TRILLIUM ASSET MANAGEMENT, LLC
Legal name: TRILLIUM ASSET MANAGEMENT
CRD #110901 SEC #801-17958 BOSTON, MA 617-423-6655
SEC Registered Private Funds
Total AUM
$5B
Discretionary
$5B
Employees
50
Clients
0
Accounts
2,149
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 12, 2025
- Branch Offices
- 1
- LEI
- 76260438
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALPERN, SHELLEY | I | ASST VP, DIRECTOR | NA | Control |
| ALPERN, SHELLEY | I | ASST VP, DIRECTOR | NA | Control |
| Apted, Amanda, Jane | I | DIRECTOR | NA | |
| Apted, Amanda, Jane | I | DIRECTOR | NA | |
| Apted, Amanda, Jane | I | DIRECTOR | NA | |
| Apted, Amanda, Jane | I | DIRECTOR | NA | |
| Apted, Amanda, Jane | I | DIRECTOR | NA | |
| BECKER, ERIC, MICHAEL | I | VICE PRESIDENT | NA | |
| BECKER, ERIC, MICHAEL | I | VICE PRESIDENT | NA | |
| BECKER, ERIC, MICHAEL | I | VICE PRESIDENT | NA | |
| BECKER, ERIC, MICHAEL | I | VICE PRESIDENT | NA | |
| BECKER, ERIC, MICHAEL | I | VICE PRESIDENT | NA | |
| BECKER, ERIC, MICHAEL | I | VICE PRESIDENT | NA | |
| BECKER, ERIC, MICHAEL | I | VICE PRESIDENT | NA | |
| BECKER, ERIC, MICHAEL | I | VICE PRESIDENT | NA | |
| BECKER, ERIC, MICHAEL | I | VICE PRESIDENT | NA | |
| BLACK, SHERRY, SALWAY | I | DIRECTOR | NA | Control |
| BLACK, SHERRY, SALWAY | I | DIRECTOR | NA | Control |
| BLACK, SHERRY, SALWAY | I | DIRECTOR | NA | Control |
| BLACK, SHERRY, SALWAY | I | DIRECTOR | NA | Control |
| BLACK, SHERRY, SALWAY | I | DIRECTOR | NA | Control |
| BLACK, SHERRY, SALWAY | I | DIRECTOR | NA | Control |
| BLACK, SHERRY, SALWAY | I | DIRECTOR | NA | Control |
| BLACK, SHERRY, SALWAY | I | DIRECTOR | NA | Control |
| BLACK, SHERRY, SALWAY | I | DIRECTOR | NA | Control |
| BLACK, SHERRY, SALWAY | I | DIRECTOR | NA | Control |
| BLACK, SHERRY, SALWAY | I | DIRECTOR | NA | Control |
| BLACK, SHERRY, SALWAY | I | DIRECTOR | NA | Control |
| BLACK, SHERRY, SALWAY | I | DIRECTOR | NA | Control |
| BLACK, SHERRY, SALWAY | I | DIRECTOR | NA | Control |
| BLACK, SHERRY, SALWAY | I | DIRECTOR | NA | Control |
| CRAWFORD, JAMES, EDWARD | I | DIRECTOR | NA | Control |
| CRAWFORD, JAMES, EDWARD | I | DIRECTOR | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENNEY, NANCY, INTER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| FLINTER, MARGARET, MARY | I | DIRECTOR | NA | |
| FLINTER, MARGARET, MARY | I | DIRECTOR | NA | |
| FLINTER, MARGARET, MARY | I | DIRECTOR | NA | |
| FLINTER, MARGARET, MARY | I | DIRECTOR | NA | |
| FLINTER, MARGARET, MARY | I | DIRECTOR | NA | |
| FLINTER, MARGARET, MARY | I | DIRECTOR | NA | |
| FLINTER, MARGARET, MARY | I | DIRECTOR | NA | |
| FLINTER, MARGARET, MARY | I | DIRECTOR | NA | |
| FLINTER, MARGARET, MARY | I | DIRECTOR | NA | |
| FLINTER, MARGARET, MARY | I | DIRECTOR | NA | |
| FLINTER, MARGARET, MARY | I | DIRECTOR | NA | |
| FLINTER, MARGARET, MARY | I | DIRECTOR | NA | |
| FLINTER, MARGARET, MARY | I | DIRECTOR | NA | |
| FLINTER, MARGARET, MARY | I | DIRECTOR | NA | |
| FLINTER, MARGARET, MARY | I | DIRECTOR | NA | |
| FLINTER, MARGARET, MARY | I | DIRECTOR | NA | |
| FLINTER, MARGARET, MARY | I | DIRECTOR | NA | |
| GLADWIN, THOMAS, NEIL | I | DIRECTOR | NA | Control |
| GLADWIN, THOMAS, NEIL | I | DIRECTOR | NA | Control |
| GLADWIN, THOMAS, NEIL | I | DIRECTOR | NA | Control |
| GLADWIN, THOMAS, NEIL | I | DIRECTOR | NA | Control |
| GLADWIN, THOMAS, NEIL | I | DIRECTOR | NA | Control |
| GLADWIN, THOMAS, NEIL | I | DIRECTOR | NA | Control |
| GLADWIN, THOMAS, NEIL | I | DIRECTOR | NA | Control |
| GLADWIN, THOMAS, NEIL | I | DIRECTOR | NA | Control |
| GLADWIN, THOMAS, NEIL | I | DIRECTOR | NA | Control |
| GLADWIN, THOMAS, NEIL | I | DIRECTOR | NA | Control |
| GLADWIN, THOMAS, NEIL | I | DIRECTOR | NA | Control |
| GLADWIN, THOMAS, NEIL | I | DIRECTOR | NA | Control |
| GLADWIN, THOMAS, NEIL | I | DIRECTOR | NA | Control |
| GLADWIN, THOMAS, NEIL | I | DIRECTOR | NA | Control |
| GLADWIN, THOMAS, NEIL | I | DIRECTOR | NA | Control |
| GLADWIN, THOMAS, NEIL | I | DIRECTOR | NA | Control |
| GLADWIN, THOMAS, NEIL | I | DIRECTOR | NA | Control |
| GLASSMAN, ROBERT, ALAN | I | DIRECTOR | NA | Control |
| GLASSMAN, ROBERT, ALAN | I | DIRECTOR | NA | Control |
| GLASSMAN, ROBERT, ALAN | I | DIRECTOR | NA | Control |
| GLASSMAN, ROBERT, ALAN | I | DIRECTOR | NA | Control |
| GLASSMAN, ROBERT, ALAN | I | DIRECTOR | NA | Control |
| GLASSMAN, ROBERT, ALAN | I | DIRECTOR | NA | Control |
| GLASSMAN, ROBERT, ALAN | I | DIRECTOR | NA | Control |
| GLASSMAN, ROBERT, ALAN | I | DIRECTOR | NA | Control |
| GLASSMAN, ROBERT, ALAN | I | DIRECTOR | NA | Control |
| GLASSMAN, ROBERT, ALAN | I | DIRECTOR | NA | Control |
| GLASSMAN, ROBERT, ALAN | I | DIRECTOR | NA | Control |
| GLASSMAN, ROBERT, ALAN | I | DIRECTOR | NA | Control |
| GLASSMAN, ROBERT, ALAN | I | DIRECTOR | NA | Control |
| GLASSMAN, ROBERT, ALAN | I | DIRECTOR | NA | Control |
| GLASSMAN, ROBERT, ALAN | I | DIRECTOR | NA | Control |
