HARBERT FUND ADVISORS, INC.
CRD #110577 SEC #801-55926 BIRMINGHAM, AL 205/987-5500
SEC Registered Private Funds
Total AUM
$8B
Discretionary
$8B
Employees
147
Clients
0
Accounts
53
Firm Details
- Organization Type
- Corporation
- State of Formation
- Alabama
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Dec 9, 2025
- Branch Offices
- 9
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BARKAN, ANTHONY, STERN | I | VICE-PRESIDENT & SR. MANAGING DIRECTOR - FIXED INCOME | NA | Control |
| BARKAN, ANTHONY, STERN | I | VICE-PRESIDENT & SR. MANAGING DIRECTOR - FIXED INCOME | NA | Control |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BAUDER, MICHAEL, CONRAD | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| BERUEFFY, MAX | I | VICE PRESIDENT, ASSOCIATE GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | |
| BERUEFFY, MAX | I | VICE PRESIDENT, ASSISTANT GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | |
| BERUEFFY, MAX | I | VICE PRESIDENT, ASSISTANT GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | |
| BERUEFFY, MAX | I | VICE PRESIDENT, ASSISTANT GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | |
| BERUEFFY, MAX | I | VICE PRESIDENT, ASSISTANT GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | |
| BERUEFFY, MAX | I | VICE PRESIDENT, ASSISTANT GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | |
| BERUEFFY, MAX | I | VICE PRESIDENT, ASSISTANT GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | |
| BERUEFFY, MAX | I | VICE PRESIDENT, ASSISTANT GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | |
| BERUEFFY, MAX | I | VICE PRESIDENT, ASSISTANT GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CONTROLLER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CONTROLLER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CONTROLLER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CONTROLLER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CONTROLLER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | VICE PRESIDENT & CONTROLLER | NA | |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CONTROLLER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CONTROLLER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CONTROLLER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | VICE PRESIDENT & CONTROLLER | NA | |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BOUTWELL, DAVID, ALAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | EXECUTIVE VICE PRESIDENT, SECRETARY & DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | EXECUTIVE VICE PRESIDENT, SECRETARY & DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | EXECUTIVE VICE PRESIDENT, SECRETARY & DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | EXECUTIVE VICE PRESIDENT, SECRETARY & DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | EXECUTIVE VICE PRESIDENT, SECRETARY & DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | VICE PRESIDENT & SECRETARY | NA | Control |
| BROOKE, WILLIAM, WADE | I | EXECUTIVE VICE PRESIDENT, SECRETARY & DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | EXECUTIVE VICE PRESIDENT, SECRETARY & DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | EXECUTIVE VICE PRESIDENT, SECRETARY & DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | VICE PRESIDENT & SECRETARY | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| BROOKE, WILLIAM, WADE | I | DIRECTOR | NA | Control |
| DAYAN, STEVEN, LEE | I | VICE-PRESIDENT & SR. MANAGING DIRECTOR - EVENT DRIVEN | NA | Control |
| FALCONE, PHILIP, ALAN | I | VICE-PRESIDENT & SR. MANAGING DIRECTOR-DISTRESSED SECURITIES | NA | Control |
| FALCONE, PHILIP, ALAN | I | VICE-PRESIDENT & SR. MANAGING DIRECTOR-DISTRESSED SECURITIES | NA | Control |
| FALCONE, PHILIP, ALAN | I | VICE-PRESIDENT & SR. MANAGING DIRECTOR-DISTRESSED SECURITIES | NA | Control |
| FALCONE, PHILIP, ALAN | I | VICE-PRESIDENT & SR. MANAGING DIRECTOR-DISTRESSED SECURITIES | NA | Control |
| FLOYD, JOHN, ALEXANDER | I | VICE-PRESIDENT & SR. MANAGING DIRECTOR - GLOBAL MACRO | NA | Control |
| FLOYD, JOHN, ALEXANDER | I | VICE-PRESIDENT & SR. MANAGING DIRECTOR - GLOBAL MACRO | NA | Control |
| FLOYD, JOHN, ALEXANDER | I | VICE-PRESIDENT & SR. MANAGING DIRECTOR - GLOBAL MACRO | NA | Control |
| FLOYD, JOHN, ALEXANDER | I | VICE-PRESIDENT & SR. MANAGING DIRECTOR - GLOBAL MACRO | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| HARBERT, RAYMOND, JONES | I | CHAIRMAN, CEO & DIRECTOR | NA | Control |
