AEGON USA INVESTMENT MANAGEMENT, LLC

HTTP://WWW.AEGONINVESTMENTS.COM CEDAR RAPIDS, IA Investment Advisor How do I update this listing?

Aegon USA Investment Management is based out of Cedar Rapids. Aegon USA Investment Management is a large advisory firm with 85 clients and discretionary assets under management (AUM) of $95,285,515,223 (Form ADV from 2018-06-01). Their last reported 13F filing for Q2 2019 included $274,555,000 in managed 13F securities and a top 10 holdings concentration of 84.61%. Aegon USA Investment Management's largest holding is Vanguard Total Stock Market ETF with shares held of 1,021,980. Aegon USA Investment Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 43 13F filings

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06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $274.555 Million
  • Prior Market Value $312.482 Million
  • New Purchases9 stocks
  • Additional Purchases8 stocks
  • Sold out of2 stocks
  • Reduced holdings in11 stocks
  • Top 10 Holdings % 84.61 %
  • Turnover % [1]:22.45%
  • Turnover Alt % [2]: 21.23 %
  • Time Held Top20:5.15 quarters
  • Time Held Top10:4.10 quarters
  • Time Held All:5.31 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-05-15

Performance for Q1 2019: 2.7%
Performance Last 4 Quarters: 0.23%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
TRANSAMERICA CORP

View Last Form Adv Compilation Report on Record

AEGON ASSET MANAGEMENT US
Classified as Hedge Fund
6300 C STREET SW
CEDAR RAPIDS IA    52499-5338
Country: United States

Business Phone: 319-355-3598
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company,Related Advisor
Form of Organization: Limited Liability Company
Organized in: IA
Number of employees: 318
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees
Amount of client funds and securities: 77,640,500,000
Total Number of Clients: 85
Amount of client funds and securities by related persons: 1,538,820,000
Total Number of clients from related persons: 3
Disclosures: 11.C (1),11.C (2),11.C (4),11.C (5)
Data above was derived from SEC filings.

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AEGON USA INVESTMENT MANAGEMENT, LLC

ownership team - last updated 2019-03-28
Name Title Start Date Direct/Indirect % Ownership
BUESE, KIRK, WILLIAM EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER 01/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2002-01-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2015-11-01
AEGON USA REALTY ADVISORS, LLC AAM EXECUTIVE COMMITTEE MEMBER direct 2015-11-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2015-11-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VP-PRIVATE FINANCE direct 2002-01-01 2007-03-23
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE FINANCE direct 2002-01-01 2011-11-01
PRISMA CAPITAL PARTNERS LP DIRECTOR direct 2004-02-01 2012-03-29
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE direct 2002-01-01 2014-10-13
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE AND INTERIM CHIEF INVESTMENT OFFICER direct 2002-01-01 2015-07-30
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE AND CHIEF INVESTMENT OFFICER direct 2002-01-01 2016-10-25
AEGON USA ASSET MANAGEMENT HOLDING, LLC MEMBER 10/01/2009 Direct 75% or more
Fund Name Position direct/indirect start date end date
AEGON USA REALTY ADVISORS, LLC MEMBER direct 2009-10-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2009-10-01
IDEX MANAGEMENT, INC OWNER direct 1959-11-01
AEGON USA INVESTMENT MANAGEMENT INC PARENT direct 1986-02-01
ENDEAVOR MANAGEMENT CO SOLE OWNER OF APPLICANT direct 1991-02-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER direct 1991-02-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 1997-02-01
GREAT COMPANIES LLC OWNER indirect 2000-03-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-03-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2009-08-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-08-01
AEGON USA INVESTMENT MANAGEMENT, LLC MEMBER direct 2009-10-01
TRANSAMERICA INVESTMENT SERVICES, LLC MEMBER direct 2009-10-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-10-01
PRISMA CAPITAL PARTNERS LP OWNER indirect 2004-02-01 2004-10-20
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-03-01 2009-03-31
INTERSECURITIES, INC. SOLE OWNER OF APPLICANT direct 1991-02-01 2009-08-21
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01 2009-11-05
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2004-02-01 2010-03-27
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01 2010-10-22
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-08-01 2010-10-22
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER direct 2009-10-01 2010-10-22
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01 2012-01-13
PRISMA CAPITAL PARTNERS LP OWNER indirect 2009-08-01 2012-03-29
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2009-10-01 2012-03-29
AEGON USA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-10-01 2015-03-02
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-08-01 2015-09-25
NEXTCAPITAL ADVISERS, INC. STOCKHOLDER indirect 2014-09-01 2015-10-21
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01 2015-12-04
PHELPS, STEPHANIE, MARIE EXECUTIVE VICE PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC SENIOR VICE PRESIDENT, TREASURER/CFO direct 2009-10-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2011-11-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER, SENIOR VICE PRESIDENT, TREASURER/CFO direct 2011-11-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT, TREASURER, CFO AND INTERIM CRO direct 2011-11-01
AEGON USA REALTY ADVISORS, LLC TREASURER, CFO AND INTERIM CRO direct 2011-10-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2011-10-01
MAUTINO, JAMES, ANTHONY CHIEF COMPLIANCE OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-08-01
FIFTH THIRD ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER; DIRECTOR direct 2005-08-01
AEGON USA INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-01-01
AEGON USA REALTY ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-05-01
WIRTH, RICHARD, JAY EXECUTIVE VICE PRESIDENT, SECRETARY AND GENERAL COUNSEL 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WS GRIFFITH SECURITIES, INC. CHIEF COMPLIANCE OFFICER direct 2003-12-01
DUFF & PHELPS INVESTMENT MANAGEMENT CO. VICE PRESIDENT, COUNSEL AND ASSISTANT SECRETARY direct 2003-12-01
PHOENIX VARIABLE ADVISORS, INC. DIRECTOR, PRESIDENT & ASSISTANT SECRETARY direct 2003-03-01
PHOENIX VARIABLE ADVISORS, INC. ASSISTANT SECRETARY direct 2003-03-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT, SECRETARY AND GENERAL COUNSEL direct 2014-09-01
AEGON USA INVESTMENT MANAGEMENT, LLC CHIEF LEGAL OFFICER AND SECRETARY direct 2014-09-01
AEGON USA INVESTMENT MANAGEMENT, LLC GENERAL COUNSEL AND SECRETARY direct 2014-09-01
AEGON USA REALTY ADVISORS, LLC GENERAL COUNSEL direct 2014-09-01
Greene, Darlene EXECUTIVE VICE PRESIDENT AND HEAD OF HUMAN RESOURCES US 05/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC HEAD OF HUMAN RESOURCES US direct 2012-05-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT AND HEAD OF HUMAN RESOURCES US direct 2012-05-01
AEGON USA REALTY ADVISORS, LLC HEAD OF HUMAN RESOURCES US direct 2015-02-01
BLACK, GARY, DOUGLAS PRESIDENT AND INTERIM HEAD OF DISTRIBUTION 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
JANUS CAPITAL MANAGEMENT LLC PRESIDENT, CHIEF INVESTMENT OFFICER direct 2004-04-01
