NOMURA SECURITIES INTERNATIONAL, INC.

CRD #4297 SEC #801-72991 NEW YORK, NY 212-667-9000

SEC Registered Broker-Dealer Disclosures

Total AUM

Discretionary

Employees

Clients

Accounts

This firm has regulatory disclosures on file. View disclosures

Firm Details

Organization Type: Corporation
State of Formation: New York
Fiscal Year End: MARCH
Registration Date: --
Latest Filing: Jul 14, 2025
Branch Offices: 0
LEI: OXTKY6Q8X53C9ILVV871

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

Name	Type	Title / Status	Ownership	Control
ADDINGTON, ERIK ROBERT	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
ADDINGTON, ERIK ROBERT	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
ADDINGTON, ERIK ROBERT	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
AINSBERG, ARTHUR SANFORD	I	MEMBER BOARD OF DIRECTORS	NA	Control
AINSBERG, ARTHUR SANFORD	I	MEMBER BOARD OF DIRECTORS	NA	Control
AINSBERG, ARTHUR SANFORD	I	MEMBER BOARD OF DIRECTORS	NA	Control
AINSBERG, ARTHUR SANFORD	I	MEMBER BOARD OF DIRECTORS	NA	Control
AINSBERG, ARTHUR SANFORD	I	MEMBER BOARD OF DIRECTORS	NA	Control
AINSBERG, ARTHUR SANFORD	I	MEMBER BOARD OF DIRECTORS	NA	Control
AINSBERG, ARTHUR SANFORD	I	MEMBER BOARD OF DIRECTORS	NA	Control
AINSBERG, ARTHUR SANFORD	I	MEMBER BOARD OF DIRECTORS	NA	Control
AINSBERG, ARTHUR SANFORD	I	MEMBER BOARD OF DIRECTORS	NA	Control
AINSBERG, ARTHUR SANFORD	I	MEMBER BOARD OF DIRECTORS	NA	Control
AINSBERG, ARTHUR SANFORD	I	MEMBER BOARD OF DIRECTORS	NA	Control
AINSBERG, ARTHUR SANFORD	I	MEMBER BOARD OF DIRECTORS	NA	Control
AINSBERG, ARTHUR SANFORD	I	MEMBER BOARD OF DIRECTORS	NA	Control
AINSBERG, ARTHUR SANFORD	I	MEMBER BOARD OF DIRECTORS	NA	Control
AINSBERG, ARTHUR SANFORD	I	MEMBER BOARD OF DIRECTORS	NA	Control
AINSBERG, ARTHUR SANFORD	I	MEMBER BOARD OF DIRECTORS	NA	Control
AINSBERG, ARTHUR SANFORD	I	MEMBER BOARD OF DIRECTORS	NA	Control
AINSBERG, ARTHUR SANFORD	I	MEMBER BOARD OF DIRECTORS	NA	Control
AINSBERG, ARTHUR SANFORD	I	MEMBER BOARD OF DIRECTORS	NA	Control
AINSBERG, ARTHUR SANFORD	I	MEMBER BOARD OF DIRECTORS	NA	Control
AKATSUKA, YO	I	CHAIRMAN	NA	Control
AKATSUKA, YO	I	CHAIRMAN	NA	Control
AKATSUKA, YO	I	CHAIRMAN	NA	Control
AKATSUKA, YO	I	CHIEF EXECUTIVE OFFICER, PRESIDENT, CHAIRMAN & SENIOR MANAGING DIRECTOR	NA	Control
AKATSUKA, YO	I	CHIEF EXECUTIVE OFFICER, PRESIDENT, CHAIRMAN & SENIOR MANAGING DIRECTOR	NA	Control
AKATSUKA, YO	I	CHIEF EXECUTIVE OFFICER, PRESIDENT, CHAIRMAN & SENIOR MANAGING DIRECTOR	NA	Control
ALFONSO, RALPH	I	CHIEF OPERATIONS OFFICER	NA	Control
ALFONSO, RALPH	I	CHIEF OPERATIONS OFFICER	NA	Control
ALFONSO, RALPH	I	CHIEF OPERATIONS OFFICER	NA	Control
ALOUPIS, STEVEN NICHOLAS	I	CHIEF OPERATING OFFICER & MANAGING DIRECTOR	NA	Control
ALOUPIS, STEVEN NICHOLAS	I	CHIEF OPERATING OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR	NA	Control
ALOUPIS, STEVEN NICHOLAS	I	CHIEF OPERATING OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR	NA	Control
ALOUPIS, STEVEN NICHOLAS	I	CHIEF OPERATING OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR	NA	Control
ALOUPIS, STEVEN NICHOLAS	I	CHIEF OPERATING OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR	NA	Control
