CLEARBRIDGE INVESTMENTS, LLC

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Clearbridge Investments is based out of New York. Clearbridge Investments is a hedge fund with 122842 clients and discretionary assets under management (AUM) of $100,430,390,856 (Form ADV from 2019-09-01). Their last reported 13F filing for Q3 2020 included $116,331,328,000 in managed 13F securities and a top 10 holdings concentration of 26.22%. Clearbridge Investments's largest holding is Amazon.com Inc. with shares held of 1,425,483. Whalewisdom has at least 61 13F filings, 3 13D filings, and 756 13G filings

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09/30/2020

13F Activity

  • Market Value $116.331 Billion
  • Prior Market Value $110.761 Billion
  • New Purchases75 stocks
  • Additional Purchases226 stocks
  • Sold out of270 stocks
  • Reduced holdings in411 stocks
  • Top 10 Holdings % 26.22 %
  • Turnover % [1]:44.34%
  • Turnover Alt % [2]: 2.76 %
  • Time Held Top20:15.75 quarters
  • Time Held Top10:12.70 quarters
  • Time Held All:24.35 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.

09/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-11-16

Performance for Q3 2020: 4.76%
Performance Last 4 Quarters: 16.72%
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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*Shares are split adjusted
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
FRANKLIN RESOURCES INC

View Last Form Adv Compilation Report on Record

CLEARBRIDGE INVESTMENTS, LLC
620 8TH AVENUE
NEW YORK NY    10018
Country: United States

Business Phone: 212-805-2000
Fax: 877-638-5508
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 206
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 60,248,000
Total Number of Clients: 122842
Amount of client funds and securities by related persons: 35,603,700
Total Number of clients from related persons: 3
Disclosures: 11.C (2),11.C (4),11.C (5)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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CLEARBRIDGE INVESTMENTS, LLC