JANUS CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER direct 2004-04-01
JANUS CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2006-01-01
JANUS CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER direct 2006-01-01
CALAMOS ADVISORS LLC EVP, GLOBAL CO-CIO, CIO ALTERNATIVE STRATEGIES direct 2012-08-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2016-06-01
AEGON USA INVESTMENT MANAGEMENT, LLC PRESIDENT AND INTERIM HEAD OF DISTRIBUTION direct 2016-06-01
AEGON USA INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2016-06-01
BAY ISLE FINANCIAL LLC PRESIDENT direct 2005-03-01
PERKINS, WOLF, MCDONNELL AND COMPANY, LLC MANAGER direct 2004-08-01
CALAMOS WEALTH MANAGEMENT LLC EVP, GLOBAL CO-CIO direct 2012-09-01
GRAIL ADVISORS LLC MEMBER direct 2009-11-01
BLACK CAPITAL, LLC MANAGING MEMBER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2009-10-01
BLACK CAPITAL, LLC MANAGING MEMBER (BLACK CAPITAL GROUP LLC) direct 2009-10-01
BLACK CAPITAL, LLC CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2009-10-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2016-06-01
AEGON USA REALTY ADVISORS, LLC PRESIDENT direct 2016-06-01
GABLER, CHRISTOPH AAM EXECUTIVE COMMITTEE MEMBER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC AAM EXECUTIVE COMMITTEE MEMBER direct 2017-03-01
AEGON USA REALTY ADVISORS, LLC EXECUTIVE VICE PRESIDENT AND CO-HEAD OF REAL ESTATE direct 2015-04-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2016-08-01
COTE, SCOTT AAM EXECUTIVE COMMITTEE MEMBER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC AAM EXECUTIVE COMMITTEE MEMBER direct 2017-03-01
AEGON USA REALTY ADVISORS, LLC EXECUTIVE VICE PRESIDENT AND CO-HEAD OF REAL ESTATE direct 2015-04-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2015-08-01
SCHAEFFER, JAMES, K EXECUTIVE VICE PRESIDENT, DEPUTY CHIEF INVESTMENT OFFICER AND CO-HEAD OF PUBLIC FIXED INCOME 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC SENIOR VICE PRESIDENT AND CO-HEAD OF PUBLIC FIXED INCOME direct 2004-10-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT AND CO-HEAD OF PUBLIC FIXED INCOME direct 2004-10-01
AEGON USA REALTY ADVISORS, LLC AAM EXECUTIVE COMMITTEE MEMBER direct 2017-03-01
Weih, Douglas, Alan EXECUTIVE VICE PRESIDENT AND CO-HEAD OF PUBLIC FIXED INCOME 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT AND CO-HEAD OF PUBLIC FIXED INCOME direct 2018-09-01
AEGON USA REALTY ADVISORS, LLC AAM EXECUTIVE COMMITTEE MEMBER direct 2018-09-01
AEGON INTERNATIONAL B.V. OWNER THE AEGON TRUST 12/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 2007-12-01
TRANSAMERICA FINANCIAL ADVISORS, INC. TRUSTEE indirect 1991-02-01
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1936-10-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC SETTLOR indirect 1986-07-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
PRISMA CAPITAL PARTNERS LP OWNER indirect 2007-12-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2007-12-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-12-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2007-12-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2007-12-01
AEGON NV OWNER AEGON INTERNATIONAL B.V. 12/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 2007-12-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01
INTERSECURITIES, INC. OWNER indirect 1991-02-01
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1936-10-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 1969-05-01
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 1969-05-01
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 1991-02-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 1991-02-01
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2007-12-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 1991-02-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2007-12-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-12-01
TRANSAMERICA INVESTMENT SERVICES, INC. OWNER indirect 2007-12-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2007-12-01
KAMES CAPITAL PLC SHAREHOLDER indirect 2009-09-01
THE AEGON TRUST OWNER TRANSAMERICA CORPORATION 12/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-07-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2004-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2004-12-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2004-12-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2004-12-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 2004-12-01
PRISMA CAPITAL PARTNERS LP OWNER indirect 1986-07-01 2004-10-20
GREAT COMPANIES LLC OWNER indirect 1999-07-01 2005-03-09
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01 2007-01-10
TRANSAMERICA FUND ADVISORS, INC. SH indirect 1986-07-01 2008-03-27
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2004-12-01 2008-08-15
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2004-02-01 2008-09-02
INTERSECURITIES, INC. TRUSTEE indirect 1991-02-01 2009-08-21
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2004-12-01 2012-03-29
TRANSAMERICA CORPORATION OWNER AUSA HOLDING, LLC 12/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-05-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1999-10-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2004-12-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 2004-12-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2004-12-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2004-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2004-12-01
TRANSAMERICA FINANCIAL RESOURCES, INC. OWNER indirect 1999-07-01 2001-06-26
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2004-12-01 2008-08-15
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2004-12-01 2012-03-29
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01 2015-03-02
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01 2015-09-25
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-05-01 2015-11-10
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1999-10-01 2015-12-04
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01 2016-01-07
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-05-01 2016-01-29
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-05-01 2016-03-30
PHELPS, STEPHANIE, MARIE ELECTED MANAGER AEGON USA INVESTMENT MANAGEMENT, LLC 11/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC SENIOR VICE PRESIDENT, TREASURER/CFO direct 2009-10-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2011-11-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER, SENIOR VICE PRESIDENT, TREASURER/CFO direct 2011-11-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT, TREASURER, CFO AND INTERIM CRO direct 2011-11-01
AEGON USA REALTY ADVISORS, LLC TREASURER, CFO AND INTERIM CRO direct 2011-10-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2011-10-01
BUESE, KIRK, WILLIAM ELECTED MANAGER AEGON USA INVESTMENT MANAGEMENT, LLC 11/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2002-01-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2015-11-01
AEGON USA REALTY ADVISORS, LLC AAM EXECUTIVE COMMITTEE MEMBER direct 2015-11-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2015-11-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VP-PRIVATE FINANCE direct 2002-01-01 2007-03-23
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE FINANCE direct 2002-01-01 2011-11-01
PRISMA CAPITAL PARTNERS LP DIRECTOR direct 2004-02-01 2012-03-29