ALOUPIS, STEVEN NICHOLAS	I	CHIEF OPERATING OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR	NA	Control
ALOUPIS, STEVEN NICHOLAS	I	CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR	NA	Control
ALOUPIS, STEVEN NICHOLAS	I	CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR	NA	Control
ALOUPIS, STEVEN NICHOLAS	I	CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR	NA	Control
ALOUPIS, STEVEN NICHOLAS	I	CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR	NA	Control
ALOUPIS, STEVEN NICHOLAS	I	CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR	NA	Control
ALOUPIS, STEVEN NICHOLAS	I	CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR	NA	Control
ALOUPIS, STEVEN NICHOLAS	I	CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR	NA	Control
ALOUPIS, STEVEN NICHOLAS	I	CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR	NA	Control
ALOUPIS, STEVEN NICHOLAS	I	CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR	NA	Control
ALOUPIS, STEVEN NICHOLAS	I	CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR	NA	Control
ALOUPIS, STEVEN NICHOLAS	I	CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR	NA	Control
ALOUPIS, STEVEN NICHOLAS	I	CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR	NA	Control
ALOUPIS, STEVEN NICHOLAS	I	CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR	NA	Control
ALOUPIS, STEVEN NICHOLAS	I	CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR	NA	Control
BELLO, WILLIAM ROBERT	I	SROP	NA
BELLO, WILLIAM ROBERT	I	SROP	NA
CHIULLI, EUGENE JAMES	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
CHIULLI, EUGENE JAMES	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
CHIULLI, EUGENE JAMES	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
CHIULLI, EUGENE JAMES	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
CHIULLI, EUGENE JAMES	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
CHIULLI, EUGENE JAMES	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
CHIULLI, EUGENE JAMES	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
CHIULLI, EUGENE JAMES	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
CHIULLI, EUGENE JAMES	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
CHIULLI, EUGENE JAMES	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
CHIULLI, EUGENE JAMES	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
CHIULLI, EUGENE JAMES	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
CHIULLI, EUGENE JAMES	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
CHIULLI, EUGENE JAMES	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
CHIULLI, EUGENE JAMES	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
CHIULLI, EUGENE JAMES	I	CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
CHIULLI, EUGENE JAMES	I	CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
CHIULLI, EUGENE JAMES	I	CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
CHIULLI, EUGENE JAMES	I	CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
DEGAETANO, MICHAEL ANGELO	I	SROP	NA