ownership team - last updated 2020-08-13
Name Title Start Date Direct/Indirect % Ownership
MANNING, BARBARA, BROOKE CHIEF COMPLIANCE OFFICER 02/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
TIMCO ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-02-01
CAM NORTH AMERICA, LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CITI FUND MANAGEMENT INC. CHIEF COMPLIANCE OFFICER direct 2006-02-01
CLEARBRIDGE INVESTMENTS, LLC GENERAL COUNSEL direct 2008-07-01
CLEARBRIDGE ASSET MANAGEMENT INC GENERAL COUNSEL direct 2008-07-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2010-06-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2010-09-01
LEGG MASON CAPITAL MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2013-06-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC FIRST VP, CHIEF COMPLIANCE OFFICER direct 1999-06-01 2001-07-19
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD SENIOR VICE PRESIDENT, DIRECTOR, & CHIEF COMPLIANCE OFFICER direct 1999-06-01 2004-08-25
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC SENIOR VICE PRESIDENT, DIRECTOR, CHIEF COMPLIANCE OFFICER direct 1999-06-01 2005-01-13
LEGG MASON GLOBAL ASSET ALLOCATION, LLC CHIEF COMPLIANCE OFFICER direct 2006-10-01 2007-04-26
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2006-10-01 2007-05-03
CLEARBRIDGE ADVISORS, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2006-02-01 2009-01-08
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2010-06-01 2011-04-01
COHEN, HARRY, DAVID CO-CHIEF INVESTMENT OFFICER 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CITIGROUP GLOBAL MARKETS INC. INTERIM CHIEF INVESTMENT OFFICER, U.S. RETAIL & HIGH NET WORTH - CITIGROUP ASSET MGMT. direct 2004-02-01
CITIGROUP GLOBAL MARKETS INC. CHIEF INVESTMENT OFFICER, U.S. RETAIL & HIGH NET WORTH - CITIGROUP ASSET MGMT. direct 2004-12-01
SALOMON BROTHERS ASSET MANAGEMENT INC CO-CHIEF INVESTMENT OFFICER direct 2006-03-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF INVESTMENT OFFICER direct 2008-03-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2004-02-01
TRAVELERS INVESTMENT ADVISER,INC. CHIEF INVESTMENT OFFICER direct 2004-02-01
CITI FUND MANAGEMENT INC. CHIEF INVESTMENT OFFICER direct 2004-02-01
CLEARBRIDGE, LLC CO-CHIEF INVESTMENT OFFICER direct 2013-06-01
CAM NORTH AMERICA, LLC CHIEF INVESTMENT OFFICER - U.S. RETAIL AND HIGH NET WORTH direct 2005-08-01
CAM NORTH AMERICA, LLC CO-CHIEF INVESTMENT OFFICER direct 2006-03-01
CLEARBRIDGE ADVISORS, LLC CHIEF INVESTMENT OFFICER direct 2008-03-01
CLEARBRIDGE INVESTMENTS, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
MANNING, BARBARA, BROOKE GENERAL COUNSEL 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
TIMCO ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-02-01
CAM NORTH AMERICA, LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CITI FUND MANAGEMENT INC. CHIEF COMPLIANCE OFFICER direct 2006-02-01
CLEARBRIDGE INVESTMENTS, LLC GENERAL COUNSEL direct 2008-07-01
CLEARBRIDGE ASSET MANAGEMENT INC GENERAL COUNSEL direct 2008-07-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2010-06-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2010-09-01
LEGG MASON CAPITAL MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2013-06-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC FIRST VP, CHIEF COMPLIANCE OFFICER direct 1999-06-01 2001-07-19
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD SENIOR VICE PRESIDENT, DIRECTOR, & CHIEF COMPLIANCE OFFICER direct 1999-06-01 2004-08-25
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC SENIOR VICE PRESIDENT, DIRECTOR, CHIEF COMPLIANCE OFFICER direct 1999-06-01 2005-01-13
LEGG MASON GLOBAL ASSET ALLOCATION, LLC CHIEF COMPLIANCE OFFICER direct 2006-10-01 2007-04-26
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2006-10-01 2007-05-03
CLEARBRIDGE ADVISORS, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2006-02-01 2009-01-08
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2010-06-01 2011-04-01
MURPHY, TERRENCE, JAMES PRESIDENT 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SALOMON BROTHERS ASSET MANAGEMENT INC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 2008-01-01
CLEARBRIDGE ASSET MANAGEMENT INC DIRECTOR direct 2011-03-01
CLEARBRIDGE ASSET MANAGEMENT INC PRESIDENT direct 2011-03-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-07-01
CITI FUND MANAGEMENT INC. CHIEF FINANCIAL OFFICER direct 2005-07-01
CLEARBRIDGE, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF OPERATING OFFICER AND MANAGER direct 2013-06-01
CAM NORTH AMERICA, LLC CHIEF FINANCIAL OFFICER direct 2005-08-01
CLEARBRIDGE ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2005-11-01
CAM NORTH AMERICA, LLC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ADVISORS, LLC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF OPERATING OFFICER direct 2008-03-01
CLEARBRIDGE ADVISORS, LLC PRESIDENT direct 2011-03-01