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE direct 2002-01-01 2014-10-13
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE AND INTERIM CHIEF INVESTMENT OFFICER direct 2002-01-01 2015-07-30
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE AND CHIEF INVESTMENT OFFICER direct 2002-01-01 2016-10-25
AUSA HOLDING, LLC OWNER AEGON USA ASSET MANAGEMENT HOLDING, LLC 10/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AEGON USA REALTY ADVISORS, LLC MEMBER direct 2009-10-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2009-10-01
IDEX MANAGEMENT, INC OWNER direct 1959-11-01
AEGON USA INVESTMENT MANAGEMENT INC PARENT direct 1986-02-01
ENDEAVOR MANAGEMENT CO SOLE OWNER OF APPLICANT direct 1991-02-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER direct 1991-02-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 1997-02-01
GREAT COMPANIES LLC OWNER indirect 2000-03-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-03-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2009-08-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-08-01
AEGON USA INVESTMENT MANAGEMENT, LLC MEMBER direct 2009-10-01
TRANSAMERICA INVESTMENT SERVICES, LLC MEMBER direct 2009-10-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-10-01
PRISMA CAPITAL PARTNERS LP OWNER indirect 2004-02-01 2004-10-20
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-03-01 2009-03-31
INTERSECURITIES, INC. SOLE OWNER OF APPLICANT direct 1991-02-01 2009-08-21
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01 2009-11-05
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2004-02-01 2010-03-27
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01 2010-10-22
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-08-01 2010-10-22
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER direct 2009-10-01 2010-10-22
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01 2012-01-13
PRISMA CAPITAL PARTNERS LP OWNER indirect 2009-08-01 2012-03-29
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2009-10-01 2012-03-29
AEGON USA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-10-01 2015-03-02
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-08-01 2015-09-25
NEXTCAPITAL ADVISERS, INC. STOCKHOLDER indirect 2014-09-01 2015-10-21
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01 2015-12-04
BLACK, GARY, DOUGLAS ELECTED MANAGER AEGON USA INVESTMENT MANAGEMENT, LLC 06/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
JANUS CAPITAL MANAGEMENT LLC PRESIDENT, CHIEF INVESTMENT OFFICER direct 2004-04-01
JANUS CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER direct 2004-04-01
JANUS CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2006-01-01
JANUS CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER direct 2006-01-01
CALAMOS ADVISORS LLC EVP, GLOBAL CO-CIO, CIO ALTERNATIVE STRATEGIES direct 2012-08-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2016-06-01
AEGON USA INVESTMENT MANAGEMENT, LLC PRESIDENT AND INTERIM HEAD OF DISTRIBUTION direct 2016-06-01
AEGON USA INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2016-06-01
BAY ISLE FINANCIAL LLC PRESIDENT direct 2005-03-01
PERKINS, WOLF, MCDONNELL AND COMPANY, LLC MANAGER direct 2004-08-01
CALAMOS WEALTH MANAGEMENT LLC EVP, GLOBAL CO-CIO direct 2012-09-01
GRAIL ADVISORS LLC MEMBER direct 2009-11-01
BLACK CAPITAL, LLC MANAGING MEMBER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2009-10-01
BLACK CAPITAL, LLC MANAGING MEMBER (BLACK CAPITAL GROUP LLC) direct 2009-10-01
BLACK CAPITAL, LLC CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2009-10-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2016-06-01
AEGON USA REALTY ADVISORS, LLC PRESIDENT direct 2016-06-01
maatman, Alexander, hendrikus ELECTED MANAGER AEGON USA ASSET MANAGEMENT HOLDING, LLC 05/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC GLOBAL CHIEF FINANCIAL OFFICER AAM direct 2014-05-01
WIRTH, RICHARD, JAY ELECTED MANAGER WIRTH, RICHARD, JAY 03/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
WS GRIFFITH SECURITIES, INC. CHIEF COMPLIANCE OFFICER direct 2003-12-01
DUFF & PHELPS INVESTMENT MANAGEMENT CO. VICE PRESIDENT, COUNSEL AND ASSISTANT SECRETARY direct 2003-12-01
PHOENIX VARIABLE ADVISORS, INC. DIRECTOR, PRESIDENT & ASSISTANT SECRETARY direct 2003-03-01
PHOENIX VARIABLE ADVISORS, INC. ASSISTANT SECRETARY direct 2003-03-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT, SECRETARY AND GENERAL COUNSEL direct 2014-09-01
AEGON USA INVESTMENT MANAGEMENT, LLC CHIEF LEGAL OFFICER AND SECRETARY direct 2014-09-01
AEGON USA INVESTMENT MANAGEMENT, LLC GENERAL COUNSEL AND SECRETARY direct 2014-09-01
AEGON USA REALTY ADVISORS, LLC GENERAL COUNSEL direct 2014-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CEDAR FUNDING IX CLO, LTD United States 805-3053293075 Securitized Asset Fund 483,107,390 1,000,000
AEGON MANAGED ENHANCED CASH, LLC United States 805-5435422751 Liquidity Fund 2,232,731,220 0
CEDAR FUNDING II CLO, LTD Cayman Islands 805-3456279996 Securitized Asset Fund 334,556,812 1,000,000
PFL CORPORATE ACCOUNT ONE United States 805-7595651830 Other Private Fund INSURANCE COMPANY SEPARATE ACCOUNT 1,516,939,061 1,000,000
CEDAR FUNDING III CLO, LTD Cayman Islands 805-1491031158 Securitized Asset Fund 0 1,000,000
CEDAR FUNDING VIII CLO, LTD Cayman Islands 805-4552774660 Securitized Asset Fund 486,428,660 1,000,000
AEGON AM FUNDS, LLC - AEGON HIGH YIELD FUND United States 805-5073178866 Other Private Fund LONG ONLY, NO PERFORMANCE FEE 27,441,976 1,000,000
ZERO BETA FUND, LLC United States 805-3374116110 Hedge Fund 772,289,545 0 Fund of Funds
CEDAR FUNDING VI CLO, LTD Cayman Islands 805-5242831980 Securitized Asset Fund 481,971,619 1,000,000
CEDAR FUNDING V CLO, LLC Cayman Islands 805-3073254609 Securitized Asset Fund 383,948,570 1,000,000
CEDAR FUNDING IV CLO, LTD Cayman Islands 805-9532435547 Securitized Asset Fund 557,050,684 1,000,000
AUIM CREDIT OPPORTUNITIES MASTER FUND, LTD Cayman Islands 805-2644495007 Hedge Fund 16,035,328 1,000,000 Master Fund
AEGON MARKET NEUTRAL INCOME MASTER FUND, LTD. Cayman Islands 805-8693912331 Hedge Fund 10,233,075 250,000 Master Fund
CEDAR FUNDING VII CLO, LTD Cayman Islands 805-7373912049 Securitized Asset Fund 485,889,584 1,000,000

AEGON USA INVESTMENT MANAGEMENT, LLC

ownership team - last updated 2018-11-12
Name Title Start Date Direct/Indirect % Ownership
BUESE, KIRK, WILLIAM EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER 01/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2002-01-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2015-11-01
AEGON USA REALTY ADVISORS, LLC AAM EXECUTIVE COMMITTEE MEMBER direct 2015-11-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2015-11-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VP-PRIVATE FINANCE direct 2002-01-01 2007-03-23
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE FINANCE direct 2002-01-01 2011-11-01
PRISMA CAPITAL PARTNERS LP DIRECTOR direct 2004-02-01 2012-03-29
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE direct 2002-01-01 2014-10-13
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE AND INTERIM CHIEF INVESTMENT OFFICER direct 2002-01-01 2015-07-30
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE AND CHIEF INVESTMENT OFFICER direct 2002-01-01 2016-10-25
AEGON USA ASSET MANAGEMENT HOLDING, LLC MEMBER 10/01/2009 Direct 75% or more
Fund Name Position direct/indirect start date end date
