | NA | Control |
| WEISENBERGER, SCOTT, EDWIN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEISENBERGER, SCOTT, EDWIN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WEISENBERGER, SCOTT, EDWIN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WENDLANDT, GARY, EDWARD | I | DIRECTOR | NA | Control |
| WENDLANDT, GARY, EDWARD | I | DIRECTOR | NA | Control |
| WENDLANDT, GARY, EDWARD | I | DIRECTOR | NA | Control |
| WENDLANDT, GARY, EDWARD | I | DIRECTOR | NA | Control |
| WENDLANDT, GARY, EDWARD | I | DIRECTOR | NA | Control |
| WENDLANDT, GARY, EDWARD | I | DIRECTOR | NA | Control |
| WENDLANDT, GARY, EDWARD | I | DIRECTOR | NA | Control |
| WENZEL, THOMAS, RICHARD | I | SENIOR VP | NA | Control |
| WENZEL, THOMAS, RICHARD | I | SENIOR VP/DIRECTOR | NA | |
| WENZEL, THOMAS, RICHARD | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF RESEARCH | NA | Control |
| WENZEL, THOMAS, RICHARD | I | SENIOR EXECUTIVE VICE PRESIDENT AND DIRECTOR OF RESEARCH | NA | Control |
| WENZEL, THOMAS, RICHARD | I | SENIOR EXECUTIVE VICE PRESIDENT AND DIRECTOR OF RESEARCH | NA | Control |
| WENZEL, THOMAS, RICHARD | I | SENIOR EXECUTIVE VICE PRESIDENT AND DIRECTOR OF RESEARCH | NA | Control |
| WENZEL, THOMAS, RICHARD | I | SENIOR EXECUTIVE VICE PRESIDENT AND DIRECTOR OF RESEARCH | NA | Control |
| WENZEL, THOMAS, RICHARD | I | SENIOR VP/DIRECTOR | NA | |
| WENZEL, THOMAS, RICHARD | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF RESEARCH | NA | Control |
| WENZEL, THOMAS, RICHARD | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR OF RESEARCH | NA | Control |
| WENZEL, THOMAS, RICHARD | I | SENIOR VP/DIRECTOR | NA | |
| WENZEL, THOMAS, RICHARD | I | SENIOR EXECUTIVE VICE PRESIDENT AND DIRECTOR OF RESEARCH | NA | Control |
| WENZEL, THOMAS, RICHARD | I | SENIOR EXECUTIVE VICE PRESIDENT AND DIRECTOR OF RESEARCH | NA | Control |
| WENZEL, THOMAS, RICHARD | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| WENZEL, THOMAS, RICHARD | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| WENZEL, THOMAS, RICHARD | I | SENIOR EXECUTIVE VICE PRESIDENT AND DIRECTOR OF RESEARCH | NA | Control |
| WENZEL, THOMAS, RICHARD | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| WENZEL, THOMAS, RICHARD | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| WENZEL, THOMAS, RICHARD | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| WENZEL, THOMAS, RICHARD | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| WENZEL, THOMAS, RICHARD | I | SENIOR EXECUTIVE VICE PRESIDENT AND CO-DIRECTOR OF RESEARCH | NA | Control |
| WENZEL, THOMAS, RICHARD | I | SENIOR EXECUTIVE VICE PRESIDENT AND CO-DIRECTOR OF RESEARCH | NA | Control |
| WENZEL, THOMAS, RICHARD | I | SENIOR EXECUTIVE VICE PRESIDENT AND CO-DIRECTOR OF RESEARCH | NA | Control |
| WENZEL, THOMAS, RICHARD | I | SENIOR EXECUTIVE VICE PRESIDENT AND CO-DIRECTOR OF RESEARCH | NA | Control |
| WENZEL, THOMAS, RICHARD | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | DE | MEMBER | E | Control |
| LYON, ROBERT, HAYES | I | PRESIDENT/DIRECTOR | D | Control |
| LYON, ROBERT, HAYES | I | PRESIDENT/DIRECTOR | D | Control |
| LYON, ROBERT, HAYES | I | PRESIDENT/DIRECTOR | D | Control |
| MAURER, GARY, SCOTT | I | EXECUTIVE VP/DIRECTOR | B | Control |
| MAURER, GARY, SCOTT | I | EXECUTIVE VP/DIRECTOR | B | |
| MAURER, GARY, SCOTT | I | EXECUTIVE VP/DIRECTOR | B | |
| SENSER, JERROLD | I | EXEC VP/DIRECTOR | B | Control |
| SENSER, JERROLD | I | EXEC VP/DIRECTOR | B | |
| SENSER, JERROLD | I | EXEC VP/DIRECTOR | B | |
| THE JOHN NUVEEN COMPANY | DE | NON-VOTING COMMON | B | |
| THE JOHN NUVEEN COMPANY | DE | NON-VOTING COMMON | B | |
| THE JOHN NUVEEN COMPANY | DE | CONVERTIBLE PREFERRED | B | |
| NIEMANN, DONALD, DEAN | I | EXECUTIVE VP/DIRECTOR | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | F | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | F | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
| NEW YORK LIFE INSURANCE COMPANY | DE | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | E | Control |
Registrations
Federal
IA
Jan 10, 2017 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
353 NORTH CLARK STREET, SUITE 3500CHICAGO, IL 60654
United States
Phone: 312-424-9100