STRUCTURED PORTFOLIO MANAGEMENT, L.L.C
CRD #108756 SEC #801-57495 STAMFORD, CT 203-351-2870
SEC Registered Private Funds
Total AUM
$6B
Discretionary
$6B
Employees
31
Clients
--
Accounts
17
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jan 8, 2019
- Branch Offices
- 1
- LEI
- 2WUB8SXGWKNFV46UHE59
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER (SPM, SPM JR, SPM III, SPM PRODUCTS) | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER (SPM, SPM JR, SPM III, SPM PRODUCTS) | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | EXECUTIVE CHAIRMAN (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | EXECUTIVE CHAIRMAN (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | EXECUTIVE CHAIRMAN (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| BROWNSTEIN, DONALD, IAN | I | EXECUTIVE CHAIRMAN (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| COOK, WILLIAM, SYDNEY | I | MEMBER OF MANAGEMENT COMMITTEE | NA | Control |
| COOK, WILLIAM, SYDNEY | I | MEMBER OF MANAGEMENT COMMITTEE | NA | Control |
| COOK, WILLIAM, SYDNEY | I | MEMBER OF MANAGEMENT COMMITTEE | NA | Control |
| COOK, WILLIAM, SYDNEY | I | MEMBER OF MANAGEMENT COMMITTEE | NA | Control |
| COOK, WILLIAM, SYDNEY | I | MEMBER OF MANAGEMENT COMMITTEE | NA | Control |
| COOK, WILLIAM, SYDNEY | I | MEMBER OF MANAGEMENT COMMITTEE | NA | Control |
| COOK, WILLIAM, SYDNEY | I | MEMBER OF MANAGEMENT COMMITTEE | NA | Control |
| CRON, KENNETH | I | PRESIDENT | NA | Control |
| CRON, KENNETH | I | PRESIDENT | NA | Control |
| CRON, KENNETH | I | PRESIDENT | NA | Control |
| CRON, KENNETH, DALE | I | PRESIDENT (SPM, SPM JR, SPM III, SPM PRODUCTS) | NA | Control |
| CRON, KENNETH, DALE | I | PRESIDENT (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| CRON, KENNETH, DALE | I | PRESIDENT (SPM, SPM JR, SPM III, SPM PRODUCTS) | NA | Control |
| CRON, KENNETH, DALE | I | PRESIDENT (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| CRON, KENNETH, DALE | I | PRESIDENT (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| CRON, KENNETH, DALE | I | PRESIDENT (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| CRON, KENNETH, DALE | I | PRESIDENT (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| CRON, KENNETH, DALE | I | PRESIDENT (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| CRON, KENNETH, DALE | I | PRESIDENT (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| CRON, KENNETH, DALE | I | PRESIDENT (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| CRON, KENNETH, DALE | I | PRESIDENT (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| CRON, KENNETH, DALE | I | PRESIDENT (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| CRON, KENNETH, DALE | I | PRESIDENT (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| CRON, KENNETH, DALE | I | PRESIDENT (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| CRON, KENNETH, DALE | I | CHIEF EXECUTIVE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| CRON, KENNETH, DALE | I | CHIEF EXECUTIVE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| CRON, KENNETH, DALE | I | CHIEF EXECUTIVE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| CRON, KENNETH, DALE | I | CHIEF EXECUTIVE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| ELLWOOD, STEPHEN, COMER | I | CHIEF COMPLIANCE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| ELLWOOD, STEPHEN, COMER | I | CHIEF COMPLIANCE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| ELLWOOD, STEPHEN, COMER | I | CHIEF COMPLIANCE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| ELLWOOD, STEPHEN, COMER | I | CHIEF COMPLIANCE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| ELLWOOD, STEPHEN, COMER | I | CHIEF COMPLIANCE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| ELLWOOD, STEPHEN, COMER | I | CHIEF COMPLIANCE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| ELLWOOD, STEPHEN, COMER | I | CHIEF COMPLIANCE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| ELLWOOD, STEPHEN, COMER | I | CHIEF COMPLIANCE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| ELLWOOD, STEPHEN, COMER | I | CHIEF COMPLIANCE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| HOLTZ, MARC | I | CHIEF RISK OFFICER | NA | Control |