| GLASSMAN, ROBERT, ALAN | I | DIRECTOR | NA | Control |
| GLASSMAN, ROBERT, ALAN | I | DIRECTOR | NA | Control |
| GOLDEN, CHRISTOPHER, MARK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GOLDEN, CHRISTOPHER, MARK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GREENBERG, SALLY, J. | I | DIRECTOR | NA | Control |
| GREENBERG, SALLY, J. | I | DIRECTOR | NA | Control |
| GREENBERG, SALLY, JOAN | I | DIRECTOR | NA | Control |
| GREENBERG, SALLY, JOAN | I | DIRECTOR | NA | Control |
| GREENBERG, SALLY, JOAN | I | DIRECTOR | NA | Control |
| GREENBERG, SALLY, JOAN | I | DIRECTOR | NA | Control |
| GREENBERG, SALLY, JOAN | I | DIRECTOR | NA | Control |
| GREENBERG, SALLY, JOAN | I | DIRECTOR | NA | Control |
| GREENBERG, SALLY, JOAN | I | DIRECTOR | NA | Control |
| GREENBERG, SALLY, JOAN | I | DIRECTOR | NA | Control |
| GREENBERG, SALLY, JOAN | I | DIRECTOR | NA | Control |
| GREENBERG, SALLY, JOAN | I | DIRECTOR | NA | Control |
| GREENBERG, SALLY, JOAN | I | DIRECTOR | NA | Control |
| GREENBERG, SALLY, JOAN | I | DIRECTOR | NA | Control |
| GREENBERG, SALLY, JOAN | I | DIRECTOR | NA | Control |
| GREENBERG, SALLY, JOAN | I | DIRECTOR | NA | Control |
| GREENBERG, SALLY, JOAN | I | DIRECTOR | NA | Control |
| GRIGSBY, CHARLES, TOWLER | I | CHAIRMAN OF THE BOARD | NA | Control |
| GRIGSBY, CHARLES, TOWLER | I | CHAIRMAN OF THE BOARD | NA | Control |
| GRIGSBY, CHARLES, TOWLER | I | CHAIRMAN OF THE BOARD | NA | Control |
| GRIGSBY, CHARLES, TOWLER | I | CHAIRMAN OF THE BOARD | NA | Control |
| GRIGSBY, CHARLES, TOWLER | I | CHAIRMAN OF THE BOARD | NA | Control |
| GRIGSBY, CHARLES, TOWLER | I | CHAIRMAN OF THE BOARD | NA | Control |
| GRIGSBY, CHARLES, TOWLER | I | CHAIRMAN OF THE BOARD | NA | Control |
| GRIGSBY, CHARLES, TOWLER | I | CHAIRMAN OF THE BOARD | NA | Control |
| GRIGSBY, CHARLES, TOWLER | I | CHAIRMAN OF THE BOARD | NA | Control |
| GRIGSBY, CHARLES, TOWLER | I | DIRECTOR | NA | Control |
| GRIGSBY, CHARLES, TOWLER | I | DIRECTOR | NA | Control |
| GRIGSBY, CHARLES, TOWLER | I | DIRECTOR | NA | Control |
| GRIGSBY, CHARLES, TOWLER | I | DIRECTOR | NA | Control |
| GRIGSBY, CHARLES, TOWLER | I | DIRECTOR | NA | Control |
| GRIGSBY, CHARLES, TOWLER | I | DIRECTOR | NA | Control |
| GRIGSBY, CHARLES, TOWLER | I | DIRECTOR | NA | Control |
| GRIGSBY, CHARLES, TOWLER | I | DIRECTOR | NA | Control |
| GRIGSBY, CHARLES, TOWLER | I | DIRECTOR | NA | Control |
| JOVANOVIC, ALEXANDER | I | HEAD OF PRIVATE CLIENT | NA | Control |
| JOVANOVIC, ALEXANDER | I | HEAD OF PRIVATE CLIENT | NA | Control |
| JOVANOVIC, ALEXANDER | I | HEAD OF PRIVATE CLIENT | NA | Control |
| JOVANOVIC, ALEXANDER | I | HEAD OF PRIVATE CLIENT | NA | Control |
| JOVANOVIC, ALEXANDER | I | HEAD OF PRIVATE CLIENT | NA | Control |
| JOVANOVIC, ALEXANDER | I | MANAGING DIRECTOR - PRIVATE CLIENT | NA | Control |
| JOVANOVIC, ALEXANDER | I | MANAGING DIRECTOR - PRIVATE CLIENT | NA | Control |
| KARALNIK, YANA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LEFF, LISA, MICHELE | I | VICE PRESIDENT | NA | |
| LEFF, LISA, MICHELE | I | VICE PRESIDENT, DIRECTOR | NA | |
| LEFF, LISA, MICHELE | I | VICE PRESIDENT, DIRECTOR | NA | |
| LEFF, LISA, MICHELE | I | VICE PRESIDENT, DIRECTOR | NA | |
| LEFF, LISA, MICHELE | I | VICE PRESIDENT, DIRECTOR | NA | |
| LEFF, LISA, MICHELE | I | VICE PRESIDENT, DIRECTOR | NA | |
| LEFF, LISA, MICHELE | I | VICE PRESIDENT, DIRECTOR | NA | |
| LEFF, LISA, MICHELE | I | VICE PRESIDENT, DIRECTOR | NA | |
| LEFF, LISA, MICHELE | I | VICE PRESIDENT, DIRECTOR | NA | |
| LEIGHTON, STEPHANIE, ROYCE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| Lo Proto, Alan, Jay | I | DIRECTOR | NA | Control |
| Lo Proto, Alan, Jay | I | DIRECTOR | NA | Control |
| Lo Proto, Alan, Jay | I | DIRECTOR | NA | Control |
| Lo Proto, Alan, Jay | I | DIRECTOR | NA | Control |
| Lo Proto, Alan, Jay | I | DIRECTOR | NA | Control |
| Lo Proto, Alan, Jay | I | DIRECTOR | NA | Control |
| Lo Proto, Alan, Jay | I | DIRECTOR | NA | Control |
| Lo Proto, Alan, Jay | I | DIRECTOR | NA | Control |
| MACKINNON, LISA, DORENE | I | VICE PRESIDENT, DIRECTOR | NA | |
| MACKINNON, LISA, DORENE | I | VICE PRESIDENT, DIRECTOR | NA | |
| MACKINNON, LISA, DORENE | I | VICE PRESIDENT, DIRECTOR | NA | |
| MACKINNON, LISA, DORENE | I | VICE PRESIDENT, DIRECTOR | NA | |
| MACKINNON, LISA, DORENE | I | VICE PRESIDENT, DIRECTOR | NA | |
| MACKINNON, LISA, DORENE | I | VICE PRESIDENT, DIRECTOR | NA | |
| MACKINNON, LISA, DORENE | I | VICE PRESIDENT, DIRECTOR | NA | |
| MCDONOUGH, MICHELLE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCDONOUGH, MICHELLE | I | CHIEF OPERATING OFFICER | NA | Control |
| MCDONOUGH, MICHELLE | I | CHIEF OPERATING OFFICER | NA | Control |
| MCDONOUGH, MICHELLE | I | CHIEF OPERATING OFFICER | NA | Control |
| MCDONOUGH, MICHELLE | I | CHIEF OPERATING OFFICER | NA | Control |
| MCDONOUGH, MICHELLE | I | CHIEF OPERATING OFFICER | NA | Control |
| MCDONOUGH, MICHELLE | I | CHIEF OPERATING OFFICER | NA | Control |
