PIPER SANDLER & CO.
CRD #665 SEC #801-108049 MINNEAPOLIS, MN 612-303-6000
SEC Registered Broker-Dealer
Total AUM
$2B
Discretionary
$0
Employees
1,370
Clients
--
Accounts
1
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jul 14, 2025
- Branch Offices
- 8
- LEI
- 549300GRQCWQ3XGH0H10
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ABRAHAM, CHAD RICHARD | I | CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ABRAHAM, CHAD RICHARD | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ALEWINE, THERESA SETO | I | CROP | NA | Control |
| ANDERSON, JUSTIN CHARLES | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| ANDERSON, JUSTIN CHARLES | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| ANDERSON, JUSTIN CHARLES | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| ANDERSON, JUSTIN CHARLES | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| CARTER, TIMOTHY LEE | I | HD FIN RISK MGMT & TREASURER; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | HD FIN RISK MGMT & TREASURER; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | HD FIN RISK MGMT & TREASURER; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | HD FIN RISK MGMT & TREASURER; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | HD FIN RISK MGMT & TREASURER; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | HD FIN RISK MGMT & TREASURER; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | HD FIN RISK MGMT & TREASURER; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | HD FIN RISK MGMT & TREASURER; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | SR VP OF FINANCE & TREASURER; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | HD FIN RISK MGMT & TREASURER; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | CFO; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | CFO; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | CFO; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | CFO; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | CFO; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | CFO; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | CFO; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | CFO; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | CFO; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | CFO; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | CFO; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | CFO; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | CFO; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | CFO; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | CFO; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | CFO; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | CFO; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | CFO; BOARD MEMBER | NA | Control |
| CARTER, TIMOTHY LEE | I | CFO; BOARD MEMBER | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CHOSY, JAMES LOUIS | I | CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CLAYTON, PAMELA LYNN | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CLAYTON, PAMELA LYNN | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CLAYTON, PAMELA LYNN | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CLAYTON, PAMELA LYNN | I | MANAGEMENT COMMITTEE | NA | Control |
| CLAYTON, PAMELA LYNN | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CLAYTON, PAMELA LYNN | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CLAYTON, PAMELA LYNN | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CLAYTON, PAMELA LYNN | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CLAYTON, PAMELA LYNN | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CLAYTON, PAMELA LYNN | I | MANAGEMENT COMMITTEE | NA | Control |
| CLAYTON, PAMELA LYNN | I | MANAGEMENT COMMITTEE | NA | Control |
| CLAYTON, PAMELA LYNN | I | MANAGEMENT COMMITTEE | NA | Control |
| CLAYTON, PAMELA LYNN | I | MANAGEMENT COMMITTEE | NA | Control |
| CLAYTON, PAMELA LYNN | I | MANAGEMENT COMMITTEE | NA | Control |
| CLAYTON, PAMELA LYNN | I | MANAGEMENT COMMITTEE | NA | Control |
| CLAYTON, PAMELA LYNN | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CLAYTON, PAMELA LYNN | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CLAYTON, PAMELA LYNN | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CLAYTON, PAMELA LYNN | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CLAYTON, PAMELA LYNN | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| CLUNE, KATHERINE PATRICIA | I | CFO; BOARD MEMBER | NA | Control |
| CLUNE, KATHERINE PATRICIA | I | CFO; BOARD MEMBER | NA | Control |
| CLUNE, KATHERINE PATRICIA | I | CFO; BOARD MEMBER | NA | Control |
| CLUNE, KATHERINE PATRICIA | I | CFO; BOARD MEMBER | NA | Control |
| CLUNE, KATHERINE PATRICIA | I | CFO; BOARD MEMBER | NA | Control |
| CLUNE, KATHERINE PATRICIA | I | CFO; BOARD MEMBER | NA | Control |