AEGON USA REALTY ADVISORS, LLC MEMBER direct 2009-10-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2009-10-01
IDEX MANAGEMENT, INC OWNER direct 1959-11-01
AEGON USA INVESTMENT MANAGEMENT INC PARENT direct 1986-02-01
ENDEAVOR MANAGEMENT CO SOLE OWNER OF APPLICANT direct 1991-02-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER direct 1991-02-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 1997-02-01
GREAT COMPANIES LLC OWNER indirect 2000-03-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-03-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2009-08-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-08-01
AEGON USA INVESTMENT MANAGEMENT, LLC MEMBER direct 2009-10-01
TRANSAMERICA INVESTMENT SERVICES, LLC MEMBER direct 2009-10-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-10-01
PRISMA CAPITAL PARTNERS LP OWNER indirect 2004-02-01 2004-10-20
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-03-01 2009-03-31
INTERSECURITIES, INC. SOLE OWNER OF APPLICANT direct 1991-02-01 2009-08-21
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01 2009-11-05
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2004-02-01 2010-03-27
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01 2010-10-22
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-08-01 2010-10-22
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER direct 2009-10-01 2010-10-22
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01 2012-01-13
PRISMA CAPITAL PARTNERS LP OWNER indirect 2009-08-01 2012-03-29
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2009-10-01 2012-03-29
AEGON USA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-10-01 2015-03-02
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-08-01 2015-09-25
NEXTCAPITAL ADVISERS, INC. STOCKHOLDER indirect 2014-09-01 2015-10-21
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01 2015-12-04
PHELPS, STEPHANIE, MARIE EXECUTIVE VICE PRESIDENT, TREASURER, CFO AND INTERIM COO 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC SENIOR VICE PRESIDENT, TREASURER/CFO direct 2009-10-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2011-11-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER, SENIOR VICE PRESIDENT, TREASURER/CFO direct 2011-11-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT, TREASURER, CFO AND INTERIM CRO direct 2011-11-01
AEGON USA REALTY ADVISORS, LLC TREASURER, CFO AND INTERIM CRO direct 2011-10-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2011-10-01
MAUTINO, JAMES, ANTHONY CHIEF COMPLIANCE OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-08-01
FIFTH THIRD ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER; DIRECTOR direct 2005-08-01
AEGON USA INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-01-01
AEGON USA REALTY ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-05-01
WIRTH, RICHARD, JAY EXECUTIVE VICE PRESIDENT, SECRETARY AND GENERAL COUNSEL 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WS GRIFFITH SECURITIES, INC. CHIEF COMPLIANCE OFFICER direct 2003-12-01
DUFF & PHELPS INVESTMENT MANAGEMENT CO. VICE PRESIDENT, COUNSEL AND ASSISTANT SECRETARY direct 2003-12-01
PHOENIX VARIABLE ADVISORS, INC. DIRECTOR, PRESIDENT & ASSISTANT SECRETARY direct 2003-03-01
PHOENIX VARIABLE ADVISORS, INC. ASSISTANT SECRETARY direct 2003-03-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT, SECRETARY AND GENERAL COUNSEL direct 2014-09-01
AEGON USA INVESTMENT MANAGEMENT, LLC CHIEF LEGAL OFFICER AND SECRETARY direct 2014-09-01
AEGON USA INVESTMENT MANAGEMENT, LLC GENERAL COUNSEL AND SECRETARY direct 2014-09-01
AEGON USA REALTY ADVISORS, LLC GENERAL COUNSEL direct 2014-09-01
Greene, Darlene EXECUTIVE VICE PRESIDENT AND HEAD OF HUMAN RESOURCES US 05/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC HEAD OF HUMAN RESOURCES US direct 2012-05-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT AND HEAD OF HUMAN RESOURCES US direct 2012-05-01
AEGON USA REALTY ADVISORS, LLC HEAD OF HUMAN RESOURCES US direct 2015-02-01
BLACK, GARY, DOUGLAS PRESIDENT AND INTERIM HEAD OF DISTRIBUTION 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
JANUS CAPITAL MANAGEMENT LLC PRESIDENT, CHIEF INVESTMENT OFFICER direct 2004-04-01
JANUS CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER direct 2004-04-01
JANUS CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2006-01-01
JANUS CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER direct 2006-01-01
CALAMOS ADVISORS LLC EVP, GLOBAL CO-CIO, CIO ALTERNATIVE STRATEGIES direct 2012-08-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2016-06-01
AEGON USA INVESTMENT MANAGEMENT, LLC PRESIDENT AND INTERIM HEAD OF DISTRIBUTION direct 2016-06-01
AEGON USA INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2016-06-01
BAY ISLE FINANCIAL LLC PRESIDENT direct 2005-03-01
PERKINS, WOLF, MCDONNELL AND COMPANY, LLC MANAGER direct 2004-08-01
CALAMOS WEALTH MANAGEMENT LLC EVP, GLOBAL CO-CIO direct 2012-09-01
GRAIL ADVISORS LLC MEMBER direct 2009-11-01
BLACK CAPITAL, LLC MANAGING MEMBER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2009-10-01
BLACK CAPITAL, LLC MANAGING MEMBER (BLACK CAPITAL GROUP LLC) direct 2009-10-01
BLACK CAPITAL, LLC CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2009-10-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2016-06-01
AEGON USA REALTY ADVISORS, LLC PRESIDENT direct 2016-06-01
GABLER, CHRISTOPH AAM EXECUTIVE COMMITTEE MEMBER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC AAM EXECUTIVE COMMITTEE MEMBER direct 2017-03-01
AEGON USA REALTY ADVISORS, LLC EXECUTIVE VICE PRESIDENT AND CO-HEAD OF REAL ESTATE direct 2015-04-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2016-08-01
COTE, SCOTT AAM EXECUTIVE COMMITTEE MEMBER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC AAM EXECUTIVE COMMITTEE MEMBER direct 2017-03-01
AEGON USA REALTY ADVISORS, LLC EXECUTIVE VICE PRESIDENT AND CO-HEAD OF REAL ESTATE direct 2015-04-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2015-08-01
SCHAEFFER, JAMES, K EXECUTIVE VICE PRESIDENT, DEPUTY CHIEF INVESTMENT OFFICER AND CO-HEAD OF PUBLIC FIXED INCOME 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC SENIOR VICE PRESIDENT AND CO-HEAD OF PUBLIC FIXED INCOME direct 2004-10-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT AND CO-HEAD OF PUBLIC FIXED INCOME direct 2004-10-01
AEGON USA REALTY ADVISORS, LLC AAM EXECUTIVE COMMITTEE MEMBER direct 2017-03-01
Weih, Douglas, Alan EXECUTIVE VICE PRESIDENT AND CO-HEAD OF PUBLIC FIXED INCOME 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT AND CO-HEAD OF PUBLIC FIXED INCOME direct 2018-09-01
AEGON USA REALTY ADVISORS, LLC AAM EXECUTIVE COMMITTEE MEMBER direct 2018-09-01
AEGON INTERNATIONAL B.V. OWNER THE AEGON TRUST 12/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 2007-12-01
TRANSAMERICA FINANCIAL ADVISORS, INC. TRUSTEE indirect 1991-02-01
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1936-10-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC SETTLOR indirect 1986-07-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
PRISMA CAPITAL PARTNERS LP OWNER indirect 2007-12-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2007-12-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-12-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2007-12-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2007-12-01
AEGON NV OWNER AEGON INTERNATIONAL B.V. 12/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 2007-12-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01