| HOLTZ, MARC | I | CHIEF RISK OFFICER | NA | Control |
| HOLTZ, MARC | I | CHIEF RISK OFFICER | NA | Control |
| HOLTZ, MARC | I | CHIEF RISK OFFICER | NA | Control |
| HOLTZ, MARC | I | CHIEF RISK OFFICER | NA | Control |
| HOLTZ, MARC | I | CHIEF RISK OFFICER | NA | Control |
| HOLTZ, MARC | I | CHIEF RISK OFFICER | NA | Control |
| HOLTZ, MARC | I | CHIEF RISK OFFICER | NA | Control |
| HOLTZ, MARC | I | CHIEF RISK OFFICER | NA | Control |
| HOLTZ, MARC | I | CHIEF RISK OFFICER (SPM, SPM PRODUCTS, SPM III) | NA | Control |
| HOLTZ, MARC | I | CHIEF RISK OFFICER (SPM, SPM PRODUCTS, SPM III) | NA | Control |
| HOLTZ, MARC | I | CHIEF RISK OFFICER (SPM, SPM PRODUCTS, SPM III) | NA | Control |
| HOLTZ, MARC | I | CHIEF RISK OFFICER (SPM, SPM PRODUCTS, SPM III) | NA | Control |
| HOLTZ, MARC | I | CHIEF RISK OFFICER (SPM, SPM PRODUCTS, SPM III) | NA | Control |
| KONG, JEFFREY | I | SR. VICE PRESIDENT - TRADING | NA | Control |
| KONG, JEFFREY | I | MANAGING DIRECTOR | NA | Control |
| KONG, JEFFREY | I | SENIOR MANAGING DIRECTOR | NA | Control |
| KONG, JEFFREY | I | SENIOR MANAGING DIRECTOR | NA | Control |
| KONG, JEFFREY | I | SR. VICE PRESIDENT - TRADING | NA | Control |
| KONG, JEFFREY | I | SR. VICE PRESIDENT - TRADING | NA | Control |
| KONG, JEFFREY | I | SR. VICE PRESIDENT - TRADING | NA | Control |
| KONG, JEFFREY | I | SR. VICE PRESIDENT - TRADING | NA | Control |
| KONG, JEFFREY | I | SR. VICE PRESIDENT - TRADING | NA | Control |
| LIU, YONG | I | SR. VICE PRESIDENT - MORTGAGE | NA | Control |
| LIU, YONG | I | MANAGING DIRECTOR | NA | Control |
| LIU, YONG | I | SENIOR MANAGING DIRECTOR | NA | Control |
| LIU, YONG | I | SENIOR MANAGING DIRECTOR | NA | Control |
| LIU, YONG | I | SR. VICE PRESIDENT - MORTGAGE | NA | Control |
| LIU, YONG | I | SR. VICE PRESIDENT - MORTGAGE | NA | Control |
| LIU, YONG | I | SR. VICE PRESIDENT - MORTGAGE | NA | Control |
| LIU, YONG | I | SR. VICE PRESIDENT - MORTGAGE | NA | Control |
| LIU, YONG | I | SR. VICE PRESIDENT - MORTGAGE | NA | Control |
| MCGRAW, WARD, JAMES | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCGRAW, WARD, JAMES | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCGRAW, WARD, JAMES | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MCGRAW, WARD, JAMES | I | CHIEF FINANCIAL OFFICER (SPM, SPM JR, SPM III, SPM PRODUCTS) | NA | Control |
| MCGRAW, WARD, JAMES | I | CHIEF FINANCIAL OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| MCGRAW, WARD, JAMES | I | CHIEF FINANCIAL OFFICER (SPM, SPM JR, SPM III, SPM PRODUCTS) | NA | Control |
| MCGRAW, WARD, JAMES | I | CHIEF FINANCIAL OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| MCGRAW, WARD, JAMES | I | CHIEF FINANCIAL OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| MCGRAW, WARD, JAMES | I | CHIEF FINANCIAL OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| MCGRAW, WARD, JAMES | I | CHIEF FINANCIAL OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| MCGRAW, WARD, JAMES | I | CHIEF FINANCIAL OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| MCGRAW, WARD, JAMES | I | CHIEF FINANCIAL OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| MCGRAW, WARD, JAMES | I | CHIEF FINANCIAL OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| MCGRAW, WARD, JAMES | I | CHIEF FINANCIAL OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| MCGRAW, WARD, JAMES | I | CHIEF FINANCIAL OFFICER/CHIEF OPERATING OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| MCGRAW, WARD, JAMES | I | CHIEF FINANCIAL OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| MCGRAW, WARD, JAMES | I | CHIEF OPERATING OFFICER (SPM, SPM PRODUCTS, SPM III) | NA | Control |
| MCGRAW, WARD, JAMES | I | CHIEF OPERATING OFFICER (SPM, SPM PRODUCTS, SPM III) | NA | Control |
| MOK, WILLIAM, LEONG | I | SENIOR MANAGING DIRECTOR | NA | Control |