| HARBERT, RAYMOND, JONES | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| HARRIS, JEFF, TODD | I | VICE PRESIDENT & ASSISTANT GENERAL COUNSEL | NA | |
| HARRIS, JEFF, TODD | I | VICE PRESIDENT & ASSISTANT GENERAL COUNSEL | NA | |
| HARRIS, JEFF, TODD | I | VICE PRESIDENT & ASSISTANT GENERAL COUNSEL | NA | |
| HARRIS, JEFF, TODD | I | VICE PRESIDENT & ASSISTANT GENERAL COUNSEL | NA | |
| HARRIS, JEFF, TODD | I | VICE PRESIDENT & ASSISTANT GENERAL COUNSEL | NA | |
| HARRIS, JEFF, TODD | I | ASSOCIATE GENERAL COUNSEL | NA | |
| HARRIS, JEFF, TODD | I | VICE PRESIDENT & ASSISTANT GENERAL COUNSEL | NA | |
| HARRIS, JEFF, TODD | I | VICE PRESIDENT & ASSISTANT GENERAL COUNSEL | NA | |
| HARRIS, JEFF, TODD | I | VICE PRESIDENT & ASSISTANT GENERAL COUNSEL | NA | |
| HARRIS, JEFF, TODD | I | ASSOCIATE GENERAL COUNSEL | NA | |
| KEETON, SONJA, JEAN | I | SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| KEETON, SONJA, JEAN | I | SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| KEETON, SONJA, JEAN | I | SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| KEETON, SONJA, JEAN | I | SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| KEETON, SONJA, JEAN | I | SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| KEETON, SONJA, JEAN | I | SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| KEETON, SONJA, JEAN | I | SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| KEETON, SONJA, JEAN | I | SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| KEETON, SONJA, JEAN | I | SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| KEETON, SONJA, JEAN | I | SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| KEETON, SONJA, JEAN | I | SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| KEETON, SONJA, JEAN | I | SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| KEETON, SONJA, JEAN | I | SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| KEETON, SONJA, JEAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| KEETON, SONJA, JEAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| KEETON, SONJA, JEAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| KEETON, SONJA, JEAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| KEETON, SONJA, JEAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| KEETON, SONJA, JEAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| KEETON, SONJA, JEAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| KEETON, SONJA, JEAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| KEETON, SONJA, JEAN | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| LANNIGAN, PETER, STUART | I | VICE PRESIDENT AND SR. MANAGING DIRECTOR - EMERGING MARKETS | NA | Control |
| LANNIGAN, PETER, STUART | I | VICE PRESIDENT AND SR. MANAGING DIRECTOR - EMERGING MARKETS | NA | Control |
| LANNIGAN, PETER, STUART | I | VICE PRESIDENT AND SR. MANAGING DIRECTOR - EMERGING MARKETS | NA | Control |
| LANNIGAN, PETER, STUART | I | VICE PRESIDENT AND SR. MANAGING DIRECTOR - EMERGING MARKETS | NA | Control |
| LEONARD, HEATHER, NOEL | I | VICE PRESIDENT AND MANAGING DIRECTOR - EMERGING MARKETS | NA | Control |
| LEONARD, HEATHER, NOEL | I | VICE PRESIDENT AND MANAGING DIRECTOR - EMERGING MARKETS | NA | Control |
| LEONARD, HEATHER, NOEL | I | VICE PRESIDENT AND MANAGING DIRECTOR - EMERGING MARKETS | NA | Control |
| LEONARD, HEATHER, NOEL | I | VICE PRESIDENT AND MANAGING DIRECTOR - EMERGING MARKETS | NA | Control |
| LUCAS, WILLIAM, RAY | I | DIRECTOR, GENERAL COUNSEL, SENIOR VICE-PRESIDENT AND SECRETARY | NA | Control |
| LUCAS, WILLIAM, RAY | I | DIRECTOR, EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, AND SECRETARY | NA | Control |
| LUCAS, WILLIAM, RAY | I | DIRECTOR, GENERAL COUNSEL, SENIOR VICE-PRESIDENT AND SECRETARY | NA | Control |
| LUCAS, WILLIAM, RAY | I | DIRECTOR, GENERAL COUNSEL, SENIOR VICE-PRESIDENT AND SECRETARY | NA | Control |
| LUCAS, WILLIAM, RAY | I | DIRECTOR, EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, AND SECRETARY | NA | Control |
| LUCAS, WILLIAM, RAY | I | DIRECTOR, EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, AND SECRETARY | NA | Control |
| LUCAS, WILLIAM, RAY | I | DIRECTOR, EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, AND SECRETARY | NA | Control |