DENAUT, JAMES ANTHONY	I	CHIEF EXECUTIVE OFFICER, PRESIDENT, BOARD OF DIRECTORS & SENIOR MANAGING DIRECTOR	NA	Control
DENAUT, JAMES ANTHONY	I	CHIEF EXECUTIVE OFFICER, PRESIDENT, BOARD OF DIRECTORS & SENIOR MANAGING DIRECTOR	NA	Control
DENAUT, JAMES ANTHONY	I	CHIEF EXECUTIVE OFFICER, PRESIDENT, BOARD OF DIRECTORS & SENIOR MANAGING DIRECTOR	NA	Control
DENAUT, JAMES ANTHONY	I	CHIEF EXECUTIVE OFFICER, PRESIDENT, BOARD OF DIRECTORS & SENIOR MANAGING DIRECTOR	NA	Control
DENAUT, JAMES ANTHONY	I	CHIEF EXECUTIVE OFFICER, PRESIDENT, BOARD OF DIRECTORS & SENIOR MANAGING DIRECTOR	NA	Control
DUMARK, GREGORY JAMES	I	CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR	NA	Control
DUMARK, GREGORY JAMES	I	CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR	NA	Control
DUMARK, GREGORY JAMES	I	CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR	NA	Control
DUMARK, GREGORY JAMES	I	CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR	NA	Control
DUMARK, GREGORY JAMES	I	CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR	NA	Control
DUMARK, GREGORY JAMES	I	CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR	NA	Control
DUMARK, GREGORY JAMES	I	CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR	NA	Control
DUMARK, GREGORY JAMES	I	CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR	NA	Control
DUMARK, GREGORY JAMES	I	CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR	NA	Control
DUMARK, GREGORY JAMES	I	CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR	NA	Control
FARRELL, EDWARD JOSEPH	I	CHIEF FINANCIAL OFFICER	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF EXECUTIVE OFFICER	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF EXECUTIVE OFFICER AND CHIEF LEGAL OFFICER	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF EXECUTIVE OFFICER	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF EXECUTIVE OFFICER	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF EXECUTIVE OFFICER	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF EXECUTIVE OFFICER	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF LEGAL OFFICER AND CO-CEO	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF LEGAL OFFICER AND CO-CEO	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF EXECUTIVE OFFICER	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF EXECUTIVE OFFICER	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF EXECUTIVE OFFICER, PRESIDENT, SECRETARY & SENIOR MANAGING DIRECTOR	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF EXECUTIVE OFFICER, PRESIDENT, SECRETARY & SENIOR MANAGING DIRECTOR	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF EXECUTIVE OFFICER, PRESIDENT, SECRETARY & SENIOR MANAGING DIRECTOR	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF EXECUTIVE OFFICER	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF EXECUTIVE OFFICER AND CHIEF LEGAL OFFICER	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF LEGAL OFFICER AND CO-CEO	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF LEGAL OFFICER AND CO-CEO	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF LEGAL OFFICER AND CO-CEO	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF LEGAL OFFICER AND CO-CEO	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF EXECUTIVE OFFICER AND CHIEF LEGAL OFFICER	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF EXECUTIVE OFFICER, PRESIDENT, SECRETARY & SENIOR MANAGING DIRECTOR	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF EXECUTIVE OFFICER, PRESIDENT, SECRETARY & SENIOR MANAGING DIRECTOR	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF EXECUTIVE OFFICER, PRESIDENT, SECRETARY & SENIOR MANAGING DIRECTOR	NA	Control
FINDLAY, DAVID MAIR	I	EXECUTIVE CHAIRMAN,SECRETARY & SENIOR MANAGING DIRECTOR	NA	Control
FINDLAY, DAVID MAIR	I	CHIEF EXECUTIVE OFFICER, PRESIDENT, SECRETARY & SENIOR MANAGING DIRECTOR	NA	Control
FINDLAY, DAVID MAIR	I	EXECUTIVE CHAIRMAN,SECRETARY & SENIOR MANAGING DIRECTOR	NA	Control
FINDLAY, DAVID MAIR	I	EXECUTIVE CHAIRMAN,SECRETARY & SENIOR MANAGING DIRECTOR	NA	Control
FINDLAY, DAVID MAIR	I	EXECUTIVE CHAIRMAN,SECRETARY & SENIOR MANAGING DIRECTOR	NA	Control
FINDLAY, DAVID MAIR	I	CHAIRMAN	NA	Control
FINDLAY, DAVID MAIR	I	CHAIRMAN	NA	Control
GIANCARLO, JAMES CHRISTOPHER	I	BOARD OF DIRECTORS	NA	Control
GIANCARLO, JAMES CHRISTOPHER	I	BOARD OF DIRECTORS	NA	Control
GIANCARLO, JAMES CHRISTOPHER	I	BOARD OF DIRECTORS	NA	Control
GIANCARLO, JAMES CHRISTOPHER	I	BOARD OF DIRECTORS	NA	Control
GIANCARLO, JAMES CHRISTOPHER	I	BOARD OF DIRECTORS	NA	Control
GIANCARLO, JAMES CHRISTOPHER	I	BOARD OF DIRECTORS	NA	Control
GIANCARLO, JAMES CHRISTOPHER	I	BOARD OF DIRECTORS	NA	Control
GIANCARLO, JAMES CHRISTOPHER	I	BOARD OF DIRECTORS	NA	Control
GIANCARLO, JAMES CHRISTOPHER	I	BOARD OF DIRECTORS	NA	Control
GIANCARLO, JAMES CHRISTOPHER	I	BOARD OF DIRECTORS	NA	Control
GIANCARLO, JAMES CHRISTOPHER	I	BOARD OF DIRECTORS	NA	Control
HORNICK, PETER JEREMY	I	MANAGING DIRECTOR OF FI SALES	NA	Control
HORNICK, PETER JEREMY	I	MANAGING DIRECTOR OF FI SALES	NA	Control
HORNICK, PETER JEREMY	I	MANAGING DIRECTOR OF FI SALES	NA	Control
HUGHES, WILLIAM FRANCIS JR	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
HUGHES, WILLIAM FRANCIS JR	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
HUGHES, WILLIAM FRANCIS JR	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
HUGHES, WILLIAM FRANCIS JR	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
HUGHES, WILLIAM FRANCIS JR	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
HUGHES, WILLIAM FRANCIS JR	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
HUGHES, WILLIAM FRANCIS JR	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
HUGHES, WILLIAM FRANCIS JR	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
HUGHES, WILLIAM FRANCIS JR	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
HUGHES, WILLIAM FRANCIS JR	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
HUGHES, WILLIAM FRANCIS JR	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
HUGHES, WILLIAM FRANCIS JR	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
HUGHES, WILLIAM FRANCIS JR	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
HUGHES, WILLIAM FRANCIS JR	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