| CLUNE, KATHERINE PATRICIA | I | CFO; BOARD MEMBER | NA | Control |
| CLUNE, KATHERINE PATRICIA | I | CFO; BOARD MEMBER | NA | Control |
| CLUNE, KATHERINE PATRICIA | I | CFO; BOARD MEMBER | NA | Control |
| CLUNE, KATHERINE PATRICIA | I | CFO; BOARD MEMBER | NA | Control |
| CLUNE, KATHERINE PATRICIA | I | CFO; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | DIRECTOR OF RESEARCH/BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES/BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES/BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| COX, MICHAEL EDWARD | I | CO-HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| DILLAHUNT, MICHAEL RAY | I | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | NA | Control |
| DILLAHUNT, MICHAEL RAY | I | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | NA | Control |
| DILLAHUNT, MICHAEL RAY | I | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | NA | Control |
| DILLAHUNT, MICHAEL RAY | I | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | NA | Control |
| DILLAHUNT, MICHAEL RAY | I | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | NA | Control |
| DILLAHUNT, MICHAEL RAY | I | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | NA | Control |
| DILLAHUNT, MICHAEL RAY | I | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | NA | Control |
| DILLAHUNT, MICHAEL RAY | I | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | NA | Control |
| DILLAHUNT, MICHAEL RAY | I | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | NA | Control |
| DILLAHUNT, MICHAEL RAY | I | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | NA | Control |
| DILLAHUNT, MICHAEL RAY | I | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | NA | Control |
| DILLAHUNT, MICHAEL RAY | I | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | NA | Control |
| DILLAHUNT, MICHAEL RAY | I | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | NA | Control |
| DILLAHUNT, MICHAEL RAY | I | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | NA | Control |
| DILLAHUNT, MICHAEL RAY | I | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | NA | Control |
| DILLAHUNT, MICHAEL RAY | I | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | NA | Control |
| DILLAHUNT, MICHAEL RAY | I | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | NA | Control |
| DILLAHUNT, MICHAEL RAY | I | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | NA | Control |
| DILLAHUNT, MICHAEL RAY | I | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DOYLE, JONATHAN JAY | I | HEAD OF FINANCIAL SERVICES GROUP | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE, CEO | NA | Control |
| DUFF, ANDREW SCOTT | I | PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE, CEO | NA | Control |
| DUFF, ANDREW SCOTT | I | PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE, CEO | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE, CEO | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE, CEO | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE, CEO | NA | Control |
| DUFF, ANDREW SCOTT | I | PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE, CEO | NA | Control |
| DUFF, ANDREW SCOTT | I | PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE, CEO | NA | Control |
| DUFF, ANDREW SCOTT | I | PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE, CEO | NA | Control |
| DUFF, ANDREW SCOTT | I | PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE, CEO | NA | Control |
| DUFF, ANDREW SCOTT | I | PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE, CEO | NA | Control |
| DUFF, ANDREW SCOTT | I | PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE, CEO | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO, PRESIDENT, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN, CEO; BOARD MEMBER | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN; BOARD MEMBER | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN; BOARD MEMBER | NA | Control |
| DUFF, ANDREW SCOTT | I | CHAIRMAN; BOARD MEMBER | NA | Control |
| DUFFY, MICHAEL DEAN | I | CHIEF INFORMATION OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| DUFFY, MICHAEL DEAN | I | CHIEF INFORMATION OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| DUFFY, MICHAEL DEAN | I | CHIEF INFORMATION OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| DUFFY, MICHAEL DEAN | I | CHIEF INFORMATION OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| DUFFY, MICHAEL DEAN | I | CHIEF INFORMATION OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| DUFFY, MICHAEL DEAN | I | CHIEF INFORMATION OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| DUFFY, MICHAEL DEAN | I | CHIEF INFORMATION OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| DUFFY, MICHAEL DEAN | I | CHIEF INFORMATION OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| DUFFY, MICHAEL DEAN | I | CHIEF INFORMATION OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| DUFFY, MICHAEL DEAN | I | CHIEF INFORMATION OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| DUFFY, MICHAEL DEAN | I | CHIEF INFORMATION OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| DUFFY, MICHAEL DEAN | I | CHIEF INFORMATION OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| DUFFY, MICHAEL DEAN | I | CHIEF INFORMATION OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| DUFFY, MICHAEL DEAN | I | CHIEF INFORMATION OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| DUFFY, MICHAEL DEAN | I | CHIEF INFORMATION OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| DUFFY, MICHAEL DEAN | I | CHIEF INFORMATION OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| DUFFY, MICHAEL DEAN | I | CHIEF INFORMATION OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| DUFFY, MICHAEL DEAN | I | CHIEF INFORMATION OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| DUFFY, MICHAEL DEAN | I | CHIEF INFORMATION OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| DUFFY, MICHAEL DEAN | I | CHIEF INFORMATION OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| EMPTAGE, WILLIAM JEFFREY | I | MANAGEMENT COMMITTEE | NA | Control |
| EMPTAGE, WILLIAM JEFFREY | I | MANAGEMENT COMMITTEE | NA | Control |
| EMPTAGE, WILLIAM JEFFREY | I | MANAGEMENT COMMITTEE | NA | Control |
| EMPTAGE, WILLIAM JEFFREY | I | MANAGEMENT COMMITTEE | NA | Control |
| EMPTAGE, WILLIAM JEFFREY | I | MANAGEMENT COMMITTEE | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES, MANAGEMENT COMMITTEE | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES, MANAGEMENT COMMITTEE | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES, MANAGEMENT COMMITTEE | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES, MANAGEMENT COMMITTEE | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES, MANAGEMENT COMMITTEE | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES, MANAGEMENT COMMITTEE | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES, MANAGEMENT COMMITTEE | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES, MANAGEMENT COMMITTEE | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES, MANAGEMENT COMMITTEE | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FAIRMAN, FRANCIS EVARTS IV | I | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | NA | Control |
| FERBUYT, PHILIP PAUL | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | Control |
| FERBUYT, PHILIP PAUL | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | Control |
| FERBUYT, PHILIP PAUL | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | Control |
| FERBUYT, PHILIP PAUL | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | |
| FERBUYT, PHILIP PAUL | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | |
| FERBUYT, PHILIP PAUL | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | |
| FERBUYT, PHILIP PAUL | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | Control |
| FERBUYT, PHILIP PAUL | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | Control |
| FERBUYT, PHILIP PAUL | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | |
| FERNJACK, JENNIFER MICHELLE | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | CHIEF ADMINISTRATIVE OFFICER; DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FIREBAUGH, RONALD TODD | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO, CROP | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO, CROP | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO, CROP | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO, CROP | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO, CROP | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO, CROP | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO, CROP | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO, CROP | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| FLEMING, JOSEPH DANIEL | I | CCO | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GEELAN, JOHN WILLIAM JR. | I | CHIEF LEGAL OFFICER | NA | Control |
| GERBER, JEREMY JOSEPH | I | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | NA | Control |
| GERBER, JEREMY JOSEPH | I | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | NA | Control |
| GERBER, JEREMY JOSEPH | I | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | NA | Control |
| GERBER, JEREMY JOSEPH | I | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | NA | Control |
| GERBER, JEREMY JOSEPH | I | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | NA | Control |
| GERBER, JEREMY JOSEPH | I | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | NA | Control |