CLEARBRIDGE ADVISORS, LLC DIRECTOR direct 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-12-01
LEGG MASON PARTNERS FUND ADVISOR, LLC CHIEF FINANCIAL OFFICER direct 2006-04-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2010-09-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC DIRECTOR direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2011-03-01
MURPHY, TERRENCE, JAMES DIRECTOR 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SALOMON BROTHERS ASSET MANAGEMENT INC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 2008-01-01
CLEARBRIDGE ASSET MANAGEMENT INC DIRECTOR direct 2011-03-01
CLEARBRIDGE ASSET MANAGEMENT INC PRESIDENT direct 2011-03-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-07-01
CITI FUND MANAGEMENT INC. CHIEF FINANCIAL OFFICER direct 2005-07-01
CLEARBRIDGE, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF OPERATING OFFICER AND MANAGER direct 2013-06-01
CAM NORTH AMERICA, LLC CHIEF FINANCIAL OFFICER direct 2005-08-01
CLEARBRIDGE ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2005-11-01
CAM NORTH AMERICA, LLC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ADVISORS, LLC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF OPERATING OFFICER direct 2008-03-01
CLEARBRIDGE ADVISORS, LLC PRESIDENT direct 2011-03-01
CLEARBRIDGE ADVISORS, LLC DIRECTOR direct 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-12-01
LEGG MASON PARTNERS FUND ADVISOR, LLC CHIEF FINANCIAL OFFICER direct 2006-04-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2010-09-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC DIRECTOR direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2011-03-01
LIST, CYNTHIA, KAREN CHIEF FINANCIAL OFFICER 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE, LLC CHIEF FINANCIAL OFFICER direct 2013-06-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
GLASSER, SCOTT, KEITH CO-CHIEF INVESTMENT OFFICER 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE, LLC CO-CHIEF INVESTMENT OFFICER direct 2013-06-01
CLEARBRIDGE INVESTMENTS, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
MURPHY, TERRENCE, JAMES CHIEF EXECUTIVE OFFICER 12/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
SALOMON BROTHERS ASSET MANAGEMENT INC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 2008-01-01
CLEARBRIDGE ASSET MANAGEMENT INC DIRECTOR direct 2011-03-01
CLEARBRIDGE ASSET MANAGEMENT INC PRESIDENT direct 2011-03-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-07-01
CITI FUND MANAGEMENT INC. CHIEF FINANCIAL OFFICER direct 2005-07-01
CLEARBRIDGE, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF OPERATING OFFICER AND MANAGER direct 2013-06-01
CAM NORTH AMERICA, LLC CHIEF FINANCIAL OFFICER direct 2005-08-01
CLEARBRIDGE ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2005-11-01
CAM NORTH AMERICA, LLC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ADVISORS, LLC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF OPERATING OFFICER direct 2008-03-01
CLEARBRIDGE ADVISORS, LLC PRESIDENT direct 2011-03-01
CLEARBRIDGE ADVISORS, LLC DIRECTOR direct 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-12-01
LEGG MASON PARTNERS FUND ADVISOR, LLC CHIEF FINANCIAL OFFICER direct 2006-04-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2010-09-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC DIRECTOR direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2011-03-01
LEGG MASON CLEARBRIDGE HOLDINGS, LLC MANAGING MEMBER 03/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
CLEARBRIDGE INVESTMENTS, LLC MANAGING MEMBER direct 2014-03-01
GLASSER, SCOTT, KEITH DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE, LLC CO-CHIEF INVESTMENT OFFICER direct 2013-06-01
CLEARBRIDGE INVESTMENTS, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
LIST, CYNTHIA, KAREN DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE, LLC CHIEF FINANCIAL OFFICER direct 2013-06-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
HALLER, JOHN, RANDOLPH CHIEF OPERATING OFFICER 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE INVESTMENTS, LLC CHIEF OPERATING OFFICER direct 2018-08-01
JOHNSON, JENNIFER, MORROW DIRECTOR 07/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
TEMPLETON GLOBAL ADVISORS LIMITED DIRECTOR direct 2006-12-01
PLAFKER, JED, ANDREW DIRECTOR 07/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
FRANKLIN TEMPLETON ALTERNATIVE STRATEGIES, INC. EXECUTIVE VICE PRESIDENT direct 2003-03-01
FRANKLIN TEMPLETON INVESTIMENTOS (BRASIL) LTDA. MEMBER OF THE CONSULTING BOARD direct 2006-07-01
FRANKLIN TEMPLETON INSTITUTIONAL, LLC EXECUTIVE VICE PRESIDENT direct 2009-04-01
FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED DIRECTOR direct 2009-10-01
TEMPLETON ASSET MANAGEMENT LTD. DIRECTOR direct 2009-11-01
FRANKLIN TEMPLETON ASSET STRATEGIES, LLC DIRECTOR-INTERNATIONAL direct 2002-08-01 2003-01-10
FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED DIRECTOR direct 2001-08-01 2004-11-19