HUGHES, WILLIAM FRANCIS JR	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
HUGHES, WILLIAM FRANCIS JR	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
HUGHES, WILLIAM FRANCIS JR	I	CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
HUGHES, WILLIAM FRANCIS JR	I	CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
HUGHES, WILLIAM FRANCIS JR	I	CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
HUGHES, WILLIAM FRANCIS JR	I	CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
KAWAMURA, SATOSHI	I	BOARD OF DIRECTORS	NA	Control
KAWAMURA, SATOSHI	I	CEO, PRESIDENT, SENIOR MANAGING DIRECTOR & BOARD OF DIRECTORS	NA	Control
KAWAMURA, SATOSHI	I	CEO, PRESIDENT, SENIOR MANAGING DIRECTOR & BOARD OF DIRECTORS	NA	Control
KAWAMURA, SATOSHI	I	CEO, PRESIDENT, SENIOR MANAGING DIRECTOR & BOARD OF DIRECTORS	NA	Control
KAWAMURA, SATOSHI	I	CEO, PRESIDENT, SENIOR MANAGING DIRECTOR & BOARD OF DIRECTORS	NA	Control
KAWAMURA, SATOSHI	I	CEO, PRESIDENT, SENIOR MANAGING DIRECTOR & BOARD OF DIRECTORS	NA	Control
KAWAMURA, SATOSHI	I	CEO, PRESIDENT, SENIOR MANAGING DIRECTOR & BOARD OF DIRECTORS	NA	Control
KAWAMURA, SATOSHI	I	EXECUTIVE CHAIRMAN OF BOARD	NA	Control
KAWAMURA, SATOSHI	I	EXECUTIVE CHAIRMAN OF BOARD	NA	Control
KAWAMURA, SATOSHI	I	EXECUTIVE CHAIRMAN OF BOARD	NA	Control
KAWAMURA, SATOSHI	I	EXECUTIVE CHAIRMAN OF BOARD	NA	Control
KILCULLEN, STEPHEN JOHN	I	ROSFP	NA
KILCULLEN, STEPHEN JOHN	I	ROSFP	NA
KILCULLEN, STEPHEN JOHN	I	ROSFP	NA
KILCULLEN, STEPHEN JOHN	I	ROSFP	NA
KILCULLEN, STEPHEN JOHN	I	ROSFP	NA
KILCULLEN, STEPHEN JOHN	I	ROSFP	NA
KILCULLEN, STEPHEN JOHN	I	ROSFP	NA
KILCULLEN, STEPHEN JOHN	I	ROSFP	NA
KILCULLEN, STEPHEN JOHN	I	ROSFP	NA
KILCULLEN, STEPHEN JOHN	I	ROSFP	NA
KILCULLEN, STEPHEN JOHN	I	ROSFP	NA
KILCULLEN, STEPHEN JOHN	I	ROSFP	NA
KILCULLEN, STEPHEN JOHN	I	ROSFP	NA
KILCULLEN, STEPHEN JOHN	I	ROSFP	NA
KILCULLEN, STEPHEN JOHN	I	ROSFP	NA
KILCULLEN, STEPHEN JOHN	I	ROSFP	NA
KILCULLEN, STEPHEN JOHN	I	ROSFP	NA
LEIBOWITZ, DAVID ALAN	I	CCO	NA
LEIBOWITZ, DAVID ALAN	I	CCO	NA
LEIBOWITZ, DAVID ALAN	I	CCO	NA
LEIBOWITZ, DAVID ALAN	I	MEMBER BOARD OF DIRECTORS	NA	Control
LEIBOWITZ, DAVID ALAN	I	BOARD OF DIRECTORS	NA	Control
LEIBOWITZ, DAVID ALAN	I	BOARD OF DIRECTORS	NA	Control
LEIBOWITZ, DAVID ALAN	I	BOARD OF DIRECTORS	NA	Control
LEIBOWITZ, DAVID ALAN	I	MEMBER BOARD OF DIRECTORS	NA	Control
LEIBOWITZ, DAVID ALAN	I	BOARD OF DIRECTORS	NA	Control
LEIBOWITZ, DAVID ALAN	I	BOARD OF DIRECTORS	NA	Control
LEIBOWITZ, DAVID ALAN	I	BOARD OF DIRECTORS	NA	Control
LEIBOWITZ, DAVID ALAN	I	BOARD OF DIRECTORS	NA	Control
LEIBOWITZ, DAVID ALAN	I	BOARD OF DIRECTORS	NA	Control
LEIBOWITZ, DAVID ALAN	I	BOARD OF DIRECTORS	NA	Control
LEIBOWITZ, DAVID ALAN	I	BOARD OF DIRECTORS	NA	Control
LEIBOWITZ, DAVID ALAN	I	BOARD OF DIRECTORS	NA	Control
LEIBOWITZ, DAVID ALAN	I	BOARD OF DIRECTORS	NA	Control
LEIBOWITZ, DAVID ALAN	I	BOARD OF DIRECTORS	NA	Control
LEIBOWITZ, DAVID ALAN	I	BOARD OF DIRECTORS	NA	Control
LEIBOWITZ, DAVID ALAN	I	BOARD OF DIRECTORS	NA	Control
LEIBOWITZ, DAVID ALAN	I	BOARD OF DIRECTORS	NA	Control
MANDL, GEORGE ILBERT	I	CROP	NA
MANDL, GEORGE ILBERT	I	CROP	NA
MANDL, GEORGE ILBERT	I	CROP	NA