INTERSECURITIES, INC. OWNER indirect 1991-02-01
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1936-10-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 1969-05-01
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 1969-05-01
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 1991-02-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 1991-02-01
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2007-12-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 1991-02-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2007-12-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-12-01
TRANSAMERICA INVESTMENT SERVICES, INC. OWNER indirect 2007-12-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2007-12-01
KAMES CAPITAL PLC SHAREHOLDER indirect 2009-09-01
THE AEGON TRUST OWNER TRANSAMERICA CORPORATION 12/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-07-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2004-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2004-12-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2004-12-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2004-12-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 2004-12-01
PRISMA CAPITAL PARTNERS LP OWNER indirect 1986-07-01 2004-10-20
GREAT COMPANIES LLC OWNER indirect 1999-07-01 2005-03-09
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01 2007-01-10
TRANSAMERICA FUND ADVISORS, INC. SH indirect 1986-07-01 2008-03-27
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2004-12-01 2008-08-15
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2004-02-01 2008-09-02
INTERSECURITIES, INC. TRUSTEE indirect 1991-02-01 2009-08-21
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2004-12-01 2012-03-29
TRANSAMERICA CORPORATION OWNER AUSA HOLDING, LLC 12/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-05-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1999-10-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2004-12-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 2004-12-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2004-12-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2004-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2004-12-01
TRANSAMERICA FINANCIAL RESOURCES, INC. OWNER indirect 1999-07-01 2001-06-26
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2004-12-01 2008-08-15
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2004-12-01 2012-03-29
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01 2015-03-02
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01 2015-09-25
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-05-01 2015-11-10
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1999-10-01 2015-12-04
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01 2016-01-07
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-05-01 2016-01-29
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-05-01 2016-03-30
PHELPS, STEPHANIE, MARIE ELECTED MANAGER AEGON USA INVESTMENT MANAGEMENT, LLC 11/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC SENIOR VICE PRESIDENT, TREASURER/CFO direct 2009-10-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2011-11-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER, SENIOR VICE PRESIDENT, TREASURER/CFO direct 2011-11-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT, TREASURER, CFO AND INTERIM CRO direct 2011-11-01
AEGON USA REALTY ADVISORS, LLC TREASURER, CFO AND INTERIM CRO direct 2011-10-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2011-10-01
BUESE, KIRK, WILLIAM ELECTED MANAGER AEGON USA INVESTMENT MANAGEMENT, LLC 11/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2002-01-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2015-11-01
AEGON USA REALTY ADVISORS, LLC AAM EXECUTIVE COMMITTEE MEMBER direct 2015-11-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2015-11-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VP-PRIVATE FINANCE direct 2002-01-01 2007-03-23
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE FINANCE direct 2002-01-01 2011-11-01
PRISMA CAPITAL PARTNERS LP DIRECTOR direct 2004-02-01 2012-03-29
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE direct 2002-01-01 2014-10-13
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE AND INTERIM CHIEF INVESTMENT OFFICER direct 2002-01-01 2015-07-30
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE AND CHIEF INVESTMENT OFFICER direct 2002-01-01 2016-10-25
AUSA HOLDING, LLC OWNER AEGON USA ASSET MANAGEMENT HOLDING, LLC 10/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AEGON USA REALTY ADVISORS, LLC MEMBER direct 2009-10-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2009-10-01
IDEX MANAGEMENT, INC OWNER direct 1959-11-01
AEGON USA INVESTMENT MANAGEMENT INC PARENT direct 1986-02-01
ENDEAVOR MANAGEMENT CO SOLE OWNER OF APPLICANT direct 1991-02-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER direct 1991-02-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 1997-02-01
GREAT COMPANIES LLC OWNER indirect 2000-03-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-03-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2009-08-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-08-01
AEGON USA INVESTMENT MANAGEMENT, LLC MEMBER direct 2009-10-01
TRANSAMERICA INVESTMENT SERVICES, LLC MEMBER direct 2009-10-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-10-01
PRISMA CAPITAL PARTNERS LP OWNER indirect 2004-02-01 2004-10-20
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-03-01 2009-03-31
INTERSECURITIES, INC. SOLE OWNER OF APPLICANT direct 1991-02-01 2009-08-21
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01 2009-11-05
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2004-02-01 2010-03-27
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01 2010-10-22
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-08-01 2010-10-22
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER direct 2009-10-01 2010-10-22
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01 2012-01-13
PRISMA CAPITAL PARTNERS LP OWNER indirect 2009-08-01 2012-03-29
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2009-10-01 2012-03-29
AEGON USA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-10-01 2015-03-02
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-08-01 2015-09-25
NEXTCAPITAL ADVISERS, INC. STOCKHOLDER indirect 2014-09-01 2015-10-21
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01 2015-12-04
BLACK, GARY, DOUGLAS ELECTED MANAGER AEGON USA INVESTMENT MANAGEMENT, LLC 06/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
JANUS CAPITAL MANAGEMENT LLC PRESIDENT, CHIEF INVESTMENT OFFICER direct 2004-04-01
JANUS CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER direct 2004-04-01
JANUS CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2006-01-01
JANUS CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER direct 2006-01-01
CALAMOS ADVISORS LLC EVP, GLOBAL CO-CIO, CIO ALTERNATIVE STRATEGIES direct 2012-08-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2016-06-01
AEGON USA INVESTMENT MANAGEMENT, LLC PRESIDENT AND INTERIM HEAD OF DISTRIBUTION direct 2016-06-01
AEGON USA INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2016-06-01
BAY ISLE FINANCIAL LLC PRESIDENT direct 2005-03-01
PERKINS, WOLF, MCDONNELL AND COMPANY, LLC MANAGER direct 2004-08-01