| MOK, WILLIAM, LEONG | I | SENIOR MANAGING DIRECTOR | NA | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR | NA | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT (SPM, SPM PRODUCTS) | NA | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT (SPM, SPM PRODUCTS) | NA | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT (SPM, SPM PRODUCTS) | NA | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT (SPM, SPM PRODUCTS) | NA | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT (SPM, SPM PRODUCTS) | NA | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT/CHIEF INVESTMENT OFFICER (SPM, SPM PRODUCTS) | NA | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT/CHIEF INVESTMENT OFFICER (SPM, SPM PRODUCTS) | NA | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT (SPM, SPM PRODUCTS) | NA | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT/CHIEF INVESTMENT OFFICER (SPM, SPM PRODUCTS) | NA | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT (SPM, SPM PRODUCTS) | NA | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT (SPM, SPM PRODUCTS) | NA | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT/CHIEF INVESTMENT OFFICER (SPM, SPM PRODUCTS) | NA | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT/CHIEF INVESTMENT OFFICER (SPM, SPM PRODUCTS) | NA | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER (SPM, SPM PRODUCTS, SPM III) | NA | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER (SPM, SPM PRODUCTS, SPM III) | NA | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER (SPM, SPM PRODUCTS, SPM III) | NA | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER (SPM, SPM PRODUCTS, SPM III) | NA | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER (SPM, SPM PRODUCTS, SPM III) | NA | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | MANAGING DIRECTOR | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER (SPM, SPM JR, SPM III, SPM PRODUCTS) | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER (SPM, SPM JR, SPM III, SPM PRODUCTS) | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| RUSSELL, CHRISTOPHER, GERARD | I | CHIEF OPERATING OFFICER (SPM, SPM III, SPM PRODUCTS) | NA | Control |
| SCANLON, JENELLE | I | COMPLIANCE OFFICER/ASSISTANT VICE PRESIDENT | NA | |
| SCANLON, JENELLE, RENEE | I | COMPLIANCE OFFICER/VICE PRESIDENT | NA | |
| SCANLON, JENELLE, RENEE | I | COMPLIANCE OFFICER/VICE PRESIDENT | NA | |
| SCANLON, JENELLE, RENEE | I | COMPLIANCE OFFICER/VICE PRESIDENT | NA | |
| SCANLON, JENELLE, RENEE | I | COMPLIANCE OFFICER/VICE PRESIDENT | NA | |
| SCANLON, JENELLE, RENEE | I | COMPLIANCE OFFICER/VICE PRESIDENT | NA | |
| SCANLON, JENELLE, RENEE | I | COMPLIANCE OFFICER/ASSISTANT VICE PRESIDENT | NA | |
| SCANLON, JENELLE, RENEE | I | COMPLIANCE OFFICER/ASSISTANT VICE PRESIDENT | NA | |
| SCANLON, JENELLE, RENEE | I | COMPLIANCE OFFICER/ASSISTANT VICE PRESIDENT | NA | |
| SCANLON, JENELLE, RENEE | I | SENIOR VICE PRESIDENT OF OPERATIONS/COMPLIANCE MANAGER (SPM, SPM JR, SPM III, SPM PRODUCTS) | NA | |
| SCANLON, JENELLE, RENEE | I | SENIOR VICE PRESIDENT OF OPERATIONS/COMPLIANCE MANAGER (SPM, SPM III, SPM PRODUCTS) | NA | |
| SCANLON, JENELLE, RENEE | I | SENIOR VICE PRESIDENT OF OPERATIONS/COMPLIANCE MANAGER (SPM, SPM JR, SPM III, SPM PRODUCTS) | NA | |
| SCANLON, JENELLE, RENEE | I | SENIOR VICE PRESIDENT OF OPERATIONS/COMPLIANCE MANAGER (SPM, SPM III, SPM PRODUCTS) | NA | |
| SCANLON, JENELLE, RENEE | I | SENIOR VICE PRESIDENT OF OPERATIONS/COMPLIANCE MANAGER (SPM, SPM III, SPM PRODUCTS) | NA | |
| SCANLON, JENELLE, RENEE | I | SENIOR VICE PRESIDENT OF OPERATIONS/COMPLIANCE MANAGER (SPM, SPM III, SPM PRODUCTS) | NA | |
| SCANLON, JENELLE, RENEE | I | SENIOR VICE PRESIDENT OF OPERATIONS/COMPLIANCE MANAGER (SPM, SPM III, SPM PRODUCTS) | NA | |
| SCANLON, JENELLE, RENEE | I | SENIOR VICE PRESIDENT OF OPERATIONS/COMPLIANCE MANAGER (SPM, SPM III, SPM PRODUCTS) | NA | |
| SCANLON, JENELLE, RENEE | I | SENIOR VICE PRESIDENT OF OPERATIONS/COMPLIANCE MANAGER (SPM, SPM III, SPM PRODUCTS) | NA | |
| SCANLON, JENELLE, RENEE | I | SENIOR VICE PRESIDENT OF OPERATIONS/COMPLIANCE MANAGER (SPM, SPM III, SPM PRODUCTS) | NA | |