MATTONE, RALPH MICHAEL	I	CHIEF FINANCIAL OFFICER	NA	Control
MATTONE, RALPH MICHAEL	I	CHIEF FINANCIAL OFFICER	NA	Control
MATTONE, RALPH MICHAEL	I	CHIEF FINANCIAL OFFICER	NA	Control
MATTONE, RALPH MICHAEL	I	CHIEF FINANCIAL OFFICER	NA	Control
MATTONE, RALPH MICHAEL	I	CHIEF FINANCIAL OFFICER	NA	Control
MATTONE, RALPH MICHAEL	I	CHIEF FINANCIAL OFFICER	NA	Control
MATTONE, RALPH MICHAEL	I	CHIEF FINANCIAL OFFICER	NA	Control
MATTONE, RALPH MICHAEL	I	CHIEF FINANCIAL OFFICER	NA	Control
MATTONE, RALPH MICHAEL	I	CHIEF FINANCIAL OFFICER	NA	Control
MATTONE, RALPH MICHAEL	I	CHIEF FINANCIAL OFFICER	NA	Control
MATTONE, RALPH MICHAEL	I	CHIEF FINANCIAL OFFICER	NA	Control
MATTONE, RALPH MICHAEL	I	CHIEF FINANCIAL OFFICER	NA	Control
MATTONE, RALPH MICHAEL	I	CHIEF FINANCIAL OFFICER	NA	Control
MATTONE, RALPH MICHAEL	I	CHIEF FINANCIAL OFFICER	NA	Control
MATTONE, RALPH MICHAEL	I	CHIEF FINANCIAL OFFICER	NA	Control
MICHAELS, JEFFREY ALAN	I	CO-HEAD OF FIXED INCOME	NA	Control
MICHAELS, JEFFREY ALAN	I	CO-HEAD OF FIXED INCOME	NA	Control
MICHAELS, JEFFREY ALAN	I	CO-HEAD OF FIXED INCOME	NA	Control
MICHAELS, JEFFREY ALAN	I	CO-HEAD OF FIXED INCOME	NA	Control
MOSER, DAVID SCOTT	I	CHIEF FINANCIAL OFFICER	NA	Control
MOSER, DAVID SCOTT	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
MOSER, DAVID SCOTT	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
MOSER, DAVID SCOTT	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
MOSER, DAVID SCOTT	I	CHIEF FINANCIAL OFFICER	NA	Control
MOSER, DAVID SCOTT	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
MOSER, DAVID SCOTT	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
MOSER, DAVID SCOTT	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
MOSER, DAVID SCOTT	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
MOSER, DAVID SCOTT	I	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	NA	Control
OKELLY, CIARAN THOMAS	I	MANAGING DIRECTOR - HEAD OF EQUITIES	NA	Control
OKELLY, CIARAN THOMAS	I	MANAGING DIRECTOR - HEAD OF EQUITIES	NA	Control
OKELLY, CIARAN THOMAS	I	MANAGING DIRECTOR - HEAD OF EQUITIES	NA	Control
OKELLY, CIARAN THOMAS	I	MANAGING DIRECTOR - HEAD OF EQUITIES	NA	Control
OKELLY, CIARAN THOMAS	I	MANAGING DIRECTOR - HEAD OF EQUITIES	NA	Control
OKELLY, CIARAN THOMAS	I	MANAGING DIRECTOR - HEAD OF EQUITIES	NA	Control
OKELLY, CIARAN THOMAS	I	MANAGING DIRECTOR - HEAD OF EQUITIES	NA	Control
OKELLY, CIARAN THOMAS	I	MANAGING DIRECTOR - HEAD OF EQUITIES	NA	Control
OKELLY, CIARAN THOMAS	I	MANAGING DIRECTOR - HEAD OF EQUITIES	NA	Control
ORSER, HENSON JONES	I	HEAD OF FIXED INCOME SALES	NA	Control
ORSER, HENSON JONES	I	HEAD OF FIXED INCOME SALES	NA	Control
ORSER, HENSON JONES	I	HEAD OF FIXED INCOME SALES	NA	Control
ORSER, HENSON JONES	I	HEAD OF FIXED INCOME SALES	NA	Control
ORSER, HENSON JONES	I	HEAD OF FIXED INCOME SALES	NA	Control
ORSER, HENSON JONES	I	HEAD OF FIXED INCOME SALES	NA	Control
ORSER, HENSON JONES	I	HEAD OF FIXED INCOME SALES	NA	Control
ORSER, HENSON JONES	I	HEAD OF FIXED INCOME SALES	NA	Control
ORSER, HENSON JONES	I	HEAD OF FIXED INCOME SALES	NA	Control
ORSER, HENSON JONES	I	HEAD OF FIXED INCOME SALES	NA	Control