| MCDONOUGH, MICHELLE | I | CHIEF OPERATING OFFICER | NA | Control |
| MCLEAN, LINNIE, W. | I | VICE PRESIDENT FINANCE & ADMINISTRATION | NA | Control |
| MCLEAN, LINNIE, W. | I | VICE PRESIDENT FINANCE & ADMINISTRATION | NA | Control |
| MCLEAN, LINNIE, W. | I | VICE PRESIDENT FINANCE & ADMINISTRATION | NA | Control |
| MCLEAN, LINNIE, W. | I | VICE PRESIDENT FINANCE & ADMINISTRATION | NA | Control |
| MCLEAN, LINNIE, W. | I | VICE PRESIDENT FINANCE & ADMINISTRATION | NA | Control |
| MCLEAN, LINNIE, W. | I | VICE PRESIDENT FINANCE & ADMINISTRATION | NA | Control |
| MCLEAN, LINNIE, W. | I | VICE PRESIDENT FINANCE & ADMINISTRATION | NA | Control |
| Mosse, Simone, Alison | I | DIRECTOR | NA | |
| Mosse, Simone, Alison | I | DIRECTOR | NA | |
| Mosse, Simone, Alison | I | DIRECTOR | NA | |
| Mosse, Simone, Alison | I | DIRECTOR | NA | |
| Mosse, Simone, Alison | I | DIRECTOR | NA | |
| Mosse, Simone, Alison | I | DIRECTOR | NA | |
| Mosse, Simone, Alison | I | DIRECTOR | NA | Control |
| Mosse, Simone, Alison | I | DIRECTOR | NA | Control |
| Mosse, Simone, Alison | I | DIRECTOR | NA | Control |
| Mosse, Simone, Alison | I | DIRECTOR | NA | Control |
| O'CLEIREACAIN, CAROL | I | DIRECTOR | NA | Control |
| O'CLEIREACAIN, CAROL | I | DIRECTOR | NA | Control |
| O'CLEIREACAIN, CAROL | I | DIRECTOR | NA | Control |
| O'CLEIREACAIN, CAROL | I | DIRECTOR | NA | Control |
| O'CLEIREACAIN, CAROL | I | DIRECTOR | NA | Control |
| O'CLEIREACAIN, CAROL | I | DIRECTOR | NA | Control |
| O'CLEIREACAIN, CAROL | I | DIRECTOR | NA | Control |
| O'CLEIREACAIN, CAROL | I | DIRECTOR | NA | Control |
| O'CLEIREACAIN, CAROL | I | DIRECTOR | NA | Control |
| O'CLEIREACAIN, CAROL | I | DIRECTOR | NA | Control |
| O'CLEIREACAIN, CAROL | I | DIRECTOR | NA | Control |
| O'CLEIREACAIN, CAROL | I | DIRECTOR | NA | Control |
| O'CLEIREACAIN, CAROL | I | DIRECTOR | NA | Control |
| O'CLEIREACAIN, CAROL | I | DIRECTOR | NA | Control |
| O'CLEIREACAIN, CAROL | I | DIRECTOR | NA | Control |
| O'CLEIREACAIN, CAROL | I | DIRECTOR | NA | Control |
| O'CLEIREACAIN, CAROL | I | DIRECTOR | NA | Control |
| O'CLEIREACAIN, CAROL | I | DIRECTOR | NA | Control |
| PATSKY, MATTHEW, WILLIAM | I | CEO, DIRECTOR | NA | |
| PATSKY, MATTHEW, WILLIAM | I | CEO | NA | Control |
| PATSKY, MATTHEW, WILLIAM | I | CEO | NA | Control |
| PATSKY, MATTHEW, WILLIAM | I | CEO | NA | Control |
| PATSKY, MATTHEW, WILLIAM | I | CEO | NA | Control |
| PATSKY, MATTHEW, WILLIAM | I | CEO | NA | Control |
| PATSKY, MATTHEW, WILLIAM | I | CEO | NA | Control |
| PATSKY, MATTHEW, WILLIAM | I | CEO | NA | Control |
| PATSKY, MATTHEW, WILLIAM | I | CEO | NA | Control |
| PATSKY, MATTHEW, WILLIAM | I | CEO | NA | Control |
| PATSKY, MATTHEW, WILLIAM | I | CEO | NA | Control |
| PATSKY, MATTHEW, WILLIAM | I | CEO | NA | Control |
| PATSKY, MATTHEW, WILLIAM | I | CEO | NA | Control |
| PATSKY, MATTHEW, WILLIAM | I | CEO | NA | Control |
| PATSKY, MATTHEW, WILLIAM | I | CEO | NA | Control |
| PLUKAS, JOHN, MICHAEL | I | DIRECTOR | NA | Control |
| PLUKAS, JOHN, MICHAEL | I | DIRECTOR | NA | Control |
| PLUKAS, JOHN, MICHAEL | I | DIRECTOR | NA | Control |
| PLUKAS, JOHN, MICHAEL | I | DIRECTOR | NA | Control |
| PLUKAS, JOHN, MICHAEL | I | DIRECTOR | NA | Control |
| PLUKAS, JOHN, MICHAEL | I | DIRECTOR | NA | Control |
| PLUKAS, JOHN, MICHAEL | I | DIRECTOR | NA | Control |
| PLUKAS, JOHN, MICHAEL | I | DIRECTOR | NA | Control |
| PLUKAS, JOHN, MICHAEL | I | DIRECTOR | NA | Control |
| PLUKAS, JOHN, MICHAEL | I | DIRECTOR | NA | Control |
| PLUKAS, JOHN, MICHAEL | I | DIRECTOR | NA | Control |
| PLUKAS, JOHN, MICHAEL | I | DIRECTOR | NA | Control |
| PLUKAS, JOHN, MICHAEL | I | DIRECTOR | NA | Control |
| PLUKAS, JOHN, MICHAEL | I | DIRECTOR | NA | Control |
| PLUKAS, JOHN, MICHAEL | I | DIRECTOR | NA | Control |
| PLUKAS, JOHN, MICHAEL | I | DIRECTOR | NA | Control |
| PLUKAS, JOHN, MICHAEL | I | DIRECTOR | NA | Control |
| QUEALY, JOHN, SALVATORE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| QUEALY, JOHN, SALVATORE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| QUEALY, JOHN, SALVATORE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| QUEALY, JOHN, SALVATORE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| QUEALY, JOHN, SALVATORE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| QUEALY, JOHN, SALVATORE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| QUEALY, JOHN, SALVATORE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| QUEALY, JOHN, SALVATORE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| QUEALY, JOHN, SALVATORE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| QUEALY, JOHN, SALVATORE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| QUEALY, JOHN, SALVATORE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| QUEALY, JOHN, SALVATORE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| QUEALY, JOHN, SALVATORE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| QUEALY, JOHN, SALVATORE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| QUEALY, JOHN, SALVATORE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| QUEALY, JOHN, SALVATORE | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RICE, RANDALL, P. | I | PORTFOLIO ASSOCIATE/DIRECTOR | NA | |
| RICE, RANDALL, P. | I | PORTFOLIO ASSOCIATE/DIRECTOR | NA | |
| ROOKS, GEORGE | I | DIRECTOR | NA | Control |
| ROOKS, GEORGE | I | DIRECTOR | NA | Control |
| ROOKS, GEORGE | I | DIRECTOR | NA | Control |
| ROOKS, GEORGE | I | DIRECTOR | NA | Control |
| ROOKS, GEORGE | I | DIRECTOR | NA | Control |
| ROOKS, GEORGE | I | DIRECTOR | NA | Control |
| ROOKS, GEORGE | I | DIRECTOR | NA | Control |
| ROOKS, GEORGE | I | DIRECTOR | NA | Control |
| ROOKS, GEORGE | I | DIRECTOR | NA | Control |
| ROOKS, GEORGE | I | DIRECTOR | NA | Control |
| ROOKS, GEORGE | I | DIRECTOR | NA | Control |
| ROOKS, GEORGE | I | DIRECTOR | NA | Control |
| ROOKS, GEORGE | I | DIRECTOR | NA | Control |
| ROOKS, GEORGE | I | DIRECTOR | NA | Control |
| ROOKS, GEORGE | I | DIRECTOR | NA | Control |
| ROOKS, GEORGE | I | DIRECTOR | NA | Control |
| ROOKS, GEORGE | I | DIRECTOR | NA | Control |
| SCLAR, ELLIOTT, DAVID | I | DIRECTOR | NA | Control |
| SCLAR, ELLIOTT, DAVID | I | DIRECTOR | NA | Control |
| SCLAR, ELLIOTT, DAVID | I | DIRECTOR | NA | Control |
| SCLAR, ELLIOTT, DAVID | I | DIRECTOR | NA | Control |
| SCLAR, ELLIOTT, DAVID | I | DIRECTOR | NA | Control |
| SCLAR, ELLIOTT, DAVID | I | DIRECTOR | NA | Control |
| SCLAR, ELLIOTT, DAVID | I | DIRECTOR | NA | Control |
| SCLAR, ELLIOTT, DAVID | I | DIRECTOR | NA | Control |
| SCLAR, ELLIOTT, DAVID | I | DIRECTOR | NA | Control |
| SCLAR, ELLIOTT, DAVID | I | CHAIRMAN OF THE BOARD | NA | Control |
| SCLAR, ELLIOTT, DAVID | I | CHAIRMAN OF THE BOARD | NA | Control |
| SCLAR, ELLIOTT, DAVID | I | CHAIRMAN OF THE BOARD | NA | Control |
| SCLAR, ELLIOTT, DAVID | I | CHAIRMAN OF THE BOARD | NA | Control |
| SCLAR, ELLIOTT, DAVID | I | CHAIRMAN OF THE BOARD | NA | Control |
| SCLAR, ELLIOTT, DAVID | I | CHAIRMAN OF THE BOARD | NA | Control |
| SCLAR, ELLIOTT, DAVID | I | CHAIRMAN OF THE BOARD | NA | Control |
| SCLAR, ELLIOTT, DAVID | I | CHAIRMAN OF THE BOARD | NA | Control |
| SCLAR, ELLIOTT, DAVID | I | CHAIRMAN OF THE BOARD | NA | Control |
| SEITCHIK, ADAM, DAVID | I | EXECUTIVE VICE PRESIDENT, CHIEF INVEST. OFFICER | NA | Control |
| SEITCHIK, ADAM, DAVID | I | EXECUTIVE VICE PRESIDENT, CHIEF INVEST. OFFICER | NA | Control |
| SEITCHIK, ADAM, DAVID | I | EXECUTIVE VICE PRESIDENT, CHIEF INVEST. OFFICER | NA | Control |
| SEITCHIK, ADAM, DAVID | I | EXECUTIVE VICE PRESIDENT, CHIEF INVEST. OFFICER | NA | Control |
| SEITCHIK, ADAM, DAVID | I | EXECUTIVE VICE PRESIDENT, CHIEF INVEST. OFFICER | NA | Control |
| SMITH, CHERYL, IRENE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| SMITH, CHERYL, IRENE | I | PRESIDENT | NA | Control |
| SMITH, CHERYL, IRENE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| SMITH, CHERYL, IRENE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| SMITH, CHERYL, IRENE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| SMITH, CHERYL, IRENE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| SMITH, CHERYL, IRENE | I | VICE PRESIDENT, DIRECTOR | NA | |
| SMITH, CHERYL, IRENE | I | VICE PRESIDENT, DIRECTOR | NA | |
| SMITH, CHERYL, IRENE | I | VICE PRESIDENT, DIRECTOR | NA | |
| SMITH, CHERYL, IRENE | I | VICE PRESIDENT, DIRECTOR | NA | |
| SMITH, CHERYL, IRENE | I | VICE PRESIDENT, DIRECTOR | NA | |
| SMITH, CHERYL, IRENE | I | VICE PRESIDENT, DIRECTOR | NA | |
| SMITH, CHERYL, IRENE | I | VICE PRESIDENT, DIRECTOR | NA | |
| SMITH, CHERYL, IRENE | I | DIRECTOR | NA | Control |
| SMITH, CHERYL, IRENE | I | DIRECTOR | NA | Control |
| SMITH, CHERYL, IRENE | I | DIRECTOR | NA | Control |
| SMITH, CHERYL, IRENE | I | DIRECTOR | NA | Control |
| SMITH, CHERYL, IRENE | I | DIRECTOR | NA | Control |
| SMITH, CHERYL, IRENE | I | DIRECTOR | NA | Control |
| SMITH, CHERYL, IRENE | I | DIRECTOR | NA | Control |
| SMITH, CHERYL, IRENE | I | DIRECTOR | NA | Control |
| THOMPSON, CHARLES, SPURGEON | I | DIRECTOR | NA | |
| THOMPSON, CHARLES, SPURGEON | I | DIRECTOR | NA | |
| THOMPSON, CHARLES, SPURGEON | I | DIRECTOR | NA | |
| THOMPSON, CHARLES, SPURGEON | I | DIRECTOR | NA | |
| THOMPSON, CHARLES, SPURGEON | I | DIRECTOR | NA | |
| TORBERT, WILLIAM, ROCKWELL | I | DIRECTOR | NA | Control |
| TORBERT, WILLIAM, ROCKWELL | I | DIRECTOR | NA | Control |
| TORBERT, WILLIAM, ROCKWELL | I | DIRECTOR | NA | Control |
| TORBERT, WILLIAM, ROCKWELL | I | DIRECTOR | NA | Control |
| TORBERT, WILLIAM, ROCKWELL | I | DIRECTOR | NA | Control |
| TORBERT, WILLIAM, ROCKWELL | I | DIRECTOR | NA | Control |
| TORBERT, WILLIAM, ROCKWELL | I | DIRECTOR | NA | Control |
| TORBERT, WILLIAM, ROCKWELL | I | DIRECTOR | NA | Control |
| TORBERT, WILLIAM, ROCKWELL | I | DIRECTOR | NA | Control |
| TORBERT, WILLIAM, ROCKWELL | I | DIRECTOR | NA | Control |
| TORBERT, WILLIAM, ROCKWELL | I | DIRECTOR | NA | Control |
| TORBERT, WILLIAM, ROCKWELL | I | DIRECTOR | NA | Control |
| TORBERT, WILLIAM, ROCKWELL | I | DIRECTOR | NA | Control |
| TORBERT, WILLIAM, ROCKWELL | I | DIRECTOR | NA | Control |
| TORBERT, WILLIAM, ROCKWELL | I | DIRECTOR | NA | Control |
| TORBERT, WILLIAM, ROCKWELL | I | DIRECTOR | NA | Control |
| TORBERT, WILLIAM, ROCKWELL | I | DIRECTOR | NA | Control |
| TOWNSEND, BLAINE, CARROLL | I | VICE PRESIDENT, DIRECTOR | NA | |
| TOWNSEND, BLAINE, CARROLL | I | VICE PRESIDENT, DIRECTOR | NA | |
| WILEY, RAYMOND | I | CONTROLLER | NA | Control |
| WILEY, RAYMOND | I | CONTROLLER | NA | Control |
| WILEY, RAYMOND | I | CONTROLLER | NA | Control |
| ZELEE, WHITNEY, ALEXIS | I | CHIEF OPERATING OFFICER | NA | Control |
| Zelee, Whitney | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| Zelee, Whitney | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| Zelee, Whitney | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| Zelee, Whitney | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| Zelee, Whitney | I | CHIEF OPERATING OFFICER | NA | Control |
| Zelee, Whitney | I | CHIEF OPERATING OFFICER | NA | Control |
| PERPETUAL US HOLDING COMPANY INC | FE | OWNER | E | Control |
| PERPETUAL US HOLDING COMPANY INC | FE | OWNER | E | Control |
| PERPETUAL US HOLDING COMPANY INC | FE | OWNER | E | Control |
| PERPETUAL US HOLDING COMPANY INC | FE | OWNER | E | Control |
| PERPETUAL US HOLDING COMPANY INC | FE | OWNER | E | Control |
| PERPETUAL US HOLDING COMPANY INC | FE | OWNER | E | Control |
| PERPETUAL US HOLDING COMPANY INC | FE | OWNER | E | Control |
| PERPETUAL US HOLDING COMPANY INC | FE | OWNER | E | Control |
| PERPETUAL US HOLDING COMPANY INC | FE | OWNER | E | Control |
| PERPETUAL US HOLDING COMPANY INC | FE | OWNER | E | Control |
| PERPETUAL US HOLDING COMPANY INC | FE | OWNER | E | Control |
| PERPETUAL US HOLDING COMPANY INC | FE | OWNER | E | Control |
| PERPETUAL US HOLDING COMPANY INC | FE | OWNER | E | Control |
| PERPETUAL US HOLDING COMPANY INC | FE | OWNER | E | Control |
| PROGRESSIVE SECURITIES CORPORATION ("PSC") | DE | BENEFICIAL OWNER OF PFD STOCK | E | Control |
| PROGRESSIVE SECURITIES CORPORATION ("PSC") | DE | BENEFICIAL OWNER OF PFD STOCK | E | Control |
| PROGRESSIVE SECURITIES CORPORATION ("PSC") | DE | BENEFICIAL OWNER OF PFD STOCK | E | Control |
| PROGRESSIVE SECURITIES CORPORATION ("PSC") | DE | BENEFICIAL OWNER OF PFD STOCK | E | Control |
| PROGRESSIVE SECURITIES CORPORATION ("PSC") | DE | BENEFICIAL OWNER OF PFD STOCK | E | Control |
| PROGRESSIVE SECURITIES CORPORATION ("PSC") | DE | BENEFICIAL OWNER OF PFD STOCK | E | Control |
| PROGRESSIVE SECURITIES CORPORATION ("PSC") | DE | BENEFICIAL OWNER OF PFD STOCK | E | Control |
| PROGRESSIVE SECURITIES CORPORATION ("PSC") | DE | BENEFICIAL OWNER OF PFD STOCK | E | Control |
| PROGRESSIVE SECURITIES CORPORATION ("PSC") | DE | BENEFICIAL OWNER OF PFD STOCK | E | Control |
| PROGRESSIVE SECURITIES CORPORATION ("PSC") | DE | BENEFICIAL OWNER OF PFD STOCK | E | Control |
| PROGRESSIVE SECURITIES CORPORATION ("PSC") | DE | BENEFICIAL OWNER OF PFD STOCK | E | Control |
| PROGRESSIVE SECURITIES CORPORATION ("PSC") | DE | BENEFICIAL OWNER OF PFD STOCK | E | Control |
| PROGRESSIVE SECURITIES CORPORATION ("PSC") | DE | BENEFICIAL OWNER OF PFD STOCK | E | Control |
| PROGRESSIVE SECURITIES CORPORATION ("PSC") | DE | BENEFICIAL OWNER OF PFD STOCK | E | Control |
| PROGRESSIVE SECURITIES CORPORATION ("PSC") | DE | BENEFICIAL OWNER OF PFD STOCK | E | Control |
| PROGRESSIVE SECURITIES CORPORATION ("PSC") | DE | BENEFICIAL OWNER OF PFD STOCK | E | Control |
| PROGRESSIVE SECURITIES CORPORATION ("PSC") | DE | BENEFICIAL OWNER OF PFD STOCK | E | Control |
| BAVARIA, JOAN, LESLIE | I | PRESIDENT, DIRECTOR, TREASURER | C | Control |
| BAVARIA, JOAN, LESLIE | I | PRESIDENT, DIRECTOR, TREASURER | C | Control |
| BAVARIA, JOAN, LESLIE | I | PRESIDENT, DIRECTOR, TREASURER | C | Control |
| BAVARIA, JOAN, LESLIE | I | PRESIDENT, DIRECTOR, TREASURER | C | Control |
| BAVARIA, JOAN, LESLIE | I | PRESIDENT, DIRECTOR, TREASURER | C | Control |
| BAVARIA, JOAN, LESLIE | I | PRESIDENT, DIRECTOR, TREASURER | C | Control |
| BAVARIA, JOAN, LESLIE | I | PRESIDENT, DIRECTOR, TREASURER | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | MANAGING PARTNER, CEO | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | MANAGING PARTNER, CEO | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | CEO, DIRECTOR | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | MANAGING PARTNER, CEO | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | MANAGING PARTNER, CEO | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | MANAGING PARTNER, CEO | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | MANAGING PARTNER, CEO | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | MANAGING PARTNER, CEO | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | MANAGING PARTNER, CEO | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | MANAGING PARTNER, CEO | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | MANAGING PARTNER, CEO | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | MANAGING PARTNER, CEO | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | MANAGING PARTNER, CEO | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | MANAGING PARTNER, CEO | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | MANAGING PARTNER, CEO | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | MANAGING PARTNER, CEO | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | MANAGING PARTNER, CEO | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | MANAGING PARTNER, CEO | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | MANAGING PARTNER, CEO | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | MANAGING PARTNER, CEO | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | MANAGING PARTNER, CEO | C | Control |
| PATSKY, MATTHEW, WILLIAM | I | MANAGING PARTNER, CEO | C | Control |
| BAVARIA, JOAN, LESLIE | I | PRESIDENT, DIRECTOR, TREASURER | B | Control |
| BAVARIA, JOAN, LESLIE | I | PRESIDENT, DIRECTOR, TREASURER | B | Control |
| BAVARIA, JOAN, LESLIE | I | PRESIDENT, DIRECTOR, TREASURER | B | Control |
| BAVARIA, JOAN, LESLIE | I | PRESIDENT, DIRECTOR, TREASURER | B | Control |
| BAVARIA, JOAN, LESLIE | I | PRESIDENT, DIRECTOR, TREASURER | B | Control |
| BAVARIA, JOAN, LESLIE | I | PRESIDENT, DIRECTOR, TREASURER | B | Control |
| BAVARIA, JOAN, LESLIE | I | PRESIDENT, DIRECTOR, TREASURER | B | Control |
| BAVARIA, JOAN, LESLIE | I | PRESIDENT, DIRECTOR, TREASURER | B | Control |
| BAVARIA, JOAN, LESLIE | I | PRESIDENT, DIRECTOR, TREASURER | B | Control |
| DAVIDSON, PATRICIA, L. | I | VICE PRESIDENT | B | |
| DAVIDSON, PATRICIA, L. | I | VICE PRESIDENT | B | |
| DAVIDSON, PATRICIA, LOUISE | I | VICE PRESIDENT | B | |
| DAVIDSON, PATRICIA, LOUISE | I | VICE PRESIDENT | B | |
| DAVIDSON, PATRICIA, LOUISE | I | VICE PRESIDENT | B | |
| DAVIDSON, PATRICIA, LOUISE | I | VICE PRESIDENT | B | |
| DAVIDSON, PATRICIA, LOUISE | I | VICE PRESIDENT | B | |
| DAVIDSON, PATRICIA, LOUISE | I | VICE PRESIDENT | B | |
| DAVIDSON, PATRICIA, LOUISE | I | VICE PRESIDENT | B | |
| DAVIDSON, PATRICIA, LOUISE | I | VICE PRESIDENT | B | |
| DAVIDSON, PATRICIA, LOUISE | I | VICE PRESIDENT | B | |
| DAVIDSON, PATRICIA, LOUISE | I | VICE PRESIDENT | B | |
| DAVIDSON, PATRICIA, LOUISE | I | VICE PRESIDENT | B | |
| DAVIDSON, PATRICIA, LOUISE | I | VICE PRESIDENT | B | |
| DAVIDSON, PATRICIA, LOUISE | I | VICE PRESIDENT | B | |
| DAVIDSON, PATRICIA, LOUISE | I | VICE PRESIDENT | B | |
| DAVIDSON, PATRICIA, LOUISE | I | VICE PRESIDENT | B | |
| DEBONO SCHAFER, DIANE, MARIE | I | CHIEF COMPLIANCE OFFICER/DIRECTOR | B | Control |
| DEBONO, DIANE, MARIE | I | VICE PRESIDENT OPERATIONS, DIRECTOR | B | Control |
| DEBONO, DIANE, MARIE | I | VICE PRESIDENT OPERATIONS | B | Control |
| DEBONO, DIANE, MARIE | I | VICE PRESIDENT OPERATIONS, DIRECTOR | B | Control |
| DEBONO, DIANE, MARIE | I | VICE PRESIDENT OPERATIONS, DIRECTOR | B | Control |
| DEBONO, DIANE, MARIE | I | VICE PRESIDENT OPERATIONS, DIRECTOR | B | Control |
| DEBONO, DIANE, MARIE | I | VICE PRESIDENT OPERATIONS, DIRECTOR | B | Control |
| DEBONO, DIANE, MARIE | I | VICE PRESIDENT OPERATIONS | B | Control |
| MCDONOUGH, MICHELLE | I | MANAGING PARTNER | B | Control |
| MCDONOUGH, MICHELLE | I | MANAGING PARTNER | B | Control |
| MCDONOUGH, MICHELLE | I | MANAGING PARTNER | B | Control |
| MCDONOUGH, MICHELLE | I | MANAGING PARTNER | B | Control |
| MCDONOUGH, MICHELLE | I | MANAGING PARTNER | B | Control |
| MCDONOUGH, MICHELLE | I | MANAGING PARTNER | B | Control |
| SMITH, CHERYL, IRENE | I | MANAGING PARTNER, CHIEF COMPLIANCE OFFICER | B | Control |
| SMITH, CHERYL, IRENE | I | MANAGING PARTNER, CHIEF COMPLIANCE OFFICER | B | Control |
| SMITH, CHERYL, IRENE | I | PRESIDENT | B | Control |
| SMITH, CHERYL, IRENE | I | MANAGING PARTNER, CHIEF COMPLIANCE OFFICER | B | Control |
| SMITH, CHERYL, IRENE | I | MANAGING PARTNER, CHIEF COMPLIANCE OFFICER | B | Control |
| SMITH, CHERYL, IRENE | I | MANAGING PARTNER, CHIEF COMPLIANCE OFFICER | B | Control |
| SMITH, CHERYL, IRENE | I | MANAGING PARTNER, CHIEF COMPLIANCE OFFICER | B | Control |
| BROWN, FRANK, FARNUM | I | VICE PRESIDENT | A | |
| BROWN, FRANK, FARNUM | I | VICE PRESIDENT | A | |
| CHU, NANCY | I | CLIENT RECORDS ASSOCIATE | A | |
| CHU, NANCY | I | CLIENT RECORDS ASSOCIATE | A | |
| CHU, NANCY | I | CLIENT RECORDS ASSOCIATE | A | |
| CHU, NANCY | I | CLIENT RECORDS ASSOCIATE | A | |
| CHU, NANCY | I | CLIENT RECORDS ASSOCIATE | A | |
| CHU, NANCY | I | CLIENT RECORDS ASSOCIATE | A | |
| CHU, NANCY | I | CLIENT RECORDS ASSOCIATE | A | |
| CHU, NANCY | I | CLIENT RECORDS ASSOCIATE | A | |
| CHU, NANCY | I | CLIENT RECORDS ASSOCIATE | A | |
| DAVIDSON, PATRICIA, LOUISE | I | VICE PRESIDENT | A | |
| DEBONO, DIANE, MARIE | I | SENIOR VICE PRESIDENT | A | Control |
| DEBONO, DIANE, MARIE | I | SENIOR VICE PRESIDENT | A | Control |
| DEBONO, DIANE, MARIE | I | SENIOR VICE PRESIDENT | A | Control |
| DEBONO, DIANE, MARIE | I | SENIOR VICE PRESIDENT | A | Control |
| DEBONO, DIANE, MARIE | I | SENIOR VICE PRESIDENT | A | Control |
| DEBONO, DIANE, MARIE | I | SENIOR VICE PRESIDENT | A | Control |
| DEBONO, DIANE, MARIE | I | SENIOR VICE PRESIDENT | A | Control |
| DEBONO, DIANE, MARIE | I | SENIOR VICE PRESIDENT | A | Control |
| DEBONO, DIANE, MARIE | I | SENIOR VICE PRESIDENT | A | Control |
| JONES, SAMUEL, BLACKWELL | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | A | Control |
| JONES, SAMUEL, BLACKWELL | I | VICE PRESIDENT, CHIEF INV. OFFICER, CHIEF COMPLIANCE OFFICER | A | Control |
| JONES, SAMUEL, BLACKWELL | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | A | Control |
| JONES, SAMUEL, BLACKWELL | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | A | Control |
| JONES, SAMUEL, BLACKWELL | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | A | Control |
| JONES, SAMUEL, BLACKWELL | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | A | Control |
| JONES, SAMUEL, BLACKWELL | I | VICE PRESIDENT, CHIEF INV. OFFICER, CHIEF COMPLIANCE OFFICER | A | Control |
| JONES, SAMUEL, BLACKWELL | I | SENIOR VP, CHIEF INV. OFFICER, CHIEF COMPLIANCE OFFICER | A | Control |
| JONES, SAMUEL, BLACKWELL | I | SENIOR VP, CHIEF INV. OFFICER, CHIEF COMPLIANCE OFFICER | A | Control |
| JONES, SAMUEL, BLACKWELL | I | SENIOR VP, CHIEF INV. OFFICER, CHIEF COMPLIANCE OFFICER | A | Control |
| JONES, SAMUEL, BLACKWELL | I | SENIOR VP, CHIEF INV. OFFICER, CHIEF COMPLIANCE OFFICER | A | Control |
| JONES, SAMUEL, BLACKWELL | I | SENIOR VP, CHIEF INV. OFFICER, CHIEF COMPLIANCE OFFICER | A | Control |
| JONES, SAMUEL, BLACKWELL | I | SENIOR VP, CHIEF INV. OFFICER, CHIEF COMPLIANCE OFFICER | A | Control |
| JONES, SAMUEL, BLACKWELL | I | SENIOR VP, CHIEF INV. OFFICER, CHIEF COMPLIANCE OFFICER | A | Control |
| JONES, SAMUEL, BLACKWELL | I | SENIOR VP, CHIEF INV. OFFICER, CHIEF COMPLIANCE OFFICER | A | Control |
| JONES, SAMUEL, BLACKWELL | I | SENIOR VP, CHIEF INV. OFFICER, CHIEF COMPLIANCE OFFICER | A | Control |
| LANA, WILLIAM, J | I | PORTFOLIO MANAGER | A | |
| LANA, WILLIAM, J | I | PORTFOLIO MANAGER | A | |
| LANA, WILLIAM, J | I | SENIOR VICE PRESIDENT, INVESTMENT MANAGER | A | |
| LANA, WILLIAM, J | I | SENIOR VICE PRESIDENT, INVESTMENT MANAGER | A | |
| LANA, WILLIAM, J | I | SENIOR VICE PRESIDENT, INVESTMENT MANAGER | A | |
| LANA, WILLIAM, J | I | SENIOR VICE PRESIDENT, INVESTMENT MANAGER | A | |
| LEIGHTON, STEPHANIE, ROYCE | I | VICE PRESIDENT | A | Control |
| LEIGHTON, STEPHANIE, ROYCE | I | PORTFOLIO MANAGER | A | |
| LEIGHTON, STEPHANIE, ROYCE | I | PORTFOLIO MANAGER | A | |
| LEIGHTON, STEPHANIE, ROYCE | I | CHIEF INVESTMENT OFFICER | A | Control |
| LEIGHTON, STEPHANIE, ROYCE | I | VICE PRESIDENT | A | Control |
| LEIGHTON, STEPHANIE, ROYCE | I | VICE PRESIDENT | A | Control |
| LEIGHTON, STEPHANIE, ROYCE | I | VICE PRESIDENT | A | Control |
| LEIGHTON, STEPHANIE, ROYCE | I | VICE PRESIDENT | A | Control |
| LEIGHTON, STEPHANIE, ROYCE | I | VICE PRESIDENT | A | Control |
| LEIGHTON, STEPHANIE, ROYCE | I | VICE PRESIDENT | A | Control |
| LEIGHTON, STEPHANIE, ROYCE | I | VICE PRESIDENT | A | Control |
| LEIGHTON, STEPHANIE, ROYCE | I | VICE PRESIDENT | A | Control |
| LEIGHTON, STEPHANIE, ROYCE | I | VICE PRESIDENT | A | Control |
| LEIGHTON, STEPHANIE, ROYCE | I | VICE PRESIDENT | A | Control |
| LEIGHTON, STEPHANIE, ROYCE | I | VICE PRESIDENT | A | Control |
| LEIGHTON, STEPHANIE, ROYCE | I | VICE PRESIDENT | A | Control |
| LEIGHTON, STEPHANIE, ROYCE | I | VICE PRESIDENT | A | Control |
| LEIGHTON, STEPHANIE, ROYCE | I | VICE PRESIDENT | A | Control |
| LEIGHTON, STEPHANIE, ROYCE | I | VICE PRESIDENT | A | Control |
| LEIGHTON, STEPHANIE, ROYCE | I | SENIOR VICE PRESIDENT, PORTFOLIO MANAGER | A | |
| LEIGHTON, STEPHANIE, ROYCE | I | SENIOR VICE PRESIDENT, PORTFOLIO MANAGER | A | |
| LEIGHTON, STEPHANIE, ROYCE | I | SENIOR VICE PRESIDENT, PORTFOLIO MANAGER | A | |
| LEIGHTON, STEPHANIE, ROYCE | I | SENIOR VICE PRESIDENT, PORTFOLIO MANAGER | A | |
| MCDONOUGH, MICHELLE | I | MANAGING PARTNER | A | Control |
| MCDONOUGH, MICHELLE | I | MANAGING PARTNER | A | Control |
| MCDONOUGH, MICHELLE | I | MANAGING PARTNER | A | Control |
| MCDONOUGH, MICHELLE | I | MANAGING PARTNER | A | Control |
| MCDONOUGH, MICHELLE | I | MANAGING PARTNER | A | Control |
| MCDONOUGH, MICHELLE | I | MANAGING PARTNER | A | Control |
| MCDONOUGH, MICHELLE | I | MANAGING PARTNER | A | Control |
| MCDONOUGH, MICHELLE | I | MANAGING PARTNER | A | Control |
| MCDONOUGH, MICHELLE | I | MANAGING PARTNER | A | Control |
| MCDONOUGH, MICHELLE | I | MANAGING PARTNER | A | Control |
| MCDONOUGH, MICHELLE | I | MANAGING PARTNER | A | Control |
| MCDONOUGH, MICHELLE | I | MANAGING PARTNER | A | Control |
| MCDONOUGH, MICHELLE | I | MANAGING PARTNER | A | Control |
| MCDONOUGH, MICHELLE | I | MANAGING PARTNER | A | Control |
| MCDONOUGH, MICHELLE | I | MANAGING PARTNER | A | Control |
| MILLS, KEITH, ANDREW | I | RESEARCH ANALYST | A | |
| MILLS, KEITH, ANDREW | I | RESEARCH ANALYST | A | |
| MILLS, KEITH, ANDREW | I | SENIOR VICE PRESIDENT, RESEARCH ANALYST | A | |
| MILLS, KEITH, ANDREW | I | SENIOR VICE PRESIDENT, RESEARCH ANALYST | A | |
| MILLS, KEITH, ANDREW | I | SENIOR VICE PRESIDENT, RESEARCH ANALYST | A | |
| MILLS, KEITH, ANDREW | I | SENIOR VICE PRESIDENT, RESEARCH ANALYST | A | |
| SMITH, CHERYL, IRENE | I | MANAGING PARTNER | A | Control |
| SMITH, CHERYL, IRENE | I | MANAGING PARTNER, CHIEF COMPLIANCE OFFICER | A | Control |
| SMITH, CHERYL, IRENE | I | MANAGING PARTNER, CHIEF COMPLIANCE OFFICER | A | Control |
| SMITH, CHERYL, IRENE | I | MANAGING PARTNER | A | Control |
| SMITH, CHERYL, IRENE | I | MANAGING PARTNER | A | Control |
| SMITH, CHERYL, IRENE | I | MANAGING PARTNER | A | Control |
| SMITH, CHERYL, IRENE | I | MANAGING PARTNER | A | Control |
| SMITH, CHERYL, IRENE | I | MANAGING PARTNER | A | Control |
| SMITH, CHERYL, IRENE | I | MANAGING PARTNER | A | Control |
| SMITH, CHERYL, IRENE | I | MANAGING PARTNER | A | Control |
| SMITH, CHERYL, IRENE | I | MANAGING PARTNER | A | Control |
| SMITH, CHERYL, IRENE | I | MANAGING PARTNER | A | Control |
| SMITH, CHERYL, IRENE | I | MANAGING PARTNER | A | Control |
| SMITH, CHERYL, IRENE | I | MANAGING PARTNER | A | Control |
| SMITH, CHERYL, IRENE | I | MANAGING PARTNER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| PERPETUAL ACQUISITION COMPANY LIMITED | FE | PERPETUAL US HOLDING COMPANY INC | E | Control |
| PERPETUAL ACQUISITION COMPANY LIMITED | FE | PERPETUAL US HOLDING COMPANY INC | E | Control |
| PERPETUAL ACQUISITION COMPANY LIMITED | FE | PERPETUAL US HOLDING COMPANY INC | E | Control |
| PERPETUAL ACQUISITION COMPANY LIMITED | FE | PERPETUAL US HOLDING COMPANY INC | E | Control |
| PERPETUAL ACQUISITION COMPANY LIMITED | FE | PERPETUAL US HOLDING COMPANY INC | E | Control |
| PERPETUAL ACQUISITION COMPANY LIMITED | FE | PERPETUAL US HOLDING COMPANY INC | E | Control |
| PERPETUAL ACQUISITION COMPANY LIMITED | FE | PERPETUAL US HOLDING COMPANY INC | E | Control |
| PERPETUAL ACQUISITION COMPANY LIMITED | FE | PERPETUAL US HOLDING COMPANY INC | E | Control |
| PERPETUAL ACQUISITION COMPANY LIMITED | FE | PERPETUAL US HOLDING COMPANY INC | E | Control |
| PERPETUAL LIMITED | FE | PERPETUAL ACQUISITION COMPANY LIMITED | E | Control |
| PERPETUAL LIMITED | FE | PERPETUAL ACQUISITION COMPANY LIMITED | E | Control |
| PERPETUAL LIMITED | FE | PERPETUAL ACQUISITION COMPANY LIMITED | E | Control |
| PERPETUAL LIMITED | FE | PERPETUAL ACQUISITION COMPANY LIMITED | E | Control |
| PERPETUAL LIMITED | FE | PERPETUAL ACQUISITION COMPANY LIMITED | E | Control |
| PERPETUAL LIMITED | FE | PERPETUAL ACQUISITION COMPANY LIMITED | E | Control |
| PERPETUAL LIMITED | FE | PERPETUAL ACQUISITION COMPANY LIMITED | E | Control |
| PERPETUAL LIMITED | FE | PERPETUAL ACQUISITION COMPANY LIMITED | E | Control |
| PERPETUAL LIMITED | FE | PERPETUAL ACQUISITION COMPANY LIMITED | E | Control |
| WAINWRIGHT BANK & TRUST COMPANY | DE | PROGRESSIVE SECURITIES CORPORATION | E | Control |
| WAINWRIGHT BANK & TRUST COMPANY | DE | PROGRESSIVE SECURITIES CORPORATION | E | Control |
| WAINWRIGHT BANK & TRUST COMPANY | DE | PROGRESSIVE SECURITIES CORPORATION | E | Control |
| WAINWRIGHT BANK & TRUST COMPANY | DE | PROGRESSIVE SECURITIES CORPORATION | E | Control |
| WAINWRIGHT BANK & TRUST COMPANY | DE | PROGRESSIVE SECURITIES CORPORATION | E | Control |
| WAINWRIGHT BANK & TRUST COMPANY | DE | PROGRESSIVE SECURITIES CORPORATION | E | Control |
| WAINWRIGHT BANK & TRUST COMPANY | DE | PROGRESSIVE SECURITIES CORPORATION | E | Control |
| WAINWRIGHT BANK & TRUST COMPANY | DE | PROGRESSIVE SECURITIES CORPORATION | E | Control |
| WAINWRIGHT BANK & TRUST COMPANY | DE | PROGRESSIVE SECURITIES CORPORATION | E | Control |
| WAINWRIGHT BANK & TRUST COMPANY | DE | PROGRESSIVE SECURITIES CORPORATION | E | Control |
| WAINWRIGHT BANK & TRUST COMPANY | DE | PROGRESSIVE SECURITIES CORPORATION | E | Control |
| WAINWRIGHT BANK & TRUST COMPANY | DE | PROGRESSIVE SECURITIES CORPORATION | E | Control |
| WAINWRIGHT BANK & TRUST COMPANY | DE | PROGRESSIVE SECURITIES CORPORATION | E | Control |
| WAINWRIGHT BANK & TRUST COMPANY | DE | PROGRESSIVE SECURITIES CORPORATION | E | Control |
| WAINWRIGHT BANK & TRUST COMPANY | DE | PROGRESSIVE SECURITIES CORPORATION | E | Control |
| WAINWRIGHT BANK & TRUST COMPANY | DE | PROGRESSIVE SECURITIES CORPORATION | E | Control |
| WAINWRIGHT BANK & TRUST COMPANY | DE | PROGRESSIVE SECURITIES CORPORATION | E | Control |
Registrations
Federal
IA
May 12, 2025 REGISTERED
Notice Filings (41)
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