| GERBER, JEREMY JOSEPH | I | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | NA | Control |
| GERBER, JEREMY JOSEPH | I | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | NA | Control |
| GERBER, JEREMY JOSEPH | I | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | NA | Control |
| GERBER, JEREMY JOSEPH | I | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | NA | Control |
| GERBER, JEREMY JOSEPH | I | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRANGAARD, PAUL DONALD | I | MANAGEMENT COMMITTEE, DIRECTOR | NA | Control |
| GRENIUK, ANTHONY JOHN | I | SROP | NA | |
| GRENIUK, ANTHONY JOHN | I | SROP | NA | |
| GRENIUK, ANTHONY JOHN | I | SROP | NA | |
| GRENIUK, ANTHONY JOHN | I | SROP | NA | |
| GRENIUK, ANTHONY JOHN | I | SROP | NA | |
| HARVEY, STUART CHARLES JR | I | PRESIDENT | NA | Control |
| HARVEY, STUART CHARLES JR | I | PRESIDENT/COO AND BOARD MEMBER | NA | Control |
| HOOPER, CHRISTOPHER STEPHEN | I | CO-CHIEF COMPLIANCE OFFICER | NA | Control |
| HOOPER, CHRISTOPHER STEPHEN | I | CO-CHIEF COMPLIANCE OFFICER | NA | Control |
| HOOPER, CHRISTOPHER STEPHEN | I | CO-CHIEF COMPLIANCE OFFICER | NA | Control |
| HOOPER, CHRISTOPHER STEPHEN | I | CO-CHIEF COMPLIANCE OFFICER | NA | Control |
| HOOPER, CHRISTOPHER STEPHEN | I | CO-CHIEF COMPLIANCE OFFICER | NA | Control |
| HOOPER, CHRISTOPHER STEPHEN | I | CO-CHIEF COMPLIANCE OFFICER | NA | Control |
| KAROS, PAUL PETER | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| KAROS, PAUL PETER | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| KAROS, PAUL PETER | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| KAROS, PAUL PETER | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| KAROS, PAUL PETER | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| KLINEFELTER, JEFFREY PAUL | I | HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| KLINEFELTER, JEFFREY PAUL | I | HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| KLINEFELTER, JEFFREY PAUL | I | HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| KLINEFELTER, JEFFREY PAUL | I | HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| KLINEFELTER, JEFFREY PAUL | I | HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| KLINEFELTER, JEFFREY PAUL | I | HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| KLINEFELTER, JEFFREY PAUL | I | HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| KLINEFELTER, JEFFREY PAUL | I | HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| KLINEFELTER, JEFFREY PAUL | I | HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| LARSEN, BRIDGET TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARSEN, BRIDGET TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARSEN, BRIDGET TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARSEN, BRIDGET TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARSEN, BRIDGET TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARSEN, BRIDGET TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARSEN, BRIDGET TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARSEN, BRIDGET TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARSEN, BRIDGET TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARSEN, BRIDGET TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARSEN, BRIDGET TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARSEN, BRIDGET TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARSEN, BRIDGET TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARSEN, BRIDGET TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARSEN, BRIDGET TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARUE, ROBERT SCOTT | I | CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| LARUE, ROBERT SCOTT | I | CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| LARUE, ROBERT SCOTT | I | CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| LARUE, ROBERT SCOTT | I | CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| LARUE, ROBERT SCOTT | I | CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| LARUE, ROBERT SCOTT | I | CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| LARUE, ROBERT SCOTT | I | CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| LARUE, ROBERT SCOTT | I | CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| LARUE, ROBERT SCOTT | I | CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| LARUE, ROBERT SCOTT | I | CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| LARUE, ROBERT SCOTT | I | HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| LARUE, ROBERT SCOTT | I | HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| LARUE, ROBERT SCOTT | I | HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| LARUE, ROBERT SCOTT | I | HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| LARUE, ROBERT SCOTT | I | HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| LARUE, ROBERT SCOTT | I | HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| LARUE, ROBERT SCOTT | I | HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| LARUE, ROBERT SCOTT | I | HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| LARUE, ROBERT SCOTT | I | HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| LARUE, ROBERT SCOTT | I | HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| LARUE, ROBERT SCOTT | I | HEAD OF INVESTMENT BANKING; BOARD MEMBER | NA | Control |