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED DIRECTOR direct 2003-04-01 2007-03-30
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED DIRECTOR AND JOINT CEO direct 2003-04-01 2008-10-16
FRANKLIN TEMPLETON PORTFOLIO ADVISORS, INC. DIRECTOR direct 2009-04-01 2010-12-23
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED DIRECTOR direct 2008-09-01 2012-08-08
FRANKLIN TEMPLETON ASSET MANAGEMENT (INDIA) PRIVATE LIMITED ALTERNATE DIRECTOR TO MARK MOBIUS direct 2008-10-01 2014-04-09
SHANEYFELT, GWEN, LOUISE DIRECTOR 07/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN STANLEY HEDGE FUND PARTNERS GP LP VICE PRESIDENT direct 2003-04-01
MORGAN STANLEY HEDGE FUND PARTNERS LP VICE PRESIDENT direct 2003-04-01
NICHOLLS, MATTHEW DIRECTOR 07/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
FRANKLIN ADVISERS, INC. CHIEF FINANCIAL OFFICER direct 2019-07-01
FRANKLIN RESOURCES, INC. SOLE SHAREHOLDER OF LEGG MASON, INC. LEGG MASON, INC. 07/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FRANKLIN TEMPLETON PORTFOLIO ADVISORS, INC. STOCKHOLDER direct 1978-03-01
FRANKLIN ADVISERS, INC. SHAREHOLDER direct 1978-03-01
TEMPLETON GLOBAL ADVISORS LIMITED PARENT CORPORATION indirect 1992-10-01
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LTD. PARENT CORPORATION indirect 1992-10-01
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC. SHAREHOLDER indirect 1992-10-01
HOLOWESKO PARTNERS LTD. PARENT indirect 1992-10-01
FRANKLIN TEMPLETON INVESTMENTS (ME) LIMITED PARENT CORPORATION OF TEMPLETON WORLDWIDE, INC. indirect 1992-10-01
TEMPLETON ASSET MANAGEMENT LTD. SHAREHOLDER indirect 1992-10-01
FRANKLIN TEMPLETON INVESTMENTS CORP. SHAREHOLDER indirect 1992-10-01
FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED SHAREHOLDER indirect 1993-03-01
FRANKLIN TEMPLETON ASSET MANAGEMENT (INDIA) PRIVATE LIMITED PARENT CORPORATION OF TEMPLETON WORLDWIDE, INC. indirect 1995-10-01
FRANKLIN TEMPLETON INVESTMENTS JAPAN LTD. PARENT CORPORATION OF TWI indirect 1996-09-01
FRANKLIN TEMPLETON INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER indirect 1997-01-01
FRANKLIN TEMPLETON ALTERNATIVE STRATEGIES, LLC PARENT CORPORATION OF TWI: 100% indirect 1999-04-01
FRANKLIN ADVISORY SERVICES, LLC PARENT CORPORATION OF FTDI: 100% indirect 1999-04-01
FRANKLIN MUTUAL ADVISERS, LLC PARENT CORPORATION OF FTDI: 100% indirect 1999-04-01
TEMPLETON INVESTMENT COUNSEL, LLC PARENT CORPORATION OF TWI:100% indirect 2001-01-01
FIDUCIARY TRUST INTERNATIONAL LTD SHAREHOLDER indirect 2001-04-01
FIDUCIARY INVESTMENT MGMT INTL INC SHAREHOLDER indirect 2001-04-01
FIDUCIARY INTERNATIONAL INC SHAREHOLDER indirect 2001-04-01
FRANKLIN TEMPLETON INVESTIMENTOS (BRASIL) LTDA. PARENT CORPORATION OF TWI indirect 2001-07-01
FT ALPHAPARITY, LLC MEMBER indirect 2001-10-01
DARBY OVERSEAS PARTNERS, LP SHAREHOLDER indirect 2003-07-01
FRANKLIN INVESTMENT ADVISORY SERVICES, INC. PARENT CORPORATION OF FTDI indirect 2004-09-01
K2/D&S MANAGEMENT CO., L.L.C. PARENT ORGANIZATION: 100% indirect 2012-10-01
K2 ADVISORS, L.L.C. PARENT ORGANIZATION: 100% indirect 2012-10-01
FRANKLIN TEMPLETON INSTITUTIONAL, LLC MEMBER direct 2012-10-01
FRANKLIN ADVISERS, INC. STOCKHOLDER direct 1978-03-01 2000-11-11
TEMPLETON ASSET MANAGEMENT LTD. PARENT CORPORATION OF TWI:100% indirect 1999-04-01 2001-08-17
FRANKLIN INVESTMENT ADVISORY SERVICES, INC. PARENT CORPORATION direct 1996-05-01 2004-06-25
FRANKLIN MANAGEMENT, INC. STOCKHOLDER direct 1992-10-01 2004-12-17
FRANKLIN TEMPLETON ASSET STRATEGIES, LLC PARENT CORPORATION OF TWI: 100% indirect 2003-05-01 2004-12-18
FRANKLIN TEMPLETON ASSET MANAGEMENT (INDIA) PRIVATE LIMITED PARENT CORPORATION OF TWI - 100% indirect 1995-10-01 2008-09-25
FRANKLIN TEMPLETON ASSET MANAGEMENT (INDIA) PRIVATE LIMITED PARENT CORPORATION OF TWI indirect 1995-10-01 2011-12-23
FRANKLIN TEMPLETON INVESTMENT TRUST MANAGEMENT CO., LTD. PARENT CORPORATION OF TWI indirect 1997-01-01 2012-06-28
FTI INSTITUTIONAL, LLC PARENT CORPORATION OF FTDI: 100% indirect 2001-10-01 2012-06-29
PELAGOS CAPITAL MANAGEMENT, LLC PARENT CORPORATION OF FTDI: 100% indirect 2001-10-01 2013-03-22
FRANKLIN ADVISORY SERVICES, LLC PARENT CORPORATION OF FTDI: 100% indirect 1999-04-01 2015-03-17
FRANKLIN MUTUAL ADVISERS, LLC PARENT CORPORATION OF FTDI: 100% indirect 1999-04-01 2015-04-08
FRANKLIN TEMPLETON INVESTMENT TRUST MANAGEMENT CO., LTD. PARENT CORPORATION OF TWI indirect 1997-01-01 2015-04-09
FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED PARENT CORPORATION OF TWI: 100% indirect 1993-03-01 2015-04-23
FRANKLIN TEMPLETON INVESTMENT TRUST MANAGEMENT CO., LTD. PARENT CORPORATION OF TWW indirect 1997-01-01 2016-06-22
FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED PARENT CORPORATION OF TWW: 100% indirect 1993-03-01 2016-12-23
FRANKLIN TEMPLETON INSTITUTIONAL, LLC PARENT CORPORATION OF REGISTRANT: 100% direct 2012-10-01 2016-12-23
FRANKLIN TEMPLETON INVESTMENTS CORP. PARENT CORPORATION OF TWI: 100% indirect 1992-10-01 2017-03-02