CALAMOS WEALTH MANAGEMENT LLC EVP, GLOBAL CO-CIO direct 2012-09-01
GRAIL ADVISORS LLC MEMBER direct 2009-11-01
BLACK CAPITAL, LLC MANAGING MEMBER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2009-10-01
BLACK CAPITAL, LLC MANAGING MEMBER (BLACK CAPITAL GROUP LLC) direct 2009-10-01
BLACK CAPITAL, LLC CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2009-10-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2016-06-01
AEGON USA REALTY ADVISORS, LLC PRESIDENT direct 2016-06-01
DAVIS, MARTIN, MICHAEL ARTHUR ELECTED MANAGER AEGON USA ASSET MANAGEMENT HOLDING, LLC 05/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
KAMES CAPITAL PLC CHIEF EXECUTIVE OFFICER direct 2013-10-01
maatman, Alexander, hendrikus ELECTED MANAGER AEGON USA ASSET MANAGEMENT HOLDING, LLC 05/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC GLOBAL CHIEF FINANCIAL OFFICER AAM direct 2014-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
AEGON MANAGED ENHANCED CASH, LLC United States 805-5435422751 Liquidity Fund 2,890,238,407 0
CEDAR FUNDING II CLO, LTD Cayman Islands 805-3456279996 Securitized Asset Fund 349,297,091 1,000,000
PFL CORPORATE ACCOUNT ONE United States 805-7595651830 Other Private Fund INSURANCE COMPANY SEPARATE ACCOUNT 1,700,375,921 1,000,000
CEDAR FUNDING III CLO, LTD Cayman Islands 805-1491031158 Securitized Asset Fund 997,424 1,000,000
CEDAR FUNDING VIII CLO, LTD Cayman Islands 805-4552774660 Securitized Asset Fund 513,818,741 1,000,000
AEGON AM FUNDS, LLC - AEGON HIGH YIELD FUND United States 805-5073178866 Other Private Fund LONG ONLY, NO PERFORMANCE FEE 49,991,566 1,000,000
ZERO BETA FUND, LLC United States 805-3374116110 Hedge Fund 812,671,854 0 Fund of Funds
CEDAR FUNDING VI CLO, LTD Cayman Islands 805-5242831980 Securitized Asset Fund 501,549,649 1,000,000
CEDAR FUNDING V CLO, LLC Cayman Islands 805-3073254609 Securitized Asset Fund 401,761,516 1,000,000
CEDAR FUNDING IV CLO, LTD Cayman Islands 805-9532435547 Securitized Asset Fund 580,859,468 1,000,000
AUIM CREDIT OPPORTUNITIES MASTER FUND, LTD Cayman Islands 805-2644495007 Hedge Fund 15,305,000 1,000,000 Master Fund

AEGON USA INVESTMENT MANAGEMENT, LLC

ownership team - last updated 2017-10-31
Name Title Start Date Direct/Indirect % Ownership
BUESE, KIRK, WILLIAM EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER 01/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2002-01-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2015-11-01
AEGON USA REALTY ADVISORS, LLC AAM EXECUTIVE COMMITTEE MEMBER direct 2015-11-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2015-11-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VP-PRIVATE FINANCE direct 2002-01-01 2007-03-23
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE FINANCE direct 2002-01-01 2011-11-01
PRISMA CAPITAL PARTNERS LP DIRECTOR direct 2004-02-01 2012-03-29
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE direct 2002-01-01 2014-10-13
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE AND INTERIM CHIEF INVESTMENT OFFICER direct 2002-01-01 2015-07-30
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE AND CHIEF INVESTMENT OFFICER direct 2002-01-01 2016-10-25
AEGON USA ASSET MANAGEMENT HOLDING, LLC MEMBER 10/01/2009 Direct 75% or more
Fund Name Position direct/indirect start date end date
AEGON USA REALTY ADVISORS, LLC MEMBER direct 2009-10-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2009-10-01
IDEX MANAGEMENT, INC OWNER direct 1959-11-01
AEGON USA INVESTMENT MANAGEMENT INC PARENT direct 1986-02-01
ENDEAVOR MANAGEMENT CO SOLE OWNER OF APPLICANT direct 1991-02-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER direct 1991-02-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 1997-02-01
GREAT COMPANIES LLC OWNER indirect 2000-03-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-03-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2009-08-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-08-01
AEGON USA INVESTMENT MANAGEMENT, LLC MEMBER direct 2009-10-01
TRANSAMERICA INVESTMENT SERVICES, LLC MEMBER direct 2009-10-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-10-01
PRISMA CAPITAL PARTNERS LP OWNER indirect 2004-02-01 2004-10-20
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-03-01 2009-03-31
INTERSECURITIES, INC. SOLE OWNER OF APPLICANT direct 1991-02-01 2009-08-21
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01 2009-11-05
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2004-02-01 2010-03-27
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01 2010-10-22
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-08-01 2010-10-22
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER direct 2009-10-01 2010-10-22
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01 2012-01-13
PRISMA CAPITAL PARTNERS LP OWNER indirect 2009-08-01 2012-03-29
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2009-10-01 2012-03-29
AEGON USA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-10-01 2015-03-02
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-08-01 2015-09-25
NEXTCAPITAL ADVISERS, INC. STOCKHOLDER indirect 2014-09-01 2015-10-21
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01 2015-12-04
PHELPS, STEPHANIE, MARIE EXECUTIVE VICE PRESIDENT, TREASURER, CFO AND INTERIM CRO 11/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC SENIOR VICE PRESIDENT, TREASURER/CFO direct 2009-10-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2011-11-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER, SENIOR VICE PRESIDENT, TREASURER/CFO direct 2011-11-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT, TREASURER, CFO AND INTERIM CRO direct 2011-11-01
AEGON USA REALTY ADVISORS, LLC TREASURER, CFO AND INTERIM CRO direct 2011-10-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2011-10-01
MAUTINO, JAMES, ANTHONY CHIEF COMPLIANCE OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-08-01
FIFTH THIRD ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER; DIRECTOR direct 2005-08-01
AEGON USA INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-01-01
AEGON USA REALTY ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-05-01
WIRTH, RICHARD, JAY EXECUTIVE VICE PRESIDENT, SECRETARY AND GENERAL COUNSEL 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WS GRIFFITH SECURITIES, INC. CHIEF COMPLIANCE OFFICER direct 2003-12-01
DUFF & PHELPS INVESTMENT MANAGEMENT CO. VICE PRESIDENT, COUNSEL AND ASSISTANT SECRETARY direct 2003-12-01
PHOENIX VARIABLE ADVISORS, INC. DIRECTOR, PRESIDENT & ASSISTANT SECRETARY direct 2003-03-01
PHOENIX VARIABLE ADVISORS, INC. ASSISTANT SECRETARY direct 2003-03-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT, SECRETARY AND GENERAL COUNSEL direct 2014-09-01
AEGON USA INVESTMENT MANAGEMENT, LLC CHIEF LEGAL OFFICER AND SECRETARY direct 2014-09-01
AEGON USA INVESTMENT MANAGEMENT, LLC GENERAL COUNSEL AND SECRETARY direct 2014-09-01
AEGON USA REALTY ADVISORS, LLC GENERAL COUNSEL direct 2014-09-01
VETSCH, WERNER, NIKLAUS EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER AND SENIOR VICE PRESIDENT direct 2015-02-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER direct 2015-02-01
AEGON USA INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2015-02-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2015-04-01
LEGAL & GENERAL INVESTMENT MANAGEMENT AMERICA INC. CHIEF OPERATING OFFICER direct 2006-12-01
LEGAL & GENERAL INVESTMENT MANAGEMENT AMERICA INC. CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, DIRECTOR direct 2007-09-01