PATEL, SAMIR POPATLAL	I	CO-HEAD OF EQUITIES	NA	Control
PATEL, SAMIR POPATLAL	I	CO-HEAD OF EQUITIES	NA	Control
PATEL, SAMIR POPATLAL	I	CO-HEAD OF EQUITIES	NA	Control
PATEL, SAMIR POPATLAL	I	CO-HEAD OF EQUITIES	NA	Control
PATEL, SAMIR POPATLAL	I	CO-HEAD OF EQUITIES	NA	Control
PATEL, SAMIR POPATLAL	I	CO-HEAD OF EQUITIES	NA	Control
PATEL, SAMIR POPATLAL	I	CO-HEAD OF EQUITIES	NA	Control
PATEL, SAMIR POPATLAL	I	CO-HEAD OF EQUITIES	NA	Control
PRIMIANO, VINCENT ANTHONY	I	CO-CHIEF EXECUTIVE OFFICER & MANAGING DIRECTOR	NA	Control
PRIMIANO, VINCENT ANTHONY	I	CO-CHIEF EXECUTIVE OFFICER & MANAGING DIRECTOR	NA	Control
PRIMIANO, VINCENT ANTHONY	I	CO-CHIEF EXECUTIVE OFFICER & MANAGING DIRECTOR	NA	Control
PRIMIANO, VINCENT ANTHONY	I	CO-CHIEF EXECUTIVE OFFICER & MANAGING DIRECTOR	NA	Control
PRIMIANO, VINCENT ANTHONY	I	CO-CHIEF EXECUTIVE OFFICER & MANAGING DIRECTOR	NA	Control
PRIMIANO, VINCENT ANTHONY	I	CO-CHIEF EXECUTIVE OFFICER & MANAGING DIRECTOR	NA	Control
PRIMIANO, VINCENT ANTHONY	I	CHIEF EXECUTIVE OFFICER, PRESIDENT & SENIOR MANAGING DIRECTOR	NA	Control
PRIMIANO, VINCENT ANTHONY	I	CHIEF EXECUTIVE OFFICER, PRESIDENT & SENIOR MANAGING DIRECTOR	NA	Control
PRIMIANO, VINCENT ANTHONY	I	CHIEF EXECUTIVE OFFICER, PRESIDENT & SENIOR MANAGING DIRECTOR	NA	Control
PRIMIANO, VINCENT ANTHONY	I	CHIEF EXECUTIVE OFFICER, PRESIDENT & SENIOR MANAGING DIRECTOR	NA	Control
RIETBROCK, MICHAEL JOHN JR	I	CO-HEAD OF EQUITIES	NA	Control
RIETBROCK, MICHAEL JOHN JR	I	CO-HEAD OF EQUITIES	NA	Control
RIETBROCK, MICHAEL JOHN JR	I	CO-HEAD OF EQUITIES	NA	Control
RIETBROCK, MICHAEL JOHN JR	I	CO-HEAD OF EQUITIES	NA	Control
RIETBROCK, MICHAEL JOHN JR	I	CO-HEAD OF EQUITIES	NA	Control
RIETBROCK, MICHAEL JOHN JR	I	CO-HEAD OF EQUITIES	NA	Control
RIETBROCK, MICHAEL JOHN JR	I	CO-HEAD OF EQUITIES	NA	Control
RIETBROCK, MICHAEL JOHN JR	I	CO-HEAD OF EQUITIES	NA	Control
SCHMUCKLER, JOSEPH REDMOND	I	PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
SCHMUCKLER, JOSEPH REDMOND	I	PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
SCHMUCKLER, JOSEPH REDMOND	I	PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
SPERO, CHARLES ROBERT	I	CO-HEAD OF FIXED INCOME	NA	Control
SPERO, CHARLES ROBERT	I	CO-HEAD OF FIXED INCOME	NA	Control
SPERO, CHARLES ROBERT	I	CO-HEAD OF FIXED INCOME	NA	Control
SPERO, CHARLES ROBERT	I	CO-HEAD OF FIXED INCOME	NA	Control
SWEENEY, MARYELLEN THERESA	I	MANAGING DIRECTOR	NA
SWEENEY, MARYELLEN THERESA	I	MANAGING DIRECTOR	NA
SWEENEY, MARYELLEN THERESA	I	MANAGING DIRECTOR	NA
TAKAHASHI, HIDEYUKI	I	CEO & CHAIRMAN	NA	Control
TAKAHASHI, HIDEYUKI	I	CEO	NA	Control
TAKAHASHI, HIDEYUKI	I	CEO & CHAIRMAN	NA	Control
TAKAYAMA, YASUSHI	I	GENERAL COUNSEL	NA	Control
TAKAYAMA, YASUSHI	I	GENERAL COUNSEL	NA	Control
TAKAYAMA, YASUSHI	I	GENERAL COUNSEL	NA	Control
TAKAYAMA, YASUSHI	I	GENERAL COUNSEL	NA	Control
TAKAYAMA, YASUSHI	I	GENERAL COUNSEL	NA	Control
TAKAYAMA, YASUSHI	I	GENERAL COUNSEL	NA	Control
TAKAYAMA, YASUSHI	I	GENERAL COUNSEL	NA	Control
TAKAYAMA, YASUSHI	I	GENERAL COUNSEL	NA	Control
TAKEMURA, TSUTOMU	I	CHIEF EXECTIVE OFFICER, PRESIDENT & SENIOR MANAGING DIRECTOR	NA	Control