| SCANLON, JENELLE, RENEE | I | SENIOR VICE PRESIDENT OF OPERATIONS/COMPLIANCE MANAGER (SPM, SPM III, SPM PRODUCTS) | NA | |
| SCANLON, JENELLE, RENEE | I | SENIOR VICE PRESIDENT OF OPERATIONS/COMPLIANCE MANAGER (SPM, SPM III, SPM PRODUCTS) | NA | |
| SELLERS, RONALD, WARREN | I | MEMBER OF MANAGEMENT COMMITTEE | NA | Control |
| SELLERS, RONALD, WARREN | I | MEMBER OF MANAGEMENT COMMITTEE | NA | Control |
| SELLERS, RONALD, WARREN | I | MEMBER OF MANAGEMENT COMMITTEE | NA | Control |
| SELLERS, RONALD, WARREN | I | MEMBER OF MANAGEMENT COMMITTEE | NA | Control |
| SELLERS, RONALD, WARREN | I | MEMBER OF MANAGEMENT COMMITTEE | NA | Control |
| SELLERS, RONALD, WARREN | I | MEMBER OF MANAGEMENT COMMITTEE | NA | Control |
| SELLERS, RONALD, WARREN | I | MEMBER OF MANAGEMENT COMMITTEE | NA | Control |
| VASSALLI, NICHOLAS, PIERRE | I | MANAGING DIRECTOR | NA | Control |
| Wu, Angela | I | CHIEF FINANCIAL OFFICER (SPM, SPM PRODUCTS, SPM III) | NA | Control |
| Wu, Angela | I | CHIEF FINANCIAL OFFICER (SPM, SPM PRODUCTS, SPM III) | NA | Control |
| Wu, Angela | I | CHIEF FINANCIAL OFFICER (SPM, SPM PRODUCTS, SPM III) | NA | Control |
| Wu, Angela | I | CHIEF FINANCIAL OFFICER (SPM, SPM PRODUCTS, SPM III) | NA | Control |
| Wu, Angela | I | CHIEF FINANCIAL OFFICER (SPM, SPM PRODUCTS, SPM III) | NA | Control |
| STRUCTURED AFFILIATES, LLC | DE | OWNER (CLASS B INTEREST) | E | Control |
| STRUCTURED AFFILIATES, LLC | DE | OWNER OF CLASS B INTEREST (SPM, SPM JR, SPM III) | E | Control |
| STRUCTURED AFFILIATES, LLC | DE | OWNER OF CLASS B INTEREST (SPM, SPM III) | E | Control |
| STRUCTURED AFFILIATES, LLC | DE | OWNER OF CLASS B INTEREST (SPM, SPM JR, SPM III) | E | Control |
| STRUCTURED AFFILIATES, LLC | DE | OWNER OF CLASS B INTEREST (SPM, SPM III) | E | Control |
| STRUCTURED AFFILIATES, LLC | DE | OWNER OF CLASS B INTEREST (SPM, SPM III) | E | Control |
| STRUCTURED AFFILIATES, LLC | DE | OWNER OF CLASS B INTEREST (SPM, SPM III) | E | Control |
| STRUCTURED AFFILIATES, LLC | DE | OWNER OF CLASS B INTEREST (SPM, SPM III) | E | Control |
| STRUCTURED AFFILIATES, LLC | DE | OWNER OF CLASS B INTEREST (SPM, SPM III) | E | Control |
| STRUCTURED AFFILIATES, LLC | DE | OWNER OF CLASS B INTEREST (SPM, SPM III) | E | Control |
| STRUCTURED AFFILIATES, LLC | DE | OWNER OF CLASS B INTEREST (SPM, SPM III) | E | Control |
| STRUCTURED AFFILIATES, LLC | DE | OWNER OF CLASS B INTEREST (SPM, SPM III) | E | Control |
| STRUCTURED AFFILIATES, LLC | DE | OWNER OF CLASS B INTEREST (SPM, SPM III) | E | Control |
| STRUCTURED AFFILIATES, LLC | DE | OWNER OF CLASS B INTEREST (SPM, SPM III) | E | Control |
| STRUCTURED AFFILIATES, LLC | DE | OWNER OF CLASS B INTEREST (SPM, SPM III) | E | Control |
| STRUCTURED AFFILIATES, LLC | DE | OWNER OF CLASS B INTEREST (SPM, SPM III) | E | Control |
| STRUCTURED AFFILIATES, LLC | DE | OWNER OF CLASS B INTEREST (SPM, SPM III) | E | Control |
| STRUCTURED AFFILIATES, LLC | DE | OWNER OF CLASS B INTEREST (SPM, SPM III) | E | Control |
| STRUCTURED AFFILIATES, LLC | DE | OWNER OF CLASS B INTEREST (SPM, SPM III) | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT, L.L.C | DE | OWNER/MEMBER/MANAGER (SPM JR, SPM III, SPM PRODUCTS) | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT, L.L.C | DE | OWNER/MEMBER/MANAGER (SPM III, SPM PRODUCTS) | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT, L.L.C | DE | OWNER/MEMBER/MANAGER (SPM JR, SPM III, SPM PRODUCTS) | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT, L.L.C | DE | OWNER/MEMBER/MANAGER (SPM III, SPM PRODUCTS) | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT, L.L.C | DE | OWNER/MEMBER/MANAGER (SPM III, SPM PRODUCTS) | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT, L.L.C | DE | OWNER/MEMBER/MANAGER (SPM III, SPM PRODUCTS) | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT, L.L.C | DE | OWNER/MEMBER/MANAGER (SPM III, SPM PRODUCTS) | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT, L.L.C | DE | OWNER/MEMBER/MANAGER (SPM