LEGAL & GENERAL INVESTMENT MANAGEMENT AMERICA INC. CHIEF OPERATING OFFICER, direct 2007-09-01
LEGAL & GENERAL INVESTMENT MANAGEMENT AMERICA INC. CHIEF OPERATING OFFICER, DIRECTOR direct 2007-09-01
AEGON USA REALTY ADVISORS, LLC CHIEF OPERATING OFFICER direct 2015-02-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2015-05-01
Greene, Darlene EXECUTIVE VICE PRESIDENT AND HEAD OF HUMAN RESOURCES US 05/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC HEAD OF HUMAN RESOURCES US direct 2012-05-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT AND HEAD OF HUMAN RESOURCES US direct 2012-05-01
AEGON USA REALTY ADVISORS, LLC HEAD OF HUMAN RESOURCES US direct 2015-02-01
BLACK, GARY, DOUGLAS PRESIDENT 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
JANUS CAPITAL MANAGEMENT LLC PRESIDENT, CHIEF INVESTMENT OFFICER direct 2004-04-01
JANUS CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER direct 2004-04-01
JANUS CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2006-01-01
JANUS CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER direct 2006-01-01
CALAMOS ADVISORS LLC EVP, GLOBAL CO-CIO, CIO ALTERNATIVE STRATEGIES direct 2012-08-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2016-06-01
AEGON USA INVESTMENT MANAGEMENT, LLC PRESIDENT AND INTERIM HEAD OF DISTRIBUTION direct 2016-06-01
AEGON USA INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2016-06-01
BAY ISLE FINANCIAL LLC PRESIDENT direct 2005-03-01
PERKINS, WOLF, MCDONNELL AND COMPANY, LLC MANAGER direct 2004-08-01
CALAMOS WEALTH MANAGEMENT LLC EVP, GLOBAL CO-CIO direct 2012-09-01
GRAIL ADVISORS LLC MEMBER direct 2009-11-01
BLACK CAPITAL, LLC MANAGING MEMBER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2009-10-01
BLACK CAPITAL, LLC MANAGING MEMBER (BLACK CAPITAL GROUP LLC) direct 2009-10-01
BLACK CAPITAL, LLC CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2009-10-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2016-06-01
AEGON USA REALTY ADVISORS, LLC PRESIDENT direct 2016-06-01
COUGHLAN, MARTIN, GERARD EXECUTIVE VICE PRESIDENT AND HEAD OF DISTRIBUTION 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC HEAD OF DISTRIBUTION direct 2016-10-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT AND HEAD OF DISTRIBUTION direct 2016-10-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2017-05-01
AEGON USA REALTY ADVISORS, LLC AAM EXECUTIVE COMMITTEE MEMBER direct 2016-10-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2017-05-01
GABLER, CHRISTOPH AAM EXECUTIVE COMMITTEE MEMBER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC AAM EXECUTIVE COMMITTEE MEMBER direct 2017-03-01
AEGON USA REALTY ADVISORS, LLC EXECUTIVE VICE PRESIDENT AND CO-HEAD OF REAL ESTATE direct 2015-04-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2016-08-01
COTE, SCOTT AAM EXECUTIVE COMMITTEE MEMBER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC AAM EXECUTIVE COMMITTEE MEMBER direct 2017-03-01
AEGON USA REALTY ADVISORS, LLC EXECUTIVE VICE PRESIDENT AND CO-HEAD OF REAL ESTATE direct 2015-04-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2015-08-01
SCHAEFFER, JAMES, K EXECUTIVE VICE PRESIDENT AND CO-HEAD OF PUBLIC FIXED INCOME 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC SENIOR VICE PRESIDENT AND CO-HEAD OF PUBLIC FIXED INCOME direct 2004-10-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT AND CO-HEAD OF PUBLIC FIXED INCOME direct 2004-10-01
AEGON USA REALTY ADVISORS, LLC AAM EXECUTIVE COMMITTEE MEMBER direct 2017-03-01
AEGON INTERNATIONAL B.V. OWNER THE AEGON TRUST 12/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 2007-12-01
TRANSAMERICA FINANCIAL ADVISORS, INC. TRUSTEE indirect 1991-02-01
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1936-10-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC SETTLOR indirect 1986-07-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
PRISMA CAPITAL PARTNERS LP OWNER indirect 2007-12-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2007-12-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-12-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2007-12-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2007-12-01
AEGON NV OWNER AEGON INTERNATIONAL B.V. 12/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 2007-12-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01
INTERSECURITIES, INC. OWNER indirect 1991-02-01
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1936-10-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 1969-05-01
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 1969-05-01
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 1991-02-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 1991-02-01
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2007-12-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 1991-02-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2007-12-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-12-01
TRANSAMERICA INVESTMENT SERVICES, INC. OWNER indirect 2007-12-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2007-12-01
KAMES CAPITAL PLC SHAREHOLDER indirect 2009-09-01
THE AEGON TRUST OWNER TRANSAMERICA CORPORATION 12/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-07-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2004-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2004-12-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2004-12-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2004-12-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 2004-12-01
PRISMA CAPITAL PARTNERS LP OWNER indirect 1986-07-01 2004-10-20
GREAT COMPANIES LLC OWNER indirect 1999-07-01 2005-03-09
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01 2007-01-10
TRANSAMERICA FUND ADVISORS, INC. SH indirect 1986-07-01 2008-03-27
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2004-12-01 2008-08-15
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2004-02-01 2008-09-02
INTERSECURITIES, INC. TRUSTEE indirect 1991-02-01 2009-08-21
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2004-12-01 2012-03-29
TRANSAMERICA CORPORATION OWNER AUSA HOLDING, LLC 12/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-05-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1999-10-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2004-12-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 2004-12-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2004-12-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2004-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2004-12-01
TRANSAMERICA FINANCIAL RESOURCES, INC. OWNER indirect 1999-07-01 2001-06-26
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2004-12-01 2008-08-15
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2004-12-01 2012-03-29
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01 2015-03-02
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01 2015-09-25
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-05-01 2015-11-10
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1999-10-01 2015-12-04
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01 2016-01-07
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-05-01 2016-01-29
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-05-01 2016-03-30