FRANKLIN ADVISERS, INC. PARENT CORPORATION OF REGISTRANT: 100% direct 1978-03-01 2017-03-09
PELAGOS CAPITAL MANAGEMENT, LLC PARENT CORPORATION OF FTILLC: 100% indirect 2001-10-01 2017-03-28
TEMPLETON ASSET MANAGEMENT LTD. PARENT CORPORATION OF TWI:100% indirect 1992-10-01 2017-04-21
LEGG MASON, INC. SOLE MEMBER LEGG MASON CLEARBRIDGE HOLDINGS, LLC 03/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
LEGG MASON FUND ADVISER INC SOLE SHAREHOLDER direct 1982-01-01
CLEARBRIDGE, LLC SOLE MEMBER direct 1982-10-01
WESTERN ASSET MANAGEMENT COMPANY SOLE SHAREHOLDER OF APPLICANT direct 1986-12-01
LM FINANCIAL PARTNERS, INC. STOCKHOLDER direct 1992-10-01
GRAY SEIFERT & CO INC SOLE SHAREHOLDER direct 1994-04-01
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC. SHAREHOLDER direct 1994-09-01
BARTLETT & CO SOLE SHAREHOLDER direct 1996-01-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 1996-02-01
LM INSTITUTIONAL ADVISORS INC SOLE SHAREHOLDER direct 1998-02-01
LEGG MASON INVESTMENT COUNSEL & TRUST COMPANY, N.A. SOLE OWNER direct 1999-05-01
BINGHAM LEGG ADVISERS LLC OWNER direct 1999-09-01
LEGG MASON FUNDS MANAGEMENT INC. SOLE SHAREHOLDER direct 2000-06-01
LEGG MASON FOCUS CAPITAL, INC. SOLE SHAREHOLDER direct 2001-05-01
PRIVATE CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER / SOLE MEMBER indirect 2001-08-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 2005-03-01
LEGG MASON INTERNATIONAL EQUITIES (SINGAPORE) PTE. LIMITED SOLE STOCKHOLDER indirect 2005-05-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-12-01
WESTERN ASSET MANAGEMENT COMPANY LTD SOLE SHAREHOLDER OF APPLICANT direct 2005-12-01
TIMCO ASSET MANAGEMENT, INC. SOLE SHAREHOLDER direct 2005-12-01
MASTHOLM ASSET MANAGEMENT LLC SOLE SHAREHOLDER OF SALOMON ASSET MANAGEMENT indirect 2005-12-01
LEGG MASON INTERNATIONAL EQUITIES LIMITED 100% SHAREHOLDER indirect 2005-12-01
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE STOCKHOLDER direct 2005-12-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC SOLE MEMBER direct 2006-10-01
LEGG MASON GLOBAL ASSET ALLOCATION, LLC SOLE MEMBER direct 2006-10-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC SOLE MEMBER direct 2007-11-01
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2011-03-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED SOLE STOCKHOLDER indirect 2011-03-01
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC SOLE MEMBER indirect 2014-03-01
QS INVESTORS, LLC SOLE MEMBER indirect 2014-05-01
MARTIN CURRIE INC INDIRECT SHAREHOLDER indirect 2014-10-01
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED INDIRECT OWNER indirect 2014-10-01
RARE INFRASTRUCTURE (NORTH AMERICA) PTY LTD SHAREHOLDER indirect 2015-10-01
ROYCE & ASSOCIATES, LP SOLE MEMBER indirect 2016-03-01
CLARION PARTNERS, LLC MEMBER indirect 2016-04-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
FINANCIAL GUARD, LLC MAJORITY MEMBER direct 2016-08-01
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER OF LM HOLDINGS LIMITED direct 1996-02-01 2001-04-26
ROYCE & ASSOCIATES, INC. SOLE MEMBER indirect 2001-10-01 2002-02-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2001-02-01 2002-06-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2002-06-01 2004-09-29
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER direct 2004-10-01 2004-11-09
LEGG MASON REAL ESTATE SERVICES INC SOLE SHAREHOLDER OF APPLICANT direct 1990-10-01 2005-06-30
LEGG MASON WOOD WALKER, INCORPORATED STOCKHOLDER direct 1981-03-01 2005-11-18
LEGG MASON INVESTMENT COUNSEL, LLC SOLE MEMBER direct 2004-10-01 2005-12-02
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE MEMBER direct 2005-12-01 2006-01-09
TIMCO ASSET MANAGEMENT, INC. SOLE MEMBER direct 2005-12-01 2006-01-11
CITIGROUP ASSET MANAGEMENT LIMITED 100% SHAREHOLDER indirect 2005-12-01 2006-02-23
BERKSHIRE ASSET MANAGEMENT INC SOLE SHAREHOLDER direct 1999-09-01 2007-06-21
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER indirect 1996-02-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SHAREHOLDER indirect 2005-12-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-03-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DTVM LIMITADA JOINT SHAREHOLDER indirect 2008-01-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2010-07-27
LEGG MASON CAPITAL MANAGEMENT INC SOLE SHAREHOLDER direct 1982-10-01 2011-01-18
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2005-05-01 2011-01-19
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2011-03-31
PRIVATE CAPITAL MANAGEMENT, LP SOLE SHAREHOLDER/SOLE MEMBER indirect 2001-08-01 2013-06-17
CLEARBRIDGE ADVISORS, LLC SOLE MEMBER direct 2005-12-01 2013-07-19
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-09-30
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-10-27
QS INVESTORS, LLC SOLE MEMBER direct 2014-05-01 2015-06-17
ROYCE & ASSOCIATES, LLC SOLE MEMBER direct 2001-10-01 2015-06-24
LMM LLC MEMBER direct 1999-10-01 2016-03-29