| MACLENNAN, DAVID WOOD | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| MACLENNAN, DAVID WOOD | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| MACLENNAN, DAVID WOOD | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| MACLENNAN, DAVID WOOD | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| MACLENNAN, DAVID WOOD | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| MAY, BENJAMIN TALLMAN | I | HEAD OF HIGH YIELD AND STRUCTURE PRODUCTS; MANAGEMENT COMMITTEE | NA | Control |
| MAY, BENJAMIN TALLMAN | I | HEAD OF HIGH YIELD AND STRUCTURE PRODUCTS; MANAGEMENT COMMITTEE | NA | Control |
| MAY, BENJAMIN TALLMAN | I | HEAD OF HIGH YIELD AND STRUCTURE PRODUCTS; MANAGEMENT COMMITTEE | NA | Control |
| MAY, BENJAMIN TALLMAN | I | HEAD OF HIGH YIELD AND STRUCTURE PRODUCTS; MANAGEMENT COMMITTEE | NA | Control |
| MAY, BENJAMIN TALLMAN | I | HEAD OF HIGH YIELD AND STRUCTURE PRODUCTS; MANAGEMENT COMMITTEE | NA | Control |
| MAY, BENJAMIN TALLMAN | I | HEAD OF HIGH YIELD AND STRUCTURE PRODUCTS; MANAGEMENT COMMITTEE | NA | Control |
| MAY, BENJAMIN TALLMAN | I | HEAD OF HIGH YIELD AND STRUCTURE PRODUCTS; MANAGEMENT COMMITTEE | NA | Control |
| MAY, BENJAMIN TALLMAN | I | HEAD OF HIGH YIELD AND STRUCTURE PRODUCTS; MANAGEMENT COMMITTEE | NA | Control |
| MAY, BENJAMIN TALLMAN | I | HEAD OF HIGH YIELD AND STRUCTURE PRODUCTS; MANAGEMENT COMMITTEE | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER, CROP | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER, CROP | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER, CROP | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CCO | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CCO | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CCO | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER, CROP | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER, CROP | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CCO | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CCO | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CCO | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CO-CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CO-CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CO-CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CO-CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CO-CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CO-CHIEF COMPLIANCE OFFICER | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| NORDSTRAND, BARRY JON | I | DIRECTOR; MANAGEMENT COMMITTEE | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | HEAD OF EQUITIES; MANAGEMENT COMMITTEE | NA | Control |
| PETERSON, ROBERT WAYNE | I | HEAD OF EQUITIES; MANAGEMENT COMMITTEE | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | HEAD OF EQUITIES; MANAGEMENT COMMITTEE | NA | Control |
| PETERSON, ROBERT WAYNE | I | HEAD OF EQUITIES; MANAGEMENT COMMITTEE | NA | Control |
| PETERSON, ROBERT WAYNE | I | HEAD OF EQUITIES; MANAGEMENT COMMITTEE | NA | Control |
| PETERSON, ROBERT WAYNE | I | HEAD OF EQUITIES; MANAGEMENT COMMITTEE | NA | Control |
| PETERSON, ROBERT WAYNE | I | HEAD OF EQUITIES; MANAGEMENT COMMITTEE | NA | Control |
| PETERSON, ROBERT WAYNE | I | HEAD OF EQUITIES; MANAGEMENT COMMITTEE | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | HEAD OF EQUITIES; MANAGEMENT COMMITTEE | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PETERSON, ROBERT WAYNE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | CHAIRMAN OF BOARD, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | CHAIRMAN OF BOARD, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | CHAIRMAN OF BOARD, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | CHAIRMAN OF BOARD, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | CHAIRMAN OF BOARD, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | CHAIRMAN OF BOARD, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | CHAIRMAN OF BOARD, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | CHAIRMAN OF BOARD, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | CHAIRMAN OF BOARD, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | CHAIRMAN OF BOARD, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | CHAIRMAN OF BOARD, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | CHAIRMAN OF BOARD, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| PIPER, ADDISON LEWIS | I | VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| RANALLO, BRIAN JOHN | I | MANAGEMENT COMMITTE | NA | Control |
