WESTERN ASSET MANAGEMENT COMPANY, LLC
Legal name: WESTERN ASSET MANAGEMENT COMPANY
CRD #110441 SEC #801-8162 PASADENA, CA 626-844-9400
SEC Registered Private Funds Disclosures
Total AUM
$185B
Discretionary
$181.4B
Employees
137
Clients
--
Accounts
31,897
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- California
- Fiscal Year End
- SEPTEMBER
- Registration Date
- --
- Latest Filing
- Dec 12, 2025
- Branch Offices
- 1
- LEI
- 549300C5A561UXUICN46
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ALBERTS, BRUCE, DANIEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BAIN, PETER, LANNING | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| BAIN, PETER, LANNING | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| BAIN, PETER, LANNING | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| BAIN, PETER, LANNING | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| BAIN, PETER, LANNING | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BERNARDI, MARZO, NMN | I | DIRECTOR OF CLIENT SERVICE AND MARKETING | NA | Control |
| BILSON, FRANCIS, BARRY | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| BILSON, FRANCIS, BARRY | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| BILSON, FRANCIS, BARRY | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| BILSON, FRANCIS, BARRY | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| BILSON, FRANCIS, BARRY | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| BILSON, FRANCIS, BARRY | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| BILSON, FRANCIS, BARRY | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| BILSON, FRANCIS, BARRY | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| BILSON, FRANCIS, BARRY | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| BILSON, FRANCIS, BARRY | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| BOWDEN, ANDREW, JOHN | I | CHIEF OPERATING OFFICER | NA | Control |
| BOWDEN, ANDREW, JOHN | I | CHIEF OPERATING OFFICER | NA | Control |
| BOWDEN, ANDREW, JOHN | I | CHIEF OPERATING OFFICER | NA | Control |
| BOWDEN, ANDREW, JOHN | I | CHIEF OPERATING OFFICER | NA | Control |
| BOWDEN, ANDREW, JOHN | I | CHIEF OPERATING OFFICER | NA | Control |
| BOWDEN, ANDREW, JOHN | I | CHIEF OPERATING OFFICER | NA | Control |
| BOWDEN, ANDREW, JOHN | I | CHIEF OPERATING OFFICER | NA | Control |
| BOWDEN, ANDREW, JOHN | I | CHIEF OPERATING OFFICER | NA | Control |
| BOWDEN, ANDREW, JOHN | I | CHIEF OPERATING OFFICER | NA | Control |
| BOWDEN, ANDREW, JOHN | I | CHIEF OPERATING OFFICER | NA | Control |
| BOWDEN, ANDREW, JOHN | I | CHIEF OPERATING OFFICER | NA | Control |
| BOWDEN, ANDREW, JOHN | I | CHIEF OPERATING OFFICER | NA | Control |
| BUCHANAN, MICHAEL, CARLTON | I | DIRECTOR AND CO-CHIEF INVESTMENT OFFICER | NA | Control |
| BUCHANAN, MICHAEL, CARLTON | I | DIRECTOR AND CHIEF INVESTMENT OFFICER | NA | Control |
| BUCHANAN, MICHAEL, CARLTON | I | DIRECTOR AND CHIEF INVESTMENT OFFICER | NA | Control |
| BUCHANAN, MICHAEL, CARLTON | I | DIRECTOR AND CHIEF INVESTMENT OFFICER | NA | Control |
| BUCHANAN, MICHAEL, CARLTON | I | DIRECTOR AND CHIEF INVESTMENT OFFICER | NA | Control |
| CANON, BRETT | I | DIRECTOR OF OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| CANON, BRETT, BENJAMIN | I | DIRECTOR OF RISK MANAGEMENT AND OPERATIONS | NA | Control |
| DEWHURST, RONALD, RICHARD | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| DEWHURST, RONALD, RICHARD | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| DEWHURST, RONALD, RICHARD | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| DEWHURST, RONALD, RICHARD | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| DEWHURST, RONALD, RICHARD | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| DEWHURST, RONALD, RICHARD | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| DEWHURST, RONALD, RICHARD | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| DEWHURST, RONALD, RICHARD | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| DEWHURST, RONALD, RICHARD | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRLICH, KEVIN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EVEN, MICHAEL, NMN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| FISCHER, CONNIE, SUE | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| FISCHER, CONNIE, SUE | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| FISCHER, CONNIE, SUE | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| FISCHER, CONNIE, SUE | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| FISCHER, CONNIE, SUE | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| FISCHER, CONNIE, SUE | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| FISCHER, CONNIE, SUE | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| FISCHER, CONNIE, SUE | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| FLEET, DAVID, DANIEL | I | PRESIDENT | NA | Control |
| FLEET, DAVID, DANIEL | I | DIRECTOR OF RISK MANAGEMENT | NA | Control |
| FLEET, DAVID, DANIEL | I | PRESIDENT | NA | Control |
| FLEET, DAVID, DANIEL | I | DIRECTOR OF RISK MANAGEMENT | NA | Control |
| FLEET, DAVID, DANIEL | I | DIRECTOR OF RISK MANAGEMENT | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| FLICK, JAMES, JOSEPH | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| GAHAN, THOMAS, JAMES | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| GAHAN, THOMAS, JAMES | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| GAHAN, THOMAS, JAMES | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| GAHAN, THOMAS, JAMES | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| GIDDINGS, DANIEL, EVERETT | I | GLOBAL CHIEF COMPLIANCE OFFICER | NA | Control |