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CIT - INTERNATIONAL GROWTH United States 805-3842910101 Other Private Fund TRUST 22,528,384 1,000,000
CLEARBRIDGE CDIP FEEDER FUND, LP United States 805-8585367928 Hedge Fund 34,106,881 0 Fund of Funds
CLEARBRIDGE SELECT, LP United States 805-8702508110 Hedge Fund 5,622,316 1,000,000
CLEARBRIDGE GLOBAL HEALTHCARE INNOVATIONS, LP United States 805-3066742556 Hedge Fund 3,188,944 1,000,000
CIT - INT'L SMALL CAP OPPORTUNITY United States 805-2571875180 Other Private Fund TRUST 2,115,931 1,000,000

CLEARBRIDGE INVESTMENTS, LLC

ownership team - last updated 2020-06-26
Name Title Start Date Direct/Indirect % Ownership
MANNING, BARBARA, BROOKE CHIEF COMPLIANCE OFFICER 02/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
TIMCO ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-02-01
CAM NORTH AMERICA, LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CITI FUND MANAGEMENT INC. CHIEF COMPLIANCE OFFICER direct 2006-02-01
CLEARBRIDGE INVESTMENTS, LLC GENERAL COUNSEL direct 2008-07-01
CLEARBRIDGE ASSET MANAGEMENT INC GENERAL COUNSEL direct 2008-07-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2010-06-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2010-09-01
LEGG MASON CAPITAL MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2013-06-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC FIRST VP, CHIEF COMPLIANCE OFFICER direct 1999-06-01 2001-07-19
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD SENIOR VICE PRESIDENT, DIRECTOR, & CHIEF COMPLIANCE OFFICER direct 1999-06-01 2004-08-25
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC SENIOR VICE PRESIDENT, DIRECTOR, CHIEF COMPLIANCE OFFICER direct 1999-06-01 2005-01-13
LEGG MASON GLOBAL ASSET ALLOCATION, LLC CHIEF COMPLIANCE OFFICER direct 2006-10-01 2007-04-26
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2006-10-01 2007-05-03
CLEARBRIDGE ADVISORS, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2006-02-01 2009-01-08
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2010-06-01 2011-04-01
COHEN, HARRY, DAVID CO-CHIEF INVESTMENT OFFICER 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CITIGROUP GLOBAL MARKETS INC. INTERIM CHIEF INVESTMENT OFFICER, U.S. RETAIL & HIGH NET WORTH - CITIGROUP ASSET MGMT. direct 2004-02-01
CITIGROUP GLOBAL MARKETS INC. CHIEF INVESTMENT OFFICER, U.S. RETAIL & HIGH NET WORTH - CITIGROUP ASSET MGMT. direct 2004-12-01
SALOMON BROTHERS ASSET MANAGEMENT INC CO-CHIEF INVESTMENT OFFICER direct 2006-03-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF INVESTMENT OFFICER direct 2008-03-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2004-02-01
TRAVELERS INVESTMENT ADVISER,INC. CHIEF INVESTMENT OFFICER direct 2004-02-01
CITI FUND MANAGEMENT INC. CHIEF INVESTMENT OFFICER direct 2004-02-01
CLEARBRIDGE, LLC CO-CHIEF INVESTMENT OFFICER direct 2013-06-01
CAM NORTH AMERICA, LLC CHIEF INVESTMENT OFFICER - U.S. RETAIL AND HIGH NET WORTH direct 2005-08-01
CAM NORTH AMERICA, LLC CO-CHIEF INVESTMENT OFFICER direct 2006-03-01
CLEARBRIDGE ADVISORS, LLC CHIEF INVESTMENT OFFICER direct 2008-03-01
CLEARBRIDGE INVESTMENTS, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
MANNING, BARBARA, BROOKE GENERAL COUNSEL 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
TIMCO ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-02-01
CAM NORTH AMERICA, LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CITI FUND MANAGEMENT INC. CHIEF COMPLIANCE OFFICER direct 2006-02-01
CLEARBRIDGE INVESTMENTS, LLC GENERAL COUNSEL direct 2008-07-01
CLEARBRIDGE ASSET MANAGEMENT INC GENERAL COUNSEL direct 2008-07-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2010-06-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2010-09-01
LEGG MASON CAPITAL MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2013-06-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC FIRST VP, CHIEF COMPLIANCE OFFICER direct 1999-06-01 2001-07-19
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD SENIOR VICE PRESIDENT, DIRECTOR, & CHIEF COMPLIANCE OFFICER direct 1999-06-01 2004-08-25
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC SENIOR VICE PRESIDENT, DIRECTOR, CHIEF COMPLIANCE OFFICER direct 1999-06-01 2005-01-13
LEGG MASON GLOBAL ASSET ALLOCATION, LLC CHIEF COMPLIANCE OFFICER direct 2006-10-01 2007-04-26
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2006-10-01 2007-05-03
CLEARBRIDGE ADVISORS, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2006-02-01 2009-01-08
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2010-06-01 2011-04-01
MURPHY, TERRENCE, JAMES PRESIDENT 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SALOMON BROTHERS ASSET MANAGEMENT INC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 2008-01-01
CLEARBRIDGE ASSET MANAGEMENT INC DIRECTOR direct 2011-03-01
CLEARBRIDGE ASSET MANAGEMENT INC PRESIDENT direct 2011-03-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-07-01
CITI FUND MANAGEMENT INC. CHIEF FINANCIAL OFFICER direct 2005-07-01
CLEARBRIDGE, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF OPERATING OFFICER AND MANAGER direct 2013-06-01
CAM NORTH AMERICA, LLC CHIEF FINANCIAL OFFICER direct 2005-08-01
CLEARBRIDGE ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2005-11-01
CAM NORTH AMERICA, LLC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ADVISORS, LLC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF OPERATING OFFICER direct 2008-03-01
CLEARBRIDGE ADVISORS, LLC PRESIDENT direct 2011-03-01
CLEARBRIDGE ADVISORS, LLC DIRECTOR direct 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-12-01
LEGG MASON PARTNERS FUND ADVISOR, LLC CHIEF FINANCIAL OFFICER direct 2006-04-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2010-09-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC DIRECTOR direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2011-03-01
MURPHY, TERRENCE, JAMES DIRECTOR 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SALOMON BROTHERS ASSET MANAGEMENT INC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 2008-01-01
CLEARBRIDGE ASSET MANAGEMENT INC DIRECTOR direct 2011-03-01
CLEARBRIDGE ASSET MANAGEMENT INC PRESIDENT direct 2011-03-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-07-01
CITI FUND MANAGEMENT INC. CHIEF FINANCIAL OFFICER direct 2005-07-01
CLEARBRIDGE, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF OPERATING OFFICER AND MANAGER direct 2013-06-01
CAM NORTH AMERICA, LLC CHIEF FINANCIAL OFFICER direct 2005-08-01
CLEARBRIDGE ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2005-11-01
CAM NORTH AMERICA, LLC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ADVISORS, LLC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF OPERATING OFFICER direct 2008-03-01
CLEARBRIDGE ADVISORS, LLC PRESIDENT direct 2011-03-01
CLEARBRIDGE ADVISORS, LLC DIRECTOR direct 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-12-01
LEGG MASON PARTNERS FUND ADVISOR, LLC CHIEF FINANCIAL OFFICER direct 2006-04-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2010-09-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC DIRECTOR direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2011-03-01
LIST, CYNTHIA, KAREN CHIEF FINANCIAL OFFICER 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE, LLC CHIEF FINANCIAL OFFICER direct 2013-06-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
GLASSER, SCOTT, KEITH CO-CHIEF INVESTMENT OFFICER 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE, LLC CO-CHIEF INVESTMENT OFFICER direct 2013-06-01