| LUCAS, WILLIAM, RAY | I | DIRECTOR, EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, AND SECRETARY | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & COO | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & COO | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & COO | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & COO | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & COO | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & COO | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & COO | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & COO | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & COO | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & COO | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| LUCE, MICHAEL, DONEGAN | I | PRESIDENT & CHIEF OPERATING OFFICER | NA | Control |
| MCCULLOUGH, JOHN | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN, WATKINS | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN, WATKINS | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN, WATKINS | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN, WATKINS | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN, WATKINS | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN, WATKINS | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN, WATKINS | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN, WATKINS | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN, WATKINS | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN, WATKINS | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN, WATKINS | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MCCULLOUGH, JOHN, WATKINS | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | NA | |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| MILLER, CHARLES, DONALD | I | VICE PRESIDENT & TREASURER | NA | |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| MILLER, CHARLES, DONALD | I | VICE PRESIDENT & TREASURER | NA | |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| MILLER, CHARLES, DONALD | I | EXECUTIVE VICE PRESIDENT & HEAD OF GLOBAL DISTRIBUTION | NA | Control |
| PARKET, JEFFREY, SOBERMAN | I | VICE-PRESIDENT & SR. MANAGING DIRECTOR - CONVERTIBLE ARBITRAGE | NA | Control |
| PARKET, JEFFREY, SOBERMAN | I | VICE-PRESIDENT & SR. MANAGING DIRECTOR - CONVERTIBLE ARBITRAGE | NA | Control |
| PARKET, JEFFREY, SOBERMAN | I | VICE-PRESIDENT & SR. MANAGING DIRECTOR - CONVERTIBLE ARBITRAGE | NA | Control |
| PARKET, JEFFREY, SOBERMAN | I | VICE-PRESIDENT & SR. MANAGING DIRECTOR - CONVERTIBLE ARBITRAGE | NA | Control |
| PIASSICK, JOEL, B | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & DIRECTOR | NA | Control |
| PIASSICK, JOEL, B | I | VICE PRESIDENT & GENERAL COUNSEL | NA | |
| PIASSICK, JOEL, B | I | VICE PRESIDENT & GENERAL COUNSEL | NA | |
| PIASSICK, JOEL, BERNARD | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| PIASSICK, JOEL, BERNARD | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| PIASSICK, JOEL, BERNARD | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| PIASSICK, JOEL, BERNARD | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & DIRECTOR | NA | Control |
| PIASSICK, JOEL, BERNARD | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & DIRECTOR | NA | Control |
| PIASSICK, JOEL, BERNARD | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & DIRECTOR | NA | Control |
| PIASSICK, JOEL, BERNARD | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| PIASSICK, JOEL, BERNARD | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| PIASSICK, JOEL, BERNARD | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| PIASSICK, JOEL, BERNARD | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| PIASSICK, JOEL, BERNARD | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| PIASSICK, JOEL, BERNARD | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & DIRECTOR | NA | Control |
| PIASSICK, JOEL, BERNARD | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & DIRECTOR | NA | Control |
| PIASSICK, JOEL, BERNARD | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & DIRECTOR | NA | Control |
| PIASSICK, JOEL, BERNARD | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & DIRECTOR | NA | Control |
| PURCELL, LEE, WALTON | I | GLOBAL HEAD OF CAPITAL MARKETS | NA | Control |
| PURCELL, LEE, WALTON | I | GLOBAL HEAD OF CAPITAL MARKETS | NA | Control |
| PURCELL, LEE, WALTON | I | GLOBAL HEAD OF CAPITAL MARKETS | NA | Control |
| PURCELL, LEE, WALTON | I | GLOBAL HEAD OF CAPITAL MARKETS | NA | Control |
| PURCELL, LEE, WALTON | I | GLOBAL HEAD OF CAPITAL MARKETS | NA | Control |