PHELPS, STEPHANIE, MARIE ELECTED MANAGER AEGON USA INVESTMENT MANAGEMENT, LLC 11/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC SENIOR VICE PRESIDENT, TREASURER/CFO direct 2009-10-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2011-11-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER, SENIOR VICE PRESIDENT, TREASURER/CFO direct 2011-11-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT, TREASURER, CFO AND INTERIM CRO direct 2011-11-01
AEGON USA REALTY ADVISORS, LLC TREASURER, CFO AND INTERIM CRO direct 2011-10-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2011-10-01
VETSCH, WERNER, NIKLAUS ELECTED MANAGER AEGON USA INVESTMENT MANAGEMENT, LLC 04/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER AND SENIOR VICE PRESIDENT direct 2015-02-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER direct 2015-02-01
AEGON USA INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2015-02-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2015-04-01
LEGAL & GENERAL INVESTMENT MANAGEMENT AMERICA INC. CHIEF OPERATING OFFICER direct 2006-12-01
LEGAL & GENERAL INVESTMENT MANAGEMENT AMERICA INC. CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, DIRECTOR direct 2007-09-01
LEGAL & GENERAL INVESTMENT MANAGEMENT AMERICA INC. CHIEF OPERATING OFFICER, direct 2007-09-01
LEGAL & GENERAL INVESTMENT MANAGEMENT AMERICA INC. CHIEF OPERATING OFFICER, DIRECTOR direct 2007-09-01
AEGON USA REALTY ADVISORS, LLC CHIEF OPERATING OFFICER direct 2015-02-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2015-05-01
BUESE, KIRK, WILLIAM ELECTED MANAGER AEGON USA INVESTMENT MANAGEMENT, LLC 11/01/2015 Indirect Other
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2002-01-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2015-11-01
AEGON USA REALTY ADVISORS, LLC AAM EXECUTIVE COMMITTEE MEMBER direct 2015-11-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2015-11-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VP-PRIVATE FINANCE direct 2002-01-01 2007-03-23
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE FINANCE direct 2002-01-01 2011-11-01
PRISMA CAPITAL PARTNERS LP DIRECTOR direct 2004-02-01 2012-03-29
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE direct 2002-01-01 2014-10-13
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE AND INTERIM CHIEF INVESTMENT OFFICER direct 2002-01-01 2015-07-30
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE AND CHIEF INVESTMENT OFFICER direct 2002-01-01 2016-10-25
AUSA HOLDING, LLC OWNER AEGON USA ASSET MANAGEMENT HOLDING, LLC 10/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AEGON USA REALTY ADVISORS, LLC MEMBER direct 2009-10-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2009-10-01
IDEX MANAGEMENT, INC OWNER direct 1959-11-01
AEGON USA INVESTMENT MANAGEMENT INC PARENT direct 1986-02-01
ENDEAVOR MANAGEMENT CO SOLE OWNER OF APPLICANT direct 1991-02-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER direct 1991-02-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 1997-02-01
GREAT COMPANIES LLC OWNER indirect 2000-03-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-03-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2009-08-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-08-01
AEGON USA INVESTMENT MANAGEMENT, LLC MEMBER direct 2009-10-01
TRANSAMERICA INVESTMENT SERVICES, LLC MEMBER direct 2009-10-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-10-01
PRISMA CAPITAL PARTNERS LP OWNER indirect 2004-02-01 2004-10-20
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-03-01 2009-03-31
INTERSECURITIES, INC. SOLE OWNER OF APPLICANT direct 1991-02-01 2009-08-21
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01 2009-11-05
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2004-02-01 2010-03-27
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01 2010-10-22
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-08-01 2010-10-22
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER direct 2009-10-01 2010-10-22
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01 2012-01-13
PRISMA CAPITAL PARTNERS LP OWNER indirect 2009-08-01 2012-03-29
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2009-10-01 2012-03-29
AEGON USA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-10-01 2015-03-02
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-08-01 2015-09-25
NEXTCAPITAL ADVISERS, INC. STOCKHOLDER indirect 2014-09-01 2015-10-21
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01 2015-12-04
BLACK, GARY, DOUGLAS ELECTED MANAGER AEGON USA INVESTMENT MANAGEMENT, LLC 06/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
JANUS CAPITAL MANAGEMENT LLC PRESIDENT, CHIEF INVESTMENT OFFICER direct 2004-04-01
JANUS CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER direct 2004-04-01
JANUS CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2006-01-01
JANUS CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER direct 2006-01-01
CALAMOS ADVISORS LLC EVP, GLOBAL CO-CIO, CIO ALTERNATIVE STRATEGIES direct 2012-08-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2016-06-01
AEGON USA INVESTMENT MANAGEMENT, LLC PRESIDENT AND INTERIM HEAD OF DISTRIBUTION direct 2016-06-01
AEGON USA INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2016-06-01
BAY ISLE FINANCIAL LLC PRESIDENT direct 2005-03-01
PERKINS, WOLF, MCDONNELL AND COMPANY, LLC MANAGER direct 2004-08-01
CALAMOS WEALTH MANAGEMENT LLC EVP, GLOBAL CO-CIO direct 2012-09-01
GRAIL ADVISORS LLC MEMBER direct 2009-11-01
BLACK CAPITAL, LLC MANAGING MEMBER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2009-10-01
BLACK CAPITAL, LLC MANAGING MEMBER (BLACK CAPITAL GROUP LLC) direct 2009-10-01
BLACK CAPITAL, LLC CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2009-10-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2016-06-01
AEGON USA REALTY ADVISORS, LLC PRESIDENT direct 2016-06-01
COUGHLAN, MARTIN, GERARD ELECTED MANAGER AEGON USA INVESTMENT MANAGEMENT, LLC 05/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
AEGON USA INVESTMENT MANAGEMENT, LLC HEAD OF DISTRIBUTION direct 2016-10-01
AEGON USA INVESTMENT MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT AND HEAD OF DISTRIBUTION direct 2016-10-01
AEGON USA INVESTMENT MANAGEMENT, LLC ELECTED MANAGER indirect 2017-05-01
AEGON USA REALTY ADVISORS, LLC AAM EXECUTIVE COMMITTEE MEMBER direct 2016-10-01
AEGON USA REALTY ADVISORS, LLC ELECTED MANAGER indirect 2017-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
AEGON AM FUNDS, LLC - AEGON HIGH YIELD FUND United States 805-5073178866 Other Private Fund LONG ONLY, NO PERFORMANCE FEE 48,468,717 1,000,000
ZERO BETA FUND, LLC United States 805-3374116110 Hedge Fund 1,174,292,158 0 Fund of Funds
CEDAR FUNDING V CLO, LLC Cayman Islands 805-3073254609 Securitized Asset Fund 403,076,109 1,000,000
CEDAR FUNDING IV CLO, LTD Cayman Islands 805-9532435547 Securitized Asset Fund 582,286,995 1,000,000
AEGON MANAGED ENHANCED CASH, LLC United States 805-5435422751 Liquidity Fund 3,166,659,672 0
CEDAR FUNDING VI CLO, LTD Cayman Islands 805-5242831980 Securitized Asset Fund 503,211,100 1,000,000
CEDAR FUNDING II CLO, LTD Cayman Islands 805-3456279996 Securitized Asset Fund 350,832,875 1,000,000
PFL CORPORATE ACCOUNT ONE United States 805-7595651830 Other Private Fund INSURANCE COMPANY SEPARATE ACCOUNT 1,800,569,420 1,000,000
CEDAR FUNDING III CLO, LTD Cayman Islands 805-1491031158 Securitized Asset Fund 1,501,027 1,000,000
CEDAR FUNDING VIII CLO, LTD Cayman Islands 805-4552774660 Securitized Asset Fund 592,109,603 1,000,000

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