CLEARBRIDGE INVESTMENTS, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
MURPHY, TERRENCE, JAMES CHIEF EXECUTIVE OFFICER 12/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
SALOMON BROTHERS ASSET MANAGEMENT INC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 2008-01-01
CLEARBRIDGE ASSET MANAGEMENT INC DIRECTOR direct 2011-03-01
CLEARBRIDGE ASSET MANAGEMENT INC PRESIDENT direct 2011-03-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-07-01
CITI FUND MANAGEMENT INC. CHIEF FINANCIAL OFFICER direct 2005-07-01
CLEARBRIDGE, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF OPERATING OFFICER AND MANAGER direct 2013-06-01
CAM NORTH AMERICA, LLC CHIEF FINANCIAL OFFICER direct 2005-08-01
CLEARBRIDGE ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2005-11-01
CAM NORTH AMERICA, LLC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ADVISORS, LLC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF OPERATING OFFICER direct 2008-03-01
CLEARBRIDGE ADVISORS, LLC PRESIDENT direct 2011-03-01
CLEARBRIDGE ADVISORS, LLC DIRECTOR direct 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-12-01
LEGG MASON PARTNERS FUND ADVISOR, LLC CHIEF FINANCIAL OFFICER direct 2006-04-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2010-09-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC DIRECTOR direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2011-03-01
LEGG MASON CLEARBRIDGE HOLDINGS, LLC MANAGING MEMBER 03/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
CLEARBRIDGE INVESTMENTS, LLC MANAGING MEMBER direct 2014-03-01
EAKES, BRIAN, MATTHEW DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
GLASSER, SCOTT, KEITH DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE, LLC CO-CHIEF INVESTMENT OFFICER direct 2013-06-01
CLEARBRIDGE INVESTMENTS, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
LIST, CYNTHIA, KAREN DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE, LLC CHIEF FINANCIAL OFFICER direct 2013-06-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
HALLER, JOHN, RANDOLPH CHIEF OPERATING OFFICER 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE INVESTMENTS, LLC CHIEF OPERATING OFFICER direct 2018-08-01
TRUST, JANE, ELIZABETH DIRECTOR 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEGG MASON PARTNERS FUND ADVISOR, LLC SENIOR VICE PRESIDENT direct 2015-04-01
LEGG MASON PARTNERS FUND ADVISOR, LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2015-08-01
BOYDSTON, LAURA, ANDREA DIRECTOR 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY PTE LTD NON-EXECUTIVE DIRECTOR direct 2017-03-01
WESTERN ASSET MANAGEMENT COMPANY LTD NON-EXECUTIVE DIRECTOR direct 2016-12-01
JOHNSON, TERENCE, MATTHEW DIRECTOR 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
LEGG MASON, INC. SOLE MEMBER LEGG MASON CLEARBRIDGE HOLDINGS, LLC 03/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
LEGG MASON FUND ADVISER INC SOLE SHAREHOLDER direct 1982-01-01
CLEARBRIDGE, LLC SOLE MEMBER direct 1982-10-01
WESTERN ASSET MANAGEMENT COMPANY SOLE SHAREHOLDER OF APPLICANT direct 1986-12-01
LM FINANCIAL PARTNERS, INC. STOCKHOLDER direct 1992-10-01
GRAY SEIFERT & CO INC SOLE SHAREHOLDER direct 1994-04-01
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC. SHAREHOLDER direct 1994-09-01
BARTLETT & CO SOLE SHAREHOLDER direct 1996-01-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 1996-02-01
LM INSTITUTIONAL ADVISORS INC SOLE SHAREHOLDER direct 1998-02-01
LEGG MASON INVESTMENT COUNSEL & TRUST COMPANY, N.A. SOLE OWNER direct 1999-05-01
BINGHAM LEGG ADVISERS LLC OWNER direct 1999-09-01
LEGG MASON FUNDS MANAGEMENT INC. SOLE SHAREHOLDER direct 2000-06-01
LEGG MASON FOCUS CAPITAL, INC. SOLE SHAREHOLDER direct 2001-05-01
PRIVATE CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER / SOLE MEMBER indirect 2001-08-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 2005-03-01
LEGG MASON INTERNATIONAL EQUITIES (SINGAPORE) PTE. LIMITED SOLE STOCKHOLDER indirect 2005-05-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-12-01
WESTERN ASSET MANAGEMENT COMPANY LTD SOLE SHAREHOLDER OF APPLICANT direct 2005-12-01
TIMCO ASSET MANAGEMENT, INC. SOLE SHAREHOLDER direct 2005-12-01
MASTHOLM ASSET MANAGEMENT LLC SOLE SHAREHOLDER OF SALOMON ASSET MANAGEMENT indirect 2005-12-01
LEGG MASON INTERNATIONAL EQUITIES LIMITED 100% SHAREHOLDER indirect 2005-12-01
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE STOCKHOLDER direct 2005-12-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC SOLE MEMBER direct 2006-10-01
LEGG MASON GLOBAL ASSET ALLOCATION, LLC SOLE MEMBER direct 2006-10-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC SOLE MEMBER direct 2007-11-01
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2011-03-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED SOLE STOCKHOLDER indirect 2011-03-01
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC SOLE MEMBER indirect 2014-03-01
QS INVESTORS, LLC SOLE MEMBER indirect 2014-05-01
MARTIN CURRIE INC INDIRECT SHAREHOLDER indirect 2014-10-01
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED INDIRECT OWNER indirect 2014-10-01
RARE INFRASTRUCTURE (NORTH AMERICA) PTY LTD SHAREHOLDER indirect 2015-10-01
ROYCE & ASSOCIATES, LP SOLE MEMBER indirect 2016-03-01
CLARION PARTNERS, LLC MEMBER indirect 2016-04-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
FINANCIAL GUARD, LLC MAJORITY MEMBER direct 2016-08-01
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER OF LM HOLDINGS LIMITED direct 1996-02-01 2001-04-26
ROYCE & ASSOCIATES, INC. SOLE MEMBER indirect 2001-10-01 2002-02-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2001-02-01 2002-06-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2002-06-01 2004-09-29
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER direct 2004-10-01 2004-11-09
LEGG MASON REAL ESTATE SERVICES INC SOLE SHAREHOLDER OF APPLICANT direct 1990-10-01 2005-06-30
LEGG MASON WOOD WALKER, INCORPORATED STOCKHOLDER direct 1981-03-01 2005-11-18
LEGG MASON INVESTMENT COUNSEL, LLC SOLE MEMBER direct 2004-10-01 2005-12-02
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE MEMBER direct 2005-12-01 2006-01-09
TIMCO ASSET MANAGEMENT, INC. SOLE MEMBER direct 2005-12-01 2006-01-11
CITIGROUP ASSET MANAGEMENT LIMITED 100% SHAREHOLDER indirect 2005-12-01 2006-02-23
BERKSHIRE ASSET MANAGEMENT INC SOLE SHAREHOLDER direct 1999-09-01 2007-06-21
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER indirect 1996-02-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SHAREHOLDER indirect 2005-12-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-03-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DTVM LIMITADA JOINT SHAREHOLDER indirect 2008-01-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2010-07-27
LEGG MASON CAPITAL MANAGEMENT INC SOLE SHAREHOLDER direct 1982-10-01 2011-01-18
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2005-05-01 2011-01-19
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2011-03-31
PRIVATE CAPITAL MANAGEMENT, LP SOLE SHAREHOLDER/SOLE MEMBER indirect 2001-08-01 2013-06-17
CLEARBRIDGE ADVISORS, LLC SOLE MEMBER direct 2005-12-01 2013-07-19
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-09-30
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-10-27
QS INVESTORS, LLC SOLE MEMBER direct 2014-05-01 2015-06-17
ROYCE & ASSOCIATES, LLC SOLE MEMBER direct 2001-10-01 2015-06-24
LMM LLC MEMBER direct 1999-10-01 2016-03-29