| RANALLO, BRIAN JOHN | I | MANAGEMENT COMMITTE | NA | Control |
| RANALLO, BRIAN JOHN | I | MANAGEMENT COMMITTE | NA | Control |
| RANALLO, BRIAN JOHN | I | MANAGEMENT COMMITTE | NA | Control |
| RANALLO, BRIAN JOHN | I | MANAGEMENT COMMITTE | NA | Control |
| ROGERS, ROSS EUGENE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| ROGERS, ROSS EUGENE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| ROGERS, ROSS EUGENE | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SAGNESS, JOHN JEFFREY | I | SROP | NA | Control |
| SAGNESS, JOHN JEFFREY | I | SROP | NA | Control |
| SAGNESS, JOHN JEFFREY | I | SROP | NA | Control |
| SAGNESS, JOHN JEFFREY | I | SROP | NA | Control |
| SAGNESS, JOHN JEFFREY | I | SROP | NA | Control |
| SAGNESS, JOHN JEFFREY | I | SROP | NA | Control |
| SAGNESS, JOHN JEFFREY | I | SROP | NA | Control |
| SAGNESS, JOHN JEFFREY | I | SROP | NA | Control |
| SAGNESS, JOHN JEFFREY | I | SROP | NA | Control |
| SAGNESS, JOHN JEFFREY | I | SROP | NA | Control |
| SAGNESS, JOHN JEFFREY | I | SROP | NA | Control |
| SAGNESS, JOHN JEFFREY | I | SROP | NA | Control |
| SAGNESS, JOHN JEFFREY | I | SROP | NA | Control |
| SAGNESS, JOHN JEFFREY | I | SROP | NA | Control |
| SAGNESS, JOHN JEFFREY | I | SROP | NA | Control |
| SAGNESS, JOHN JEFFREY | I | SROP | NA | Control |
| SAGNESS, JOHN JEFFREY | I | SROP | NA | Control |
| SAGNESS, JOHN JEFFREY | I | SROP | NA | Control |
| SAGNESS, JOHN JEFFREY | I | SROP | NA | Control |
| SALVESON, JON WARREN | I | HEAD OF INVESTMENT BANKING; MANAGEMENT COMMITTEE | NA | Control |
| SALVESON, JON WARREN | I | HEAD OF INVESTMENT BANKING; MANAGEMENT COMMITTEE | NA | Control |
| SALVESON, JON WARREN | I | HEAD OF INVESTMENT BANKING; MANAGEMENT COMMITTEE | NA | Control |
| SALVESON, JON WARREN | I | HEAD OF INVESTMENT BANKING; MANAGEMENT COMMITTEE | NA | Control |
| SALVESON, JON WARREN | I | HEAD OF INVESTMENT BANKING; MANAGEMENT COMMITTEE | NA | Control |
| SALVESON, JON WARREN | I | HEAD OF INVESTMENT BANKING; MANAGEMENT COMMITTEE | NA | Control |
| SALVESON, JON WARREN | I | HEAD OF INVESTMENT BANKING; MANAGEMENT COMMITTEE | NA | Control |
| SALVESON, JON WARREN | I | HEAD OF INVESTMENT BANKING; MANAGEMENT COMMITTEE | NA | Control |
| SALVESON, JON WARREN | I | HEAD OF INVESTMENT BANKING; MANAGEMENT COMMITTEE | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | VICE CHAIRMAN; CFO; COO; MANAGEMENT COMMITTEE | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | VICE CHAIRMAN; CFO; COO; MANAGEMENT COMMITTEE | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | VICE CHAIRMAN; CFO; COO; MANAGEMENT COMMITTEE | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | VICE CHAIRMAN; CFO; COO; MANAGEMENT COMMITTEE | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | VICE CHAIRMAN; CFO; COO; MANAGEMENT COMMITTEE | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | VICE CHAIRMAN; CFO; COO; MANAGEMENT COMMITTEE | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | VICE CHAIRMAN; CFO; COO; MANAGEMENT COMMITTEE | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | VICE CHAIRMAN; CFO; COO; MANAGEMENT COMMITTEE | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | VICE CHAIRMAN; CFO; COO; MANAGEMENT COMMITTEE | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHNETTLER, THOMAS PATRICK | I | MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | HEAD OF EQUITIES; CFO | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; HEAD OF EQUITIES; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; HEAD OF EQUITIES AND FIXED INCOME SERVICES; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; HEAD OF EQUITIES AND FIXED INCOME SERVICES; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHONEMAN, DEBBRA LYNN | I | PRESIDENT; BOARD MEMBER | NA | Control |
| SCHREIER, THOMAS STEPHEN JR | I | DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| SCHREIER, THOMAS STEPHEN JR | I | DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| SCHREIER, THOMAS STEPHEN JR | I | DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| SCHREIER, THOMAS STEPHEN JR | I | DIRECTOR, MANAGEMENT COMMITTEE | NA | Control |
| SMITH, ELISABETH ANN | I | SROP | NA | Control |
| SMITH, ELISABETH ANN | I | SROP | NA | |
| SMITH, ELISABETH ANN | I | SROP | NA | |
| SMITH, ELISABETH ANN | I | SROP | NA | |
| SMITH, ELISABETH ANN | I | SROP | NA | |
| SMITH, ELISABETH ANN | I | SROP | NA | |
| SMITH, ELISABETH ANN | I | SROP | NA | |
| SMITH, ELISABETH ANN | I | SROP | NA | |
| SMITH, ELISABETH ANN | I | SROP | NA | |
| SMITH, ELISABETH ANN | I | SROP | NA | |
| SMITH, ELISABETH ANN | I | SROP | NA | |