III, SPM PRODUCTS) | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT, L.L.C | DE | OWNER/MEMBER/MANAGER (SPM III, SPM PRODUCTS) | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT, L.L.C | DE | OWNER/MEMBER/MANAGER (SPM III, SPM PRODUCTS) | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT, L.L.C | DE | OWNER/MEMBER/MANAGER (SPM III, SPM PRODUCTS) | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT, L.L.C | DE | OWNER/MEMBER/MANAGER (SPM III, SPM PRODUCTS) | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT, L.L.C | DE | OWNER/MEMBER/MANAGER (SPM III, SPM PRODUCTS) | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT, L.L.C | DE | OWNER/MEMBER/MANAGER (SPM III, SPM PRODUCTS) | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT, L.L.C | DE | OWNER/MEMBER/MANAGER (SPM III, SPM PRODUCTS) | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT, L.L.C | DE | OWNER/MEMBER/MANAGER (SPM III, SPM PRODUCTS) | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT, L.L.C | DE | OWNER/MEMBER/MANAGER (SPM III, SPM PRODUCTS) | E | Control |
| STRUCTURED PORTFOLIO MANAGEMENT, L.L.C | DE | OWNER/MEMBER/MANAGER (SPM III, SPM PRODUCTS) | E | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER (SPM) | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER (SPM) | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER (SPM) | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER (SPM) | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER (SPM) | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER (SPM) | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER (SPM) | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER (SPM) | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER (SPM) | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER (SPM) | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER (SPM) | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER (SPM) | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER (SPM) | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER (SPM) | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER (SPM) | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER (SPM) | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER (SPM) | D | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER (SPM) | D | Control |
| ATLANTIC ASSET MANAGEMENT, L.L.C. | DE | OWNER/MEMBER/MANAGER | C | Control |
| ATLANTIC ASSET MANAGEMENT, L.L.C. | DE | OWNER/MEMBER/MANAGER | C | Control |
| ATLANTIC ASSET MANAGEMENT, L.L.C. | DE | OWNER/MEMBER/MANAGER | C | Control |
| ATLANTIC ASSET MANAGEMENT, L.L.C. | DE | OWNER/MEMBER/MANAGER | C | Control |
| ATLANTIC ASSET MANAGEMENT, L.L.C. | DE | OWNER/MEMBER/MANAGER | C | Control |
| ATLANTIC ASSET MANAGEMENT, L.L.C. | DE | OWNER/MEMBER/MANAGER | C | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER | C | Control |
| BROWNSTEIN, DONALD, IAN | I | CHIEF EXECUTIVE OFFICER | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | MEMBER/MANAGER | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | MEMBER/MANAGER | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | MEMBER/MANAGER | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | MEMBER/MANAGER (SPM) | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | MEMBER/MANAGER (SPM) | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | MEMBER/MANAGER (SPM) | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | MEMBER/MANAGER (SPM) | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | MEMBER/MANAGER (SPM) | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | MEMBER/MANAGER (SPM) | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | MEMBER/MANAGER (SPM) | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | MEMBER/MANAGER (SPM) | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | MEMBER/MANAGER (SPM) | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | MEMBER/MANAGER (SPM) | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | MEMBER/MANAGER (SPM) | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | MEMBER/MANAGER (SPM) | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | MEMBER/MANAGER (SPM) | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | MEMBER/MANAGER (SPM) | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | MEMBER/MANAGER (SPM) | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | MEMBER/MANAGER (SPM) | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | MEMBER/MANAGER (SPM) | C | Control |