| REINER, ANTHONY, CHRISTOPHER | I | VICE-PRESIDENT & SR. MANAGING DIRECTOR - EVENT DRIVEN | NA | Control |
| ROSS, ROBERT | I | VICE-PRESIDENT & SR.MANAGING DIRECTOR - EQUITY MARKET NEUTRAL | NA | Control |
| ROSS, ROBERT | I | VICE-PRESIDENT & SR.MANAGING DIRECTOR - EQUITY MARKET NEUTRAL | NA | Control |
| ROSS, ROBERT | I | VICE-PRESIDENT & SR.MANAGING DIRECTOR - EQUITY MARKET NEUTRAL | NA | Control |
| ROSS, ROBERT | I | VICE-PRESIDENT & SR.MANAGING DIRECTOR - EQUITY MARKET NEUTRAL | NA | Control |
| THAW, MITCHELL, ALAN | I | MANAGING DIRECTOR - CONVERTIBLE ARBITRAGE | NA | Control |
| THAW, MITCHELL, ALAN | I | MANAGING DIRECTOR - CONVERTIBLE ARBITRAGE | NA | Control |
| THAW, MITCHELL, ALAN | I | MANAGING DIRECTOR - CONVERTIBLE ARBITRAGE | NA | Control |
| THAW, MITCHELL, ALAN | I | MANAGING DIRECTOR - CONVERTIBLE ARBITRAGE | NA | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| HARBINGER CORPORATION | DE | SHAREHOLDER | E | Control |
| BRYANT, JOHN, FREDERICK | I | EXECUTIVE VICE PRESIDENT & SENIOR MANAGING DIRECTOR, ABSOLUTE RETURN STRATEGIES | D | Control |
| BRYANT, JOHN, FREDERICK | I | EXECUTIVE VICE PRESIDENT & SENIOR MANAGING DIRECTOR, ABSOLUTE RETURN STRATEGIES | D | Control |
| BRYANT, JOHN, FREDERICK | I | EXECUTIVE VICE PRESIDENT & SENIOR MANAGING DIRECTOR, ABSOLUTE RETURN STRATEGIES | D | Control |
| BRYANT, JOHN, FREDERICK | I | EXECUTIVE VICE PRESIDENT & SENIOR MANAGING DIRECTOR, ABSOLUTE RETURN STRATEGIES | D | Control |
| BRYANT, JOHN, FREDERICK | I | EXECUTIVE VICE PRESIDENT & SENIOR MANAGING DIRECTOR, ABSOLUTE RETURN STRATEGIES | D | Control |
| Pritchett, Jason, Travis | I | PRESIDENT & CHIEF OPERATING OFFICER | A | Control |
| Pritchett, Jason, Travis | I | PRESIDENT & CHIEF OPERATING OFFICER | A | Control |
| Pritchett, Jason, Travis | I | PRESIDENT & CHIEF OPERATING OFFICER | A | Control |
| Pritchett, Jason, Travis | I | PRESIDENT & CHIEF OPERATING OFFICER | A | Control |
| Pritchett, Jason, Travis | I | PRESIDENT & CHIEF OPERATING OFFICER | A | Control |
| Pritchett, Jason, Travis | I | PRESIDENT & CHIEF OPERATING OFFICER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| HARBERT MANAGEMENT CORPORATION | DE | HARBINGER CORPORATION | E | Control |
| BRYANT, JOHN, FREDERICK | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| BRYANT, JOHN, FREDERICK | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| BRYANT, JOHN, FREDERICK | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| BRYANT, JOHN, FREDERICK | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| BRYANT, JOHN, FREDERICK | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| Bryant, Mary, Kathryn | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| Bryant, Mary, Kathryn | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| Bryant, Mary, Kathryn | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| Bryant, Mary, Kathryn | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| Bryant, Mary, Kathryn | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, JOHN, MURDOCH | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, JOHN, MURDOCH | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, JOHN, MURDOCH | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, JOHN, MURDOCH | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, JOHN, MURDOCH | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | D | Control |
| Bryant, Mary, Kathryn | I | HARBERT MANAGEMENT CORPORATION | C | Control |
| Bryant, Mary, Kathryn | I | HARBERT MANAGEMENT CORPORATION | C | Control |
| Bryant, Mary, Kathryn | I | HARBERT MANAGEMENT CORPORATION | C | Control |
| Bryant, Mary, Kathryn | I | HARBERT MANAGEMENT CORPORATION | C | Control |
| HARBERT, JOHN, MURDOCH | I | HARBERT MANAGEMENT CORPORATION | C | Control |
| HARBERT, JOHN, MURDOCH | I | HARBERT MANAGEMENT CORPORATION | C | Control |
| HARBERT, JOHN, MURDOCH | I | HARBERT MANAGEMENT CORPORATION | C | Control |
| HARBERT, JOHN, MURDOCH | I | HARBERT MANAGEMENT CORPORATION | C | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | C | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | C | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | C | Control |
| HARBERT, RAYMOND, JONES | I | HARBERT MANAGEMENT CORPORATION | C | Control |
Registrations
Federal
IA
Dec 9, 2025 REGISTERED
Notice Filings (9)
AL CA DE GA IL NY TN TX VA
Address
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