| SMITH, ELISABETH ANN | I | SROP | NA | |
| SMITH, ELISABETH ANN | I | SROP | NA | |
| SMITH, ELISABETH ANN | I | SROP | NA | |
| SMITH, ELISABETH ANN | I | SROP | NA | |
| SMITH, ELISABETH ANN | I | SROP | NA | |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | CFO, MANAGEMENT COMMITTEE | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| SPONEM, SANDRA GAY | I | COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | NA | Control |
| WHERLEY, BRIDGET TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WHERLEY, BRIDGET TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WHERLEY, BRIDGET TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WHERLEY, BRIDGET TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WINGES, MARTIN BRADLEY | I | HEAD OF FIXED INCOME SERVICES; BOARD MEMBER | NA | Control |
| WINGES, MARTIN BRADLEY | I | HEAD OF FIXED INCOME SERVICES; BOARD MEMBER | NA | Control |
| WINGES, MARTIN BRADLEY | I | HEAD OF FIXED INCOME SERVICES; BOARD MEMBER | NA | Control |
| WINGES, MARTIN BRADLEY | I | HEAD OF FIXED INCOME SERVICES; BOARD MEMBER | NA | Control |
| WINGES, MARTIN BRADLEY | I | HEAD OF FIXED INCOME SERVICES; BOARD MEMBER | NA | Control |
| WINGES, MARTIN BRADLEY | I | HEAD OF FIXED INCOME SERVICES; BOARD MEMBER | NA | Control |
| WINGES, MARTIN BRADLEY | I | HEAD OF FIXED INCOME SERVICES; BOARD MEMBER | NA | Control |
| WINGES, MARTIN BRADLEY | I | HEAD OF FIXED INCOME SERVICES; BOARD MEMBER | NA | Control |
| WINGES, MARTIN BRADLEY | I | HEAD OF FIXED INCOME SERVICES; BOARD MEMBER | NA | Control |
| WINGES, MARTIN BRADLEY | I | HEAD OF FIXED INCOME SERVICES; BOARD MEMBER | NA | Control |
| WINGES, MARTIN BRADLEY | I | HEAD OF FIXED INCOME SERVICES; BOARD MEMBER | NA | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER JAFFRAY COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| PIPER SANDLER COMPANIES | DE | PARENT | E | Control |
| U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | DE | PARENT | E | Control |
| U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | DE | PARENT | E | Control |
| U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | DE | PARENT | E | Control |
| U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | DE | PARENT | E | Control |
| U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | DE | PARENT | E | Control |
| U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | DE | PARENT | E | Control |
| U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | DE | PARENT | E | Control |
| U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | DE | PARENT | E | Control |
| U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | DE | PARENT | E | Control |
| U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | DE | PARENT | E | Control |
| U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | DE | PARENT | E | Control |
| U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | DE | PARENT | E | Control |
| U.S. BANCORP INVESTMENTS, INC. | DE | SHAREHOLDER | B | |
| U.S. BANCORP INVESTMENTS, INC. | DE | SHAREHOLDER | B | |
| U.S. BANCORP INVESTMENTS, INC. | DE | SHAREHOLDER | B | |
| U.S. BANCORP INVESTMENTS, INC. | DE | SHAREHOLDER | B | |
| U.S. BANCORP INVESTMENTS, INC. | DE | SHAREHOLDER | B | |
| U.S. BANCORP INVESTMENTS, INC. | DE | SHAREHOLDER | B | |
| U.S. BANCORP INVESTMENTS, INC. | DE | SHAREHOLDER | B |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| U.S. BANCORP | DE | U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | E | Control |
| U.S. BANCORP | DE | U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | E | Control |
| U.S. BANCORP | DE | U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | E | Control |
| U.S. BANCORP | DE | U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | E | Control |
| U.S. BANCORP | DE | U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | E | Control |
| U.S. BANCORP | DE | U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | E | Control |
| U.S. BANCORP | DE | U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | E | Control |
| U.S. BANCORP | DE | U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | E | Control |
| U.S. BANCORP | DE | U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | E | Control |
| U.S. BANCORP | DE | U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | E | Control |
| U.S. BANCORP | DE | U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | E | Control |
| U.S. BANCORP | DE | U.S. BANCORP PIPER JAFFRAY COMPANIES INC. | E | Control |
Registrations
Federal
IA
Jul 14, 2025 REGISTERED
Notice Filings (46)
AK AL AR CA CO CT DC DE FL GA HI IA ID IL IN KS LA MD ME MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VT WA WI WV
Address
350 NORTH 5TH STREETSUITE 1000
MINNEAPOLIS, MN 55401
United States
Phone: 612-303-6000