| STRUCTURED PARTNERS, L.L.C. | DE | MEMBER/MANAGER (SPM) | C | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER | C | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER | C | Control |
| UPPER SHAD ASSOCIATES, L.L.C. | DE | MEMBER/MANAGER | C | Control |
| AEGON USA INVESTMENT MANAGEMENT, INC. | DE | MEMBER/MANAGER | B | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT (SPM JR) | B | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT (SPM JR) | B | Control |
| MONUMENTAL LIFE INSURANCE COMPANY | DE | MEMBER/MANAGER | B | Control |
| MONUMENTAL LIFE INSURANCE COMPANY | DE | MEMBER/MANAGER | B | Control |
| MONUMENTAL LIFE INSURANCE COMPANY | DE | MEMBER/MANAGER | B | Control |
| MONUMENTAL LIFE INSURANCE COMPANY | DE | MEMBER/MANAGER | B | Control |
| MONUMENTAL LIFE INSURANCE COMPANY | DE | MEMBER/MANAGER | B | Control |
| MONUMENTAL LIFE INSURANCE COMPANY | DE | MEMBER/MANAGER | B | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT (SPM III) | A | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT (SPM III) | A | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT (SPM III) | A | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT (SPM III) | A | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT (SPM III) | A | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT/CHIEF INVESTMENT OFFICER (SPM III) | A | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT/CHIEF INVESTMENT OFFICER (SPM III) | A | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT (SPM III) | A | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT/CHIEF INVESTMENT OFFICER (SPM III) | A | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT (SPM III) | A | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT (SPM III) | A | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT/CHIEF INVESTMENT OFFICER (SPM III) | A | Control |
| MOK, WILLIAM, LEONG | I | MANAGING DIRECTOR/HEAD OF PORTFOLIO MANAGEMENT/CHIEF INVESTMENT OFFICER (SPM III) | A | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | MANAGING DIRECTOR (SPM III) | A | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | MANAGING DIRECTOR (SPM III) | A | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | MANAGING DIRECTOR (SPM III) | A | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | MANAGING DIRECTOR (SPM III) | A | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | MANAGING DIRECTOR (SPM III) | A | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | MANAGING DIRECTOR (SPM III) | A | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | MANAGING DIRECTOR (SPM III) | A | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | MANAGING DIRECTOR (SPM III) | A | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | MANAGING DIRECTOR (SPM III) | A | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | MANAGING DIRECTOR (SPM III) | A | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | MANAGING DIRECTOR (SPM III) | A | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | MANAGING DIRECTOR (SPM III) | A | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | MANAGING DIRECTOR (SPM III) | A | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | MANAGING DIRECTOR (SPM III) | A | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | MANAGING DIRECTOR (SPM III) | A | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | MANAGING DIRECTOR (SPM III) | A | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | MANAGING DIRECTOR (SPM III) | A | Control |
| ROBERTS, TIMOTHY, JOHN YVES | I | MANAGING DIRECTOR (SPM III) | A | Control |
| RUSSELL, CHRISTOPHER | I | CHIEF OPERATING OFFICER | A | Control |
| RUSSELL, CHRISTOPHER | I | CHIEF OPERATING OFFICER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| BOWMAN PARTNERS GP CO. | FE | BOWMAN PARTNERS LP | F | Control |
| BOWMAN PARTNERS GP CO. | FE | BOWMAN PARTNERS LP | F | Control |
| LOVELL MINNICK EQUITY ADVISORS LLC | DE | LOVELL MINNICK EQUITY PARTNERS LP | F | Control |
| LOVELL MINNICK EQUITY ADVISORS LLC | DE | LOVELL MINNICK EQUITY PARTNERS LP | F | Control |
| LOVELL MINNICK HOLDINGS, LLC | DE | LOVELL MINNICK PARTNERS LLC | F | Control |
| LOVELL MINNICK HOLDINGS, LLC | DE | LOVELL MINNICK PARTNERS LLC | F | Control |
| LOVELL MINNICK PARTNERS LLC | DE | LOVELL MINNICK EQUITY ADVISORS LLC | F | Control |
| LOVELL MINNICK PARTNERS LLC | DE | LOVELL MINNICK EQUITY ADVISORS LLC | F | Control |
| PUTNAM LOVELL EQUITY ADVISORS LLC | DE | PUTNAM LOVELL EQUITY PARTNERS LP | F | Control |
| PUTNAM LOVELL EQUITY ADVISORS LLC | DE | PUTNAM LOVELL EQUITY PARTNERS LP | F | Control |
| PUTNAM LOVELL EQUITY ADVISORS LLC | DE | PUTNAM LOVELL EQUITY PARTNERS LP | F | Control |
| PUTNAM LOVELL EQUITY ADVISORS LLC | DE | PUTNAM LOVELL EQUITY PARTNERS LP | F | Control |
| AEGON N.V. | FE | AEGON USA INC. | E | Control |
| AEGON N.V. | FE | AEGON USA INC. | E | Control |
| AEGON N.V. | FE | AEGON USA INC. | E | Control |
| AEGON N.V. | FE | AEGON USA INC. | E | Control |
| AEGON N.V. | FE | AEGON USA INC. | E | Control |
| AEGON N.V. | FE | AEGON USA INC. | E | Control |
| AEGON USA INC. | DE | PF LIFE INSURANCE COMPANY | E | Control |
| AEGON USA INC. | DE | PF LIFE INSURANCE COMPANY | E | Control |
| AEGON USA INC. | DE | PF INSURANCE COMPANY | E | Control |
| AEGON USA INC. | DE | PF INSURANCE COMPANY | E | Control |
| AEGON USA INC. | DE | PF INSURANCE COMPANY | E | Control |
| AEGON USA INC. | DE | PF INSURANCE COMPANY | E | Control |
| CAISSE DEPOT EL PLACEMENT DU QUEBEC | FE | SERVICES FINANCIERS CDPQ US INC. | E | Control |
| CAISSE DEPOT EL PLACEMENT DU QUEBEC | FE | SERVICES DEPOT CDPQ US INC. | E | Control |
| CAISSE DEPOT EL PLACEMENT DU QUEBEC | FE | SERVICES DEPOT CDPQ US INC. | E | Control |
| CAISSE DEPOT EL PLACEMENT DU QUEBEC | FE | SERVICES DEPOT CDPQ US INC. | E | Control |
| CRON, KENNETH, DALE | I | STRUCTURED AFFILIATES, LLC | E | Control |
| CRON, KENNETH, DALE | I | STRUCTURED AFFILIATES, LLC | E | Control |
| CRON, KENNETH, DALE | I | STRUCTURED AFFILIATES, LLC | E | Control |
| CRON, KENNETH, DALE | I | STRUCTURED AFFILIATES, LLC | E | Control |
| CRON, KENNETH, DALE | I | STRUCTURED AFFILIATES, LLC | E | Control |
| CRON, KENNETH, DALE | I | STRUCTURED AFFILIATES, LLC | E | Control |
| CRON, KENNETH, DALE | I | STRUCTURED AFFILIATES, LLC | E | Control |
| CRON, KENNETH, DALE | I | STRUCTURED AFFILIATES, LLC | E | Control |
| CRON, KENNETH, DALE | I | STRUCTURED AFFILIATES, LLC | E | Control |
| CRON, KENNETH, DALE | I | STRUCTURED AFFILIATES, LLC | E | Control |
| CRON, KENNETH, DALE | I | STRUCTURED AFFILIATES, LLC | E | Control |
| CRON, KENNETH, DALE | I | STRUCTURED AFFILIATES, LLC | E | Control |
| CRON, KENNETH, DALE | I | STRUCTURED AFFILIATES, LLC | E | Control |
| CRON, KENNETH, DALE | I | STRUCTURED AFFILIATES, LLC | E | Control |
| CRON, KENNETH, DALE | I | STRUCTURED AFFILIATES, LLC | E | Control |
| CRON, KENNETH, DALE | I | STRUCTURED AFFILIATES, LLC | E | Control |
| CRON, KENNETH, DALE | I | STRUCTURED AFFILIATES, LLC | E | Control |
| CRON, KENNETH, DALE | I | STRUCTURED AFFILIATES, LLC | E | Control |
| FRANK RUSSELL COMPANY | DE | FRANK RUSSELL INVESTMENTS (CAYMAN) LTD. | E | Control |
| FRANK RUSSELL COMPANY | DE | FRANK RUSSELL INVESTMENTS (CAYMAN) LTD. | E | Control |
| FRANK RUSSELL INVESTMENTS (CAYMAN) LTD | FE | BOWMAN PARTNERS GP CO. | E | Control |
| FRANK RUSSELL INVESTMENTS (CAYMAN) LTD | FE | BOWMAN PARTNERS GP CO. | E | Control |
| INDUSTRIAL BANK OF JAPAN, LTD. | FE | IBJ WHITEHALL BANK & TRUST COMPANY | E | Control |
| MIZUHO HOLDINGS, INC. | FE | INDUSTRIAL BANK OF JAPAN, LTD. | E | Control |
| NATIONAL BANK OF CANADA | FE | PUTNAM LOVELL GROUP INC. | E | Control |
| NATIONAL BANK OF CANADA | FE | PUTNAM LOVELL GROUP INC. | E | Control |
| NATIONAL BANK OF CANADA | FE | PUTNAM LOVELL GROUP INC. | E | Control |
| NATIONAL BANK OF CANADA | FE | PUTNAM LOVELL GROUP INC. | E | Control |
| PUTNAM LOVELL CAPITAL PARTNERS INC. | DE | PUTNAM LOVELL EQUITY ADVISORS LLC | E | Control |
| PUTNAM LOVELL CAPITAL PARTNERS INC. | DE | PUTNAM LOVELL EQUITY ADVISORS LLC | E | Control |
| PUTNAM LOVELL CAPITAL PARTNERS INC. | DE | PUTNAM LOVELL EQUITY ADVISORS LLC | E | Control |
| PUTNAM LOVELL CAPITAL PARTNERS INC. | DE | PUTNAM LOVELL EQUITY ADVISORS LLC | E | Control |
| PUTNAM LOVELL GROUP INC. | DE | PUTNAM LOVELL CAPITAL PARTNERS INC. | E | Control |
| PUTNAM LOVELL GROUP INC. | DE | PUTNAM LOVELL CAPITAL PARTNERS INC. | E | Control |
| PUTNAM LOVELL GROUP INC. | DE | PUTNAM LOVELL CAPITAL PARTNERS INC. | E | Control |
| PUTNAM LOVELL GROUP INC. | DE | PUTNAM LOVELL CAPITAL PARTNERS INC. | E | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| BROWNSTEIN, DONALD, IAN | I | UPPER SHAD ASSOCIATES, L.L.C. | D | Control |
| LOVELL, JEFFREY, DALE | I | LOVELL MINNICK HOLDINGS LLC | D | Control |
| LOVELL, JEFFREY, DALE | I | LOVELL MINNICK HOLDINGS LLC | D | Control |
| BOWMAN PARTNERS LP | FE | LOVELL MINNICK EQUITY PARTNERS LP | C | Control |
| BOWMAN PARTNERS LP | FE | LOVELL MINNICK EQUITY PARTNERS LP | C | Control |
| IBJ WHITEHALL BANK & TRUST COMPANY | DE | ATLANTIC ASSET MANAGEMENT, L.L.C. | C | Control |
| LOVELL MINNICK EQUITY PARTNERS LP | DE | ATLANTIC ASSET MANAGEMENT LLC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS LP | DE | ATLANTIC ASSET MANAGEMENT LLC | C | Control |
| MINNICK, JAMES, EDWARD | I | LOVELL MINNICK HOLDINGS LLC | C | Control |
| MINNICK, JAMES, EDWARD | I | LOVELL MINNICK HOLDINGS LLC | C | Control |
| NEWCOM, JENNINGS, JAY | I | LOVELL MINNICK HOLDINGS LLC | C | Control |
| NEWCOM, JENNINGS, JAY | I | LOVELL MINNICK HOLDINGS LLC | C | Control |
| PANTHEON GLOBAL SECONDARY FUND II LIMITED | FE | BOWMAN PARTNERS LP | C | Control |
| PANTHEON GLOBAL SECONDARY FUND II LIMITED | FE | BOWMAN PARTNERS LP | C | Control |
| PF INSURANCE COMPANY | DE | PUTNAM LOVELL EQUITY PARTNERS LP | C | Control |
| PF INSURANCE COMPANY | DE | PUTNAM LOVELL EQUITY PARTNERS LP | C | Control |
| PF INSURANCE COMPANY | DE | PUTNAM LOVELL EQUITY PARTNERS LP | C | Control |
| PF INSURANCE COMPANY | DE | PUTNAM LOVELL EQUITY PARTNERS LP | C | Control |
| PF LIFE INSURANCE COMPANY | DE | LOVELL MINNICK EQUITY PARTNERS LP | C | Control |
| PF LIFE INSURANCE COMPANY | DE | LOVELL MINNICK EQUITY PARTNERS LP | C | Control |
| PUTNAM LOVELL EQUITY PARTNERS, LP | DE | ATLANTIC ASSET MANAGEMENT LLC | C | Control |
| PUTNAM LOVELL EQUITY PARTNERS, LP | DE | ATLANTIC ASSET MANAGEMENT LLC | C | Control |
| PUTNAM LOVELL EQUITY PARTNERS, LP | DE | ATLANTIC ASSET MANAGEMENT LLC | C | Control |
| PUTNAM LOVELL EQUITY PARTNERS, LP | DE | ATLANTIC ASSET MANAGEMENT LLC | C | Control |
| SELLERS, RONALD, WARREN | I | ATLANTIC ASSET MANAGEMENT, L.L.C. | C | Control |
| SELLERS, RONALD, WARREN | I | ATLANTIC ASSET MANAGEMENT, L.L.C. | C | Control |
| SELLERS, RONALD, WARREN | I | ATLANTIC ASSET MANAGEMENT, L.L.C. | C | Control |
| SELLERS, RONALD, WARREN | I | ATLANTIC ASSET MANAGEMENT, L.L.C. | C | Control |
| SELLERS, RONALD, WARREN | I | ATLANTIC ASSET MANAGEMENT, L.L.C. | C | Control |
| SELLERS, RONALD, WARREN | I | ATLANTIC ASSET MANAGEMENT, L.L.C. | C | Control |
| SELLERS, RONALD, WARREN | I | ATLANTIC ASSET MANAGEMENT, L.L.C. | C | Control |
| SERVICES DEPOT CDPQ US INC | FE | PUTNAM LOVELL EQUITY PARTNERS LP | C | Control |
| SERVICES DEPOT CDPQ US INC | FE | PUTNAM LOVELL EQUITY PARTNERS LP | C | Control |
| SERVICES DEPOT CDPQ US INC | FE | PUTNAM LOVELL EQUITY PARTNERS LP | C | Control |
| SERVICES DEPOT CDPQ US INC | FE | PUTNAM LOVELL EQUITY PARTNERS LP | C | Control |
Registrations
Federal
IA
Jan 8, 2019 REGISTERED
Notice Filings (1)
CT
Address
700 CANAL STREETBUILDING #1, FLOOR 1
STAMFORD, CT 06902
United States
Phone: 203-351-2870