TAKEMURA, TSUTOMU	I	BOARD OF DIRECTORS	NA	Control
TAKEMURA, TSUTOMU	I	CHIEF EXECTIVE OFFICER, PRESIDENT & SENIOR MANAGING DIRECTOR	NA	Control
TAKEMURA, TSUTOMU	I	CHIEF EXECTIVE OFFICER, PRESIDENT & SENIOR MANAGING DIRECTOR	NA	Control
TAKEMURA, TSUTOMU	I	CHIEF EXECTIVE OFFICER, PRESIDENT & SENIOR MANAGING DIRECTOR	NA	Control
TAKEMURA, TSUTOMU	I	BOARD OF DIRECTORS	NA	Control
TAKEMURA, TSUTOMU	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
UNGER, LAURA SIMONE	I	BOARD OF DIRECTORS	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
VICKERY, CHRISTOPHER STEPHEN	I	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	NA	Control
WAGNER, LAWRENCE ARTHUR	I	CHIEF FINANCIAL OFFIER	NA
WAGNER, LAWRENCE ARTHUR	I	CHIEF FINANCIAL OFFIER	NA
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER	NA
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER	NA
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER	NA
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER	NA
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER	NA
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER	NA
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER	NA
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER	NA
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER	NA
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER	NA
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER	NA
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER	NA
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER	NA
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER	NA
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER	NA
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER	NA
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER	NA
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, ASST. SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, ASST. SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, ASST. SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, ASST. SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY & MANAGING DIRECTOR	NA	Control
WEBB, FARON ROSS	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY & MANAGING DIRECTOR	NA	Control
WILLCOX, CHRISTOPHER PAUL	I	CHIEF EXECUTIVE OFFICER, PRESIDENT, BOARD OF DIRECTORS & SENIOR MANAGING DIRECTOR	NA	Control
YOSHIKAWA, ATSUSHI	I	CHAIRMAN, BOARD MEMBER	NA	Control
YOSHIKAWA, ATSUSHI	I	CHIEF EXECUTIVE OFFICER	NA	Control
YOSHIKAWA, ATSUSHI	I	CHIEF EXECUTIVE OFFICER	NA	Control
YOSHIKAWA, ATSUSHI	I	CHIEF EXECUTIVE OFFICER	NA	Control
YOSHIKAWA, ATSUSHI	I	CHIEF EXECUTIVE OFFICER	NA	Control
YOSHIKAWA, ATSUSHI	I	CHIEF EXECUTIVE OFFICER	NA	Control
YOSHIKAWA, ATSUSHI	I	CHIEF EXECUTIVE OFFICER	NA	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control
NOMURA HOLDING AMERICA, INC.	DE	SHAREHOLDER	E	Control

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control
NOMURA HOLDING, INC.	FE	NOMURA HOLDING AMERICA, INC.	E	Control

Registrations

Federal

Jul 14, 2025 REGISTERED

Address

WORLD WIDE PLAZA
309 WEST 49TH STREET
NEW YORK, NY 10019-7316
United States

Phone: 212-667-9000