| GIDDINGS, DANIEL, EVERETT | I | GLOBAL CHIEF COMPLIANCE OFFICER | NA | Control |
| GIDDINGS, DANIEL, EVERETT | I | GLOBAL CHIEF COMPLIANCE OFFICER | NA | Control |
| GIDDINGS, DANIEL, EVERETT | I | GLOBAL CHIEF COMPLIANCE OFFICER | NA | Control |
| GIDDINGS, DANIEL, EVERETT | I | GLOBAL CHIEF COMPLIANCE OFFICER | NA | Control |
| GIDDINGS, DANIEL, EVERETT | I | GLOBAL CHIEF COMPLIANCE OFFICER | NA | Control |
| GIDDINGS, DANIEL, EVERETT | I | GLOBAL CHIEF COMPLIANCE OFFICER | NA | Control |
| GIDDINGS, DANIEL, EVERETT | I | GLOBAL CHIEF COMPLIANCE OFFICER | NA | Control |
| HARKER, ILENE, SCHIOWITZ | I | DIRECTOR OF COMPLIANCE & CONTROLS | NA | Control |
| HARKER, ILENE, SCHIOWITZ | I | DIRECTOR OF COMPLIANCE & CONTROLS | NA | Control |
| HARKER, ILENE, SCHIOWITZ | I | DIRECTOR OF COMPLIANCE & CONTROLS | NA | Control |
| HARKER, ILENE, SCHIOWITZ | I | DIRECTOR OF COMPLIANCE & CONTROLS | NA | Control |
| HARKER, ILENE, SCHIOWITZ | I | DIRECTOR OF COMPLIANCE & CONTROLS | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR AND CHIEF EXECUTIVE OFFICER | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, PRESIDENT & CEO | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR AND CHIEF EXECUTIVE OFFICER | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, PRESIDENT & CEO | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, PRESIDENT & CEO | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, PRESIDENT & CEO | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, PRESIDENT & CEO | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, PRESIDENT & CEO | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, PRESIDENT & CEO | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, PRESIDENT & CEO | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, PRESIDENT & CEO | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | CHAIRMAN | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | CHAIRMAN | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | CHAIRMAN | NA | Control |
| HIRSCHMANN, JAMES, WILLIAM | I | CHAIRMAN | NA | Control |
| Hoffmann, Courtney, Ann | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| Hoffmann, Courtney, Ann | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| Hoffmann, Courtney, Ann | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| Hoffmann, Courtney, Ann | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| Hoffmann, Courtney, Ann | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| Hoffmann, Courtney, Ann | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| Hoffmann, Courtney, Ann | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| Hoffmann, Courtney, Ann | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| Hoffmann, Courtney, Ann | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| Hoffmann, Courtney, Ann | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| Hoffmann, Courtney, Ann | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| Hoffmann, Courtney, Ann | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| Hoffmann, Courtney, Ann | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| JAMES, GAVIN, LEWIS | I | DIRECTOR OF GLOBAL CLIENT SERVICES | NA | Control |
| JAMES, GAVIN, LEWIS | I | DIRECTOR OF GLOBAL CLIENT SERVICES | NA | Control |
| JAMES, GAVIN, LEWIS | I | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING | NA | Control |
| JAMES, GAVIN, LEWIS | I | DIRECTOR OF GLOBAL CLIENT SERVICES | NA | Control |
| JAMES, GAVIN, LEWIS | I | DIRECTOR OF GLOBAL CLIENT SERVICES | NA | Control |
| JOHNSON, JENNIFER, MORROW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| JOHNSON, JENNIFER, MORROW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| JOHNSON, JENNIFER, MORROW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| JOHNSON, JENNIFER, MORROW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| JOHNSON, JENNIFER, MORROW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| JOHNSON, JENNIFER, MORROW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| JOHNSON, JENNIFER, MORROW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| JOHNSON, JENNIFER, MORROW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| JOHNSON, JENNIFER, MORROW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| JOHNSON, JENNIFER, MORROW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| JOHNSON, JENNIFER, MORROW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| JOHNSON, JENNIFER, MORROW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| JOHNSON, JENNIFER, MORROW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| JOHNSON, JENNIFER, MORROW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| JOHNSON, JENNIFER, MORROW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| JOHNSON, JENNIFER, MORROW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| JOHNSON, JENNIFER, MORROW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| JOHNSON, JENNIFER, MORROW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| JOHNSON, JENNIFER, MORROW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| JOHNSON, JENNIFER, MORROW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| JOHNSON, JENNIFER, MORROW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| KENNEY, JOHN, DUFF | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| KENNEY, JOHN, DUFF | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| KENNEY, JOHN, DUFF | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| KENNEY, JOHN, DUFF | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| KENNEY, JOHN, DUFF | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| KENNEY, JOHN, DUFF | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| KENNEY, JOHN, DUFF | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| KENNEY, JOHN, DUFF | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| KENNEY, JOHN, DUFF | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| KENNEY, JOHN, DUFF | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| KENNEY, JOHN, DUFF | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| KENNEY, JOHN, DUFF | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| KENNEY, JOHN, DUFF | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| KENNEY, JOHN, DUFF | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| KENNEY, JOHN, DUFF | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| KENNEY, JOHN, DUFF | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| KENNEY, JOHN, DUFF | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| KENNEY, JOHN, DUFF | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| LEECH, STEPHEN, KENNETH | I | CHIEF INVESTMENT OFFICER | NA | Control |
| LEECH, STEPHEN, KENNETH | I | CHIEF INVESTMENT OFFICER | NA | Control |
| LEECH, STEPHEN, KENNETH | I | CHIEF INVESTMENT OFFICER | NA | Control |
| LEECH, STEPHEN, KENNETH | I | CHIEF INVESTMENT OFFICER | NA | Control |
| LEECH, STEPHEN, KENNETH | I | CHIEF INVESTMENT OFFICER | NA | Control |
| LEECH, STEPHEN, KENNETH | I | CHIEF INVESTMENT OFFICER | NA | Control |
| LEECH, STEPHEN, KENNETH | I | CHIEF INVESTMENT OFFICER | NA | Control |
| LEECH, STEPHEN, KENNETH | I | CHIEF INVESTMENT OFFICER | NA | Control |
| LEECH, STEPHEN, KENNETH | I | CHIEF INVESTMENT OFFICER | NA | Control |
| LEECH, STEPHEN, KENNETH | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MASOM, JEFFREY, SCOTT | I | HEAD-US DISTRIBUTION & GLOBAL WEALTH MANAGEMENT ALTERNATIVES | NA | |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCNAMARA, DENNIS | I | DIRECTOR OF PORTFOLIO OPERATIONS | NA | Control |
| MCSHEA, GREGORY, BURNS | I | GENERAL COUNSEL; HEAD OF LEGAL AND COMPLIANCE | NA | Control |
| MCSHEA, GREGORY, BURNS | I | GENERAL COUNSEL; HEAD OF LEGAL AND COMPLIANCE; CHIEF COMPLIANCE OFFICER | NA | Control |
| MCSHEA, GREGORY, BURNS | I | HEAD OF COMPLIANCE | NA | Control |
| MCSHEA, GREGORY, BURNS | I | HEAD OF COMPLIANCE | NA | Control |
| MCSHEA, GREGORY, BURNS | I | HEAD OF COMPLIANCE | NA | Control |
| MERCHANT, THOMAS, CLIFTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| MERCHANT, THOMAS, CLIFTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| MERCHANT, THOMAS, CLIFTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| MERCHANT, THOMAS, CLIFTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| MERCHANT, THOMAS, CLIFTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| MERCHANT, THOMAS, CLIFTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| MERCHANT, THOMAS, CLIFTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| MERCHANT, THOMAS, CLIFTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| MERCHANT, THOMAS, CLIFTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| MERCHANT, THOMAS, CLIFTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| MERCHANT, THOMAS, CLIFTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| MERCHANT, THOMAS, CLIFTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| MERCHANT, THOMAS, CLIFTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| MERCHANT, THOMAS, CLIFTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| MERCHANT, THOMAS, CLIFTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| MERCHANT, THOMAS, CLIFTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| MERCHANT, THOMAS, CLIFTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| MERCHANT, THOMAS, CLIFTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| MERCHANT, THOMAS, CLIFTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| MERCHANT, THOMAS, CLIFTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NACHTWEY, PETER, HAMILTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NACHTWEY, PETER, HAMILTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NACHTWEY, PETER, HAMILTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NACHTWEY, PETER, HAMILTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NACHTWEY, PETER, HAMILTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NACHTWEY, PETER, HAMILTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NACHTWEY, PETER, HAMILTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NACHTWEY, PETER, HAMILTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NACHTWEY, PETER, HAMILTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NACHTWEY, PETER, HAMILTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NACHTWEY, PETER, HAMILTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NACHTWEY, PETER, HAMILTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NACHTWEY, PETER, HAMILTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NACHTWEY, PETER, HAMILTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NACHTWEY, PETER, HAMILTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NACHTWEY, PETER, HAMILTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NACHTWEY, PETER, HAMILTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NACHTWEY, PETER, HAMILTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NACHTWEY, PETER, HAMILTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NACHTWEY, PETER, HAMILTON | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NATTANS, JEFFREY, ALLEN | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NICHOLLS, MATTHEW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NICHOLLS, MATTHEW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NICHOLLS, MATTHEW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NICHOLLS, MATTHEW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NICHOLLS, MATTHEW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NICHOLLS, MATTHEW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NICHOLLS, MATTHEW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NICHOLLS, MATTHEW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NICHOLLS, MATTHEW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NICHOLLS, MATTHEW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NICHOLLS, MATTHEW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NICHOLLS, MATTHEW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NICHOLLS, MATTHEW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NICHOLLS, MATTHEW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NICHOLLS, MATTHEW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NICHOLLS, MATTHEW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NICHOLLS, MATTHEW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NICHOLLS, MATTHEW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NICHOLLS, MATTHEW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NICHOLLS, MATTHEW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| NICHOLLS, MATTHEW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| ODENATH, DAVID, ROEHNER | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| ODENATH, DAVID, ROEHNER | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| ODENATH, DAVID, ROEHNER | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| PLAFKER, JED, ANDREW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| PLAFKER, JED, ANDREW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| PLAFKER, JED, ANDREW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| PLAFKER, JED, ANDREW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| PLAFKER, JED, ANDREW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| PLAFKER, JED, ANDREW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| PLAFKER, JED, ANDREW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| PLAFKER, JED, ANDREW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| PLAFKER, JED, ANDREW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| PLAFKER, JED, ANDREW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| PLAFKER, JED, ANDREW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| PLAFKER, JED, ANDREW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| PLAFKER, JED, ANDREW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| PLAFKER, JED, ANDREW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| PLAFKER, JED, ANDREW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| PLAFKER, JED, ANDREW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| PLAFKER, JED, ANDREW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| PLAFKER, JED, ANDREW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| PLAFKER, JED, ANDREW | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| RUYS DE PEREZ, CHARLES, ANTONY | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| SCHEVE, TIMOTHY, CHARLES | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| SCHEVE, TIMOTHY, CHARLES | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| SCHEVE, TIMOTHY, CHARLES | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| SCHEVE, TIMOTHY, CHARLES | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| SCHEVE, TIMOTHY, CHARLES | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| SCHEVE, TIMOTHY, CHARLES | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| STOUT, KIM, EILEEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOUT, KIM, EILEEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOUT, KIM, EILEEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOUT, KIM, EILEEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOUT, KIM, EILEEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| TABER, EDWARD, ALBERT | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| TABER, EDWARD, ALBERT | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| TABER, EDWARD, ALBERT | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| TABER, EDWARD, ALBERT | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| TABER, EDWARD, ALBERT | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| TABER, EDWARD, ALBERT | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| TABER, EDWARD, ALBERT | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| TABER, EDWARD, ALBERT | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| TRUST, JANE, ELIZABETH | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| TRUST, JANE, ELIZABETH | I | NON-EMPLOYEE DIRECTOR | NA | Control |
| WALSH, STEPHEN, ARTHUR | I | DEPUTY CHIEF INVESTMENT OFFICER | NA | Control |
| WALSH, STEPHEN, ARTHUR | I | DEPUTY CHIEF INVESTMENT OFFICER | NA | Control |
| WALSH, STEPHEN, ARTHUR | I | DEPUTY CHIEF INVESTMENT OFFICER | NA | Control |
| WALSH, STEPHEN, ARTHUR | I | DEPUTY CHIEF INVESTMENT OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND CHIEF OPERATING OFFICER | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND SENIOR ADVISOR | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND SENIOR ADVISOR | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND SENIOR ADVISOR | NA | Control |
| WILLIAMS MURPHY, JENNIFER | I | DIRECTOR AND SENIOR ADVISOR | NA | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
| LEGG MASON, INC. | DE | SOLE SHAREHOLDER OF APPLICANT | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
| FRANKLIN RESOURCES, INC. | DE | LEGG MASON, INC. | E | Control |
Registrations
Federal
IA
Dec 12, 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
385 E. COLORADO BLVD.PASADENA, CA 91101
United States
Phone: 626-844-9400