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CIT - INTERNATIONAL GROWTH United States 805-3842910101 Other Private Fund TRUST 22,528,384 1,000,000
CLEARBRIDGE CDIP FEEDER FUND, LP United States 805-8585367928 Hedge Fund 34,106,881 0 Fund of Funds
CLEARBRIDGE SELECT, LP United States 805-8702508110 Hedge Fund 5,622,316 1,000,000
CLEARBRIDGE GLOBAL HEALTHCARE INNOVATIONS, LP United States 805-3066742556 Hedge Fund 3,188,944 1,000,000
CIT - INT'L SMALL CAP OPPORTUNITY United States 805-2571875180 Other Private Fund TRUST 2,115,931 1,000,000

CLEARBRIDGE INVESTMENTS, LLC

ownership team - last updated 2020-01-07
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CIT - INTERNATIONAL GROWTH United States 805-3842910101 Other Private Fund TRUST 22,625,667 1,000,000
CLEARBRIDGE CDIP FEEDER FUND, LP United States 805-8585367928 Hedge Fund 36,705,862 0 Fund of Funds
CLEARBRIDGE SELECT, LP United States 805-8702508110 Hedge Fund 7,574,323 1,000,000
CLEARBRIDGE GLOBAL HEALTHCARE INNOVATIONS, LP United States 805-3066742556 Hedge Fund 3,799,455 1,000,000
CIT - INT'L SMALL CAP OPPORTUNITY United States 805-2571875180 Other Private Fund TRUST 2,272,439 1,000,000
CLEARBRIDGE GROUP TRUST United States 805-1821799580 Other Private Fund TRUST FOR ERISA PLAN 31,798,143 1,000,000

CLEARBRIDGE INVESTMENTS, LLC

ownership team - last updated 2019-06-27
Name Title Start Date Direct/Indirect % Ownership
MANNING, BARBARA, BROOKE CHIEF COMPLIANCE OFFICER 02/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
TIMCO ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-02-01
CAM NORTH AMERICA, LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CITI FUND MANAGEMENT INC. CHIEF COMPLIANCE OFFICER direct 2006-02-01
CLEARBRIDGE INVESTMENTS, LLC GENERAL COUNSEL direct 2008-07-01
CLEARBRIDGE ASSET MANAGEMENT INC GENERAL COUNSEL direct 2008-07-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2010-06-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2010-09-01
LEGG MASON CAPITAL MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2013-06-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC FIRST VP, CHIEF COMPLIANCE OFFICER direct 1999-06-01 2001-07-19
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD SENIOR VICE PRESIDENT, DIRECTOR, & CHIEF COMPLIANCE OFFICER direct 1999-06-01 2004-08-25
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC SENIOR VICE PRESIDENT, DIRECTOR, CHIEF COMPLIANCE OFFICER direct 1999-06-01 2005-01-13
LEGG MASON GLOBAL ASSET ALLOCATION, LLC CHIEF COMPLIANCE OFFICER direct 2006-10-01 2007-04-26
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2006-10-01 2007-05-03
CLEARBRIDGE ADVISORS, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2006-02-01 2009-01-08
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2010-06-01 2011-04-01
COHEN, HARRY, DAVID CO-CHIEF INVESTMENT OFFICER 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CITIGROUP GLOBAL MARKETS INC. INTERIM CHIEF INVESTMENT OFFICER, U.S. RETAIL & HIGH NET WORTH - CITIGROUP ASSET MGMT. direct 2004-02-01
CITIGROUP GLOBAL MARKETS INC. CHIEF INVESTMENT OFFICER, U.S. RETAIL & HIGH NET WORTH - CITIGROUP ASSET MGMT. direct 2004-12-01
SALOMON BROTHERS ASSET MANAGEMENT INC CO-CHIEF INVESTMENT OFFICER direct 2006-03-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF INVESTMENT OFFICER direct 2008-03-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2004-02-01
TRAVELERS INVESTMENT ADVISER,INC. CHIEF INVESTMENT OFFICER direct 2004-02-01
CITI FUND MANAGEMENT INC. CHIEF INVESTMENT OFFICER direct 2004-02-01
CLEARBRIDGE, LLC CO-CHIEF INVESTMENT OFFICER direct 2013-06-01
CAM NORTH AMERICA, LLC CHIEF INVESTMENT OFFICER - U.S. RETAIL AND HIGH NET WORTