HEARTLAND ADVISORS, INC.
CRD #29433 SEC #801-19074 MILWAUKEE, WI 414-347-7777
SEC Registered Disclosures
Total AUM
$1.9B
Discretionary
$1.9B
Employees
26
Clients
--
Accounts
92
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- Wisconsin
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Aug 14, 2025
- Branch Offices
- 0
- LEI
- 549300TUL0268YE0PK56
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BASZLER, THEODORE, DEITCHE | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| BASZLER, THEODORE, DEITCHE | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| BASZLER, THEODORE, DEITCHE | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| BASZLER, THEODORE, DEITCHE | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| BASZLER, THEODORE, DEITCHE | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| BASZLER, THEODORE, DEITCHE | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| BASZLER, THEODORE, DEITCHE | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| BASZLER, THEODORE, DEITCHE | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| BASZLER, THEODORE, DEITCHE | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| BASZLER, THEODORE, DEITCHE | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| BASZLER, THEODORE, DEITCHE | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| BAUER, JILAINE HUMMEL | I | SENIOR VICE PRESIDENT, SECRETARY & GENERAL COUNSEL | NA | |
| BAUER, JILAINE HUMMEL | I | SENIOR VICE PRESIDENT, SECRETARY & GENERAL COUNSEL | NA | |
| BAUER, JILAINE HUMMEL | I | SENIOR VICE PRESIDENT, SECRETARY & GENERAL COUNSEL | NA | |
| BEST, NICOLE JEANNINE | I | SENIOR VICE PRESIDENT & TREASURER | NA | |
| BEST, NICOLE JEANNINE | I | SENIOR VICE PRESIDENT & TREASURER | NA | |
| BEST, NICOLE JEANNINE | I | SENIOR VICE PRESIDENT & TREASURER | NA | |
| BEST, NICOLE JEANNINE | I | SENIOR VICE PRESIDENT & TREASURER | NA | |
| BEST, NICOLE JEANNINE | I | SENIOR VICE PRESIDENT & TREASURER | NA | |
| BEST, NICOLE JEANNINE | I | SENIOR VICE PRESIDENT & TREASURER | NA | |
| BEST, NICOLE JEANNINE | I | SENIOR VICE PRESIDENT & TREASURER | NA | |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & TREASURER | NA | |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & TREASURER | NA | |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BEST, NICOLE, JEANNINE | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| BESTE, PAUL TIMOTHY | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BESTE, PAUL TIMOTHY | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BESTE, PAUL TIMOTHY | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BESTE, PAUL TIMOTHY | I | CHIEF OPERATING OFFICER | NA | Control |
| BESTE, PAUL, TIMOTHY | I | CHIEF OPERATING OFFICER | NA | Control |
| BESTE, PAUL, TIMOTHY | I | CHIEF OPERATING OFFICER | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, CHIEF OPERATING OFFICER & SECRETARY | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BESTE, PAUL, TIMOTHY | I | CHIEF OPERATING OFFICER | NA | Control |
| BESTE, PAUL, TIMOTHY | I | CHIEF OPERATING OFFICER | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, CHIEF OPERATING OFFICER & SECRETARY | NA | Control |
| BESTE, PAUL, TIMOTHY | I | CHIEF OPERATING OFFICER | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, CHIEF OPERATING OFFICER & SECRETARY | NA | Control |
| BESTE, PAUL, TIMOTHY | I | CHIEF OPERATING OFFICER | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, CHIEF OPERATING OFFICER & SECRETARY | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, CHIEF OPERATING OFFICER & SECRETARY | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, CHIEF OPERATING OFFICER & SECRETARY | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, CHIEF OPERATING OFFICER & SECRETARY | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, CHIEF OPERATING OFFICER & SECRETARY | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, CHIEF OPERATING OFFICER & SECRETARY | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, CHIEF OPERATING OFFICER & SECRETARY | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, SENIOR VICE PRESIDENT, CHIEF RISK OFFICER & SECRETARY | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, CHIEF OPERATING OFFICER & SECRETARY | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, CHIEF OPERATING OFFICER & SECRETARY | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, CHIEF OPERATING OFFICER & SECRETARY | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, CHIEF OPERATING OFFICER & SECRETARY | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, SENIOR VICE PRESIDENT, CHIEF RISK OFFICER & SECRETARY | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, SENIOR VICE PRESIDENT, CHIEF RISK OFFICER & SECRETARY | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, SENIOR VICE PRESIDENT, CHIEF RISK OFFICER & SECRETARY | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, SENIOR VICE PRESIDENT, CHIEF RISK OFFICER & SECRETARY | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, SENIOR VICE PRESIDENT, CHIEF RISK OFFICER & SECRETARY | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, SENIOR VICE PRESIDENT, CHIEF RISK OFFICER & SECRETARY | NA | Control |
| BESTE, PAUL, TIMOTHY | I | DIRECTOR, SENIOR VICE PRESIDENT, CHIEF RISK OFFICER & SECRETARY | NA | Control |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT EQUITY TRADING | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT EQUITY TRADING | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT EQUITY TRADING | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT EQUITY TRADING | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT EQUITY TRADING | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT EQUITY TRADING | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT EQUITY TRADING | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT EQUITY TRADING | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT EQUITY TRADING | NA | |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT EQUITY TRADING | NA | Control |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT EQUITY TRADING | NA | Control |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT EQUITY TRADING | NA | Control |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT EQUITY TRADING | NA | Control |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT EQUITY TRADING | NA | Control |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT EQUITY TRADING | NA | Control |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT EQUITY TRADING | NA | Control |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT EQUITY TRADING | NA | Control |
| CLARK, KEVIN, DOUGLAS | I | SENIOR VICE PRESIDENT EQUITY TRADING | NA | Control |
| DENISON, HUGH, FRANK | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| DENISON, HUGH, FRANK | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| DENISON, HUGH, FRANK | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| DENISON, HUGH, FRANK | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| DENISON, HUGH, FRANK | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| DENISON, HUGH, FRANK | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| DENISON, HUGH, FRANK | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| EVANS, BRAD, ALAN | I | VICE PRESIDENT - PORTFOLIO MANAGER | NA | Control |
| EVANS, BRAD, ALAN | I | DIRECTOR, VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRAD, ALAN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRAD, ALAN | I | DIRECTOR, VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRAD, ALAN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRAD, ALAN | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRAD, ALAN | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRAD, ALAN | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRAD, ALAN | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRAD, ALAN | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRAD, ALAN | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRAD, ALAN | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRAD, ALAN | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRAD, ALAN | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRAD, ALAN | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| EVANS, BRADFORD, ALLEN | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FLEMING, ANDREW, JOHN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FLEMING, ANDREW, JOHN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FLEMING, ANDREW, JOHN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FLEMING, ANDREW, JOHN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FLEMING, ANDREW, JOHN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FLEMING, ANDREW, JOHN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FLEMING, ANDREW, JOHN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FLEMING, ANDREW, JOHN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FLEMING, ANDREW, JOHN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FLEMING, ANDREW, JOHN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FLEMING, ANDREW, JOHN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FLEMING, ANDREW, JOHN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FLEMING, ANDREW, JOHN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FLEMING, ANDREW, JOHN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FLEMING, ANDREW, JOHN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FLEMING, ANDREW, JOHN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FLEMING, ANDREW, JOHN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FLEMING, ANDREW, JOHN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FLEMING, ANDREW, JOHN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| FONDRIE, DAVID, CHARLES | I | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| JOHNSON, CHRISTINE, ANNE | I | VICE PRESIDENT & TREASURER | NA | |
| JOLIN, MICHAEL, FRANCIS | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | Control |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | Control |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | Control |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | Control |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | Control |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | Control |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | Control |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | Control |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | Control |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | Control |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | Control |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | Control |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | Control |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | Control |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | Control |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | Control |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | Control |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | Control |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | Control |
| KOLIMAGA, JEANNE, MARIE | I | VICE PRESIDENT OF HUMAN RESOURCES | NA | Control |
| KOPS, MICHAEL, DAVID | I | VICE PRESIDENT OF SALES | NA | Control |
| KOPS, MICHAEL, DAVID | I | VICE PRESIDENT OF SALES | NA | Control |
| KOPS, MICHAEL, DAVID | I | VICE PRESIDENT OF SALES | NA | Control |
| KOPS, MICHAEL, DAVID | I | VICE PRESIDENT OF SALES | NA | Control |
| KOPS, MICHAEL, DAVID | I | VICE PRESIDENT OF SALES | NA | Control |
| KOPS, MICHAEL, DAVID | I | VICE PRESIDENT OF SALES | NA | Control |
| KOPS, MICHAEL, DAVID | I | VICE PRESIDENT OF SALES | NA | Control |
| KOPS, MICHAEL, DAVID | I | VICE PRESIDENT OF SALES | NA | Control |
| KOPS, MICHAEL, DAVID | I | VICE PRESIDENT OF SALES | NA | Control |
| KOPS, MICHAEL, DAVID | I | VICE PRESIDENT OF SALES | NA | Control |
| KOPS, MICHAEL, DAVID | I | VICE PRESIDENT OF SALES | NA | Control |
| KOPS, MICHAEL, DAVID | I | VICE PRESIDENT OF SALES | NA | Control |
| KOPS, MICHAEL, DAVID | I | VICE PRESIDENT OF SALES | NA | Control |
| KOPS, MICHAEL, DAVID | I | VICE PRESIDENT OF SALES | NA | Control |
| KOPS, MICHAEL, DAVID | I | VICE PRESIDENT OF SALES | NA | Control |
| KOPS, MICHAEL, DAVID | I | VICE PRESIDENT OF SALES | NA | Control |
| KOPS, MICHAEL, DAVID | I | VICE PRESIDENT OF SALES | NA | Control |
| KOPS, MICHAEL, DAVID | I | VICE PRESIDENT OF SALES | NA | Control |
| KOPS, MICHAEL, DAVID | I | VICE PRESIDENT OF SALES | NA | Control |
| MCGLONE, TROY, WILLIAM | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCGLONE, TROY, WILLIAM | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCGLONE, TROY, WILLIAM | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCGLONE, TROY, WILLIAM | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCGLONE, TROY, WILLIAM | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCGLONE, TROY, WILLIAM | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCGLONE, TROY, WILLIAM | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCGLONE, TROY, WILLIAM | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCGLONE, TROY, WILLIAM | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCGLONE, TROY, WILLIAM | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MCWEY, COLIN, PATRICK | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| MILLER, ERIC JAMES | I | SENIOR VICE PRESIDENT & DIRECTOR | NA | Control |
| MILLER, ERIC JAMES | I | SENIOR VICE PRESIDENT & DIRECTOR | NA | Control |
| MILLER, ERIC JAMES | I | SENIOR VICE PRESIDENT & DIRECTOR | NA | Control |
| MILLER, ERIC JAMES | I | SENIOR VICE PRESIDENT & DIRECTOR | NA | Control |
| MILLER, ERIC JAMES | I | SENIOR VICE PRESIDENT & DIRECTOR | NA | Control |
| MILLER, ERIC JAMES | I | SENIOR VICE PRESIDENT & DIRECTOR | NA | Control |
| MILLER, ERIC JAMES | I | SENIOR VICE PRESIDENT & DIRECTOR | NA | Control |
| MILLER, ERIC JAMES | I | SENIOR VICE PRESIDENT & DIRECTOR | NA | Control |
| MILLER, ERIC JAMES | I | SENIOR VICE PRESIDENT & DIRECTOR | NA | Control |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | |
| MINER, MATTHEW, JASON | I | DIRECTOR, VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | Control |
| MINER, MATTHEW, JASON | I | DIRECTOR, VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | Control |
| MINER, MATTHEW, JASON | I | DIRECTOR, VICE PRESIDENT & DIRECTOR OF EQUITY TRADING | NA | Control |
| MINER, MATTHEW, JASON | I | DIRECTOR, VICE PRESIDENT, CHIEF RISK OFFICER & DIRECTOR OF TRADING | NA | Control |
| MINER, MATTHEW, JASON | I | DIRECTOR, VICE PRESIDENT, CHIEF RISK OFFICER & DIRECTOR OF TRADING | NA | Control |
| MINER, MATTHEW, JASON | I | DIRECTOR, VICE PRESIDENT, CHIEF RISK OFFICER & DIRECTOR OF TRADING | NA | Control |
| MINER, MATTHEW, JASON | I | DIRECTOR, VICE PRESIDENT, CHIEF RISK OFFICER & DIRECTOR OF TRADING | NA | Control |
| MINER, MATTHEW, JASON | I | DIRECTOR, VICE PRESIDENT, CHIEF RISK OFFICER & DIRECTOR OF TRADING | NA | Control |
| MINER, MATTHEW, JASON | I | DIRECTOR, VICE PRESIDENT, CHIEF RISK OFFICER & DIRECTOR OF TRADING | NA | Control |
| MINER, MATTHEW, JASON | I | DIRECTOR, VICE PRESIDENT, CHIEF RISK OFFICER & DIRECTOR OF TRADING | NA | Control |
| MINER, MATTHEW, JASON | I | DIRECTOR, VICE PRESIDENT, CHIEF RISK OFFICER & DIRECTOR OF TRADING | NA | Control |
| MINER, MATTHEW, JASON | I | DIRECTOR, VICE PRESIDENT, CHIEF RISK OFFICER & DIRECTOR OF TRADING | NA | Control |
| NASGOVITZ, WILLIAM JOHN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER | NA | Control |
| NASGOVITZ, WILLIAM JOHN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER | NA | Control |
| NASGOVITZ, WILLIAM JOHN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR | NA | Control |
| NASGOVITZ, WILLIAM JOHN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER | NA | Control |
| NASGOVITZ, WILLIAM JOHN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER | NA | Control |
| NASGOVITZ, WILLIAM JOHN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER | NA | Control |
| NASGOVITZ, WILLIAM JOHN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR | NA | Control |
| NASGOVITZ, WILLIAM JOHN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER | NA | Control |
| NASGOVITZ, WILLIAM JOHN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR | NA | Control |
| NASGOVITZ, WILLIAM JOHN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR & CHAIRMAN | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR & CHAIRMAN | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR & CHAIRMAN | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR & CHAIRMAN | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR & CHAIRMAN | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR & CHAIRMAN | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR & CHAIRMAN | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR & CHAIRMAN | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR & CHAIRMAN | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR & CHAIRMAN | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR & CHAIRMAN | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR & CHAIRMAN | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR & CHAIRMAN | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR & CHAIRMAN | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR & CHAIRMAN | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR & CHAIRMAN | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR & CHAIRMAN | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR & CHAIRMAN | NA | Control |
| NASGOVITZ, WILLIAM, JOHN | I | DIRECTOR & CHAIRMAN | NA | Control |
| NASGOVITZ, WILLIAM, R. | I | DIRECTOR, VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, R. | I | DIRECTOR, VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER & ASSISTANT SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, GENERAL COUNSEL & ASSISTANT SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER & ASSISTANT SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, GENERAL COUNSEL & ASSISTANT SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER & ASSISTANT SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & ASSISTANT SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & ASSISTANT SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & ASSISTANT SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY | NA | Control |
| PAUL, VINITA, KAUR | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY | NA | Control |
| PECK, ADAM, JONATHAN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| PECK, ADAM, JONATHAN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| PECK, ADAM, JONATHAN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| PECK, ADAM, JONATHAN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| PECK, ADAM, JONATHAN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| PECK, ADAM, JONATHAN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| PECK, ADAM, JONATHAN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| PECK, ADAM, JONATHAN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| PECK, ADAM, JONATHAN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| PECK, ADAM, JONATHAN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| PECK, ADAM, JONATHAN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| PECK, ADAM, JONATHAN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| PECK, ADAM, JONATHAN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| PECK, ADAM, JONATHAN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| PECK, ADAM, JONATHAN | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | |
| RIBBENS, DAVID | I | SENIOR VICE PRESIDENT & HEAD OF DISTRIBUTION | NA | Control |
| RIBBENS, DAVID | I | SENIOR VICE PRESIDENT OF SALES AND MARKETING | NA | |
| RIBBENS, DAVID | I | SENIOR VICE PRESIDENT & HEAD OF DISTRIBUTION | NA | Control |
| RIBBENS, DAVID | I | SENIOR VICE PRESIDENT AND HEAD OF DISTRIBUTION | NA | |
| RIBBENS, DAVID | I | EXECUTIVE VICE PRESIDENT & HEAD OF DISTRIBUTION | NA | Control |
| RIBBENS, DAVID | I | EXECUTIVE VICE PRESIDENT & HEAD OF DISTRIBUTION | NA | Control |
| RIBBENS, DAVID | I | EXECUTIVE VICE PRESIDENT & HEAD OF DISTRIBUTION | NA | Control |
| RIBBENS, DAVID | I | EXECUTIVE VICE PRESIDENT & HEAD OF DISTRIBUTION | NA | Control |
| RIBBENS, DAVID | I | EXECUTIVE VICE PRESIDENT & HEAD OF DISTRIBUTION | NA | Control |
| RIBBENS, DAVID | I | SENIOR VICE PRESIDENT & HEAD OF DISTRIBUTION | NA | Control |
| RIBBENS, DAVID | I | EXECUTIVE VICE PRESIDENT & HEAD OF DISTRIBUTION | NA | Control |
| RIBBENS, DAVID | I | DIRECTOR & PRESIDENT | NA | Control |
| RIBBENS, DAVID | I | EXECUTIVE VICE PRESIDENT & HEAD OF DISTRIBUTION | NA | Control |
| RIBBENS, DAVID | I | DIRECTOR, EXECUTIVE VICE PRESIDENT & HEAD OF DISTRIBUTION | NA | Control |
| RIBBENS, DAVID | I | SENIOR VICE PRESIDENT & HEAD OF DISTRIBUTION | NA | Control |
| RIBBENS, DAVID | I | SENIOR VICE PRESIDENT & HEAD OF DISTRIBUTION | NA | Control |
| RIBBENS, DAVID | I | DIRECTOR & PRESIDENT | NA | Control |
| RIGGS, MICHAEL, TIMOTHY | I | SENIOR VICE PRESIDENT & CHIEF TECHNOLOGY OFFICER | NA | Control |
| RIGGS, MICHAEL, TIMOTHY | I | SENIOR VICE PRESIDENT & CHIEF TECHNOLOGY OFFICER | NA | Control |
| RIGGS, MICHAEL, TIMOTHY | I | SENIOR VICE PRESIDENT & CHIEF TECHNOLOGY OFFICER | NA | Control |
| RIGGS, MICHAEL, TIMOTHY | I | SENIOR VICE PRESIDENT & CHIEF TECHNOLOGY OFFICER | NA | Control |
| RIGGS, MICHAEL, TIMOTHY | I | SENIOR VICE PRESIDENT & CHIEF TECHNOLOGY OFFICER | NA | Control |
| RIGGS, MICHAEL, TIMOTHY | I | SENIOR VICE PRESIDENT & CHIEF TECHNOLOGY OFFICER | NA | Control |
| RIGGS, MICHAEL, TIMOTHY | I | SENIOR VICE PRESIDENT & CHIEF TECHNOLOGY OFFICER | NA | Control |
| RIGGS, MICHAEL, TIMOTHY | I | SENIOR VICE PRESIDENT & CHIEF TECHNOLOGY OFFICER | NA | Control |
| RIGGS, MICHAEL, TIMOTHY | I | SENIOR VICE PRESIDENT & CHIEF TECHNOLOGY OFFICER | NA | Control |
| RIGGS, MICHAEL, TIMOTHY | I | SENIOR VICE PRESIDENT & CHIEF TECHNOLOGY OFFICER | NA | Control |
| RIGGS, MICHAEL, TIMOTHY | I | SENIOR VICE PRESIDENT & CHIEF TECHNOLOGY OFFICER | NA | Control |
| ROBERTS, CHRISTINE, A | I | VICE PRESIDENT - TREASURER | NA | |
| SCALF, ELIZABETH, BROOKE | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & SENIOR LEGAL COUNSEL | NA | Control |
| SCALF, ELIZABETH, BROOKE | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & SENIOR LEGAL COUNSEL | NA | Control |
| SHARPE, ROBERT, CRAIG | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| SHARPE, ROBERT, CRAIG | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| SHARPE, ROBERT, CRAIG | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| SHARPE, ROBERT, CRAIG | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| SHARPE, ROBERT, CRAIG | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| SHARPE, ROBERT, CRAIG | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| SHARPE, ROBERT, CRAIG | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| SHARPE, ROBERT, CRAIG | I | VICE PRESIDENT & PORTFOLIO MANAGER | NA | Control |
| STEPHENSON, CATHERINE, MITCHELL | I | VICE PRESIDENT & DIRECTOR OF MARKETING | NA | Control |
| STEPHENSON, CATHERINE, MITCHELL | I | VICE PRESIDENT & DIRECTOR OF MARKETING | NA | Control |
| STEPHENSON, CATHERINE, MITCHELL | I | VICE PRESIDENT & DIRECTOR OF MARKETING | NA | Control |
| STEPHENSON, CATHERINE, MITCHELL | I | VICE PRESIDENT & DIRECTOR OF MARKETING | NA | Control |
| STEPHENSON, CATHERINE, MITCHELL | I | VICE PRESIDENT & DIRECTOR OF MARKETING | NA | Control |
| STEPHENSON, CATHERINE, MITCHELL | I | VICE PRESIDENT & DIRECTOR OF MARKETING | NA | Control |
| STEPHENSON, CATHERINE, MITCHELL | I | VICE PRESIDENT & DIRECTOR OF MARKETING | NA | Control |
| STEPHENSON, CATHERINE, MITCHELL | I | VICE PRESIDENT & DIRECTOR OF MARKETING | NA | Control |
| STEPHENSON, CATHERINE, MITCHELL | I | VICE PRESIDENT & DIRECTOR OF MARKETING | NA | Control |
| STEPHENSON, CATHERINE, MITCHELL | I | VICE PRESIDENT & DIRECTOR OF MARKETING | NA | Control |
| STEPHENSON, CATHERINE, MITCHELL | I | VICE PRESIDENT & DIRECTOR OF MARKETING | NA | Control |
| STEPHENSON, CATHERINE, MITCHELL | I | VICE PRESIDENT & DIRECTOR OF MARKETING | NA | Control |
| STEPHENSON, CATHERINE, MITCHELL | I | VICE PRESIDENT & DIRECTOR OF MARKETING | NA | Control |
| STEPHENSON, CATHERINE, MITCHELL | I | VICE PRESIDENT & DIRECTOR OF MARKETING | NA | Control |
| STEPHENSON, CATHERINE, MITCHELL | I | VICE PRESIDENT & DIRECTOR OF MARKETING | NA | Control |
| WICK, CONSTANCE, RAE | I | DIRECTOR OF COMPLIANCE | NA | |
| WICK, CONSTANCE, RAE | I | DIRECTOR OF COMPLIANCE | NA | |
| WICK, CONSTANCE, RAE | I | DIRECTOR OF COMPLIANCE | NA | |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| HEARTLAND HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| NASGOVITZ, WILLIAM JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, JOHN | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | HEARTLAND HOLDINGS, INC. | E | Control |
| NASGOVITZ, WILLIAM, RICHARD | I | HEARTLAND HOLDINGS, INC. | E | Control |
| MARIAN R. NASGOVITZ GRANTOR RETAINED ANNUITY TRUST | DE | HEARTLAND HOLDINGS, INC. | C | Control |
| MARIAN R. NASGOVITZ GRANTOR RETAINED ANNUITY TRUST | DE | HEARTLAND HOLDINGS, INC. | C | Control |
| MARIAN R. NASGOVITZ GRANTOR RETAINED ANNUITY TRUST | DE | HEARTLAND HOLDINGS, INC. | C | Control |
| MARIAN R. NASGOVITZ GRANTOR RETAINED ANNUITY TRUST | DE | HEARTLAND HOLDINGS, INC. | C | Control |
| WILLIAM J. NASGOVITZ GRANTOR RETAINED ANNUITY TRUST | DE | HEARTLAND HOLDINGS, INC. | C | Control |
| WILLIAM J. NASGOVITZ GRANTOR RETAINED ANNUITY TRUST | DE | HEARTLAND HOLDINGS, INC. | C | Control |
| WILLIAM J. NASGOVITZ GRANTOR RETAINED ANNUITY TRUST | DE | HEARTLAND HOLDINGS, INC. | C | Control |
| WILLIAM J. NASGOVITZ GRANTOR RETAINED ANNUITY TRUST | DE | HEARTLAND HOLDINGS, INC. | C | Control |
| WILLIAM J. NASGOVITZ GRANTOR RETAINED ANNUITY TRUST | DE | HEARTLAND HOLDINGS, INC. | C | Control |
Registrations
Federal
IA
Aug 14, 2025 REGISTERED
Notice Filings (24)
AK CA FL GA IL IN LA MA MD MI MN MO NE NJ NV NY OH OR PA TN TX VA VT WI
Address
790 N WATER STREET SUITE 1200MILWAUKEE, WI 53202
United States
Phone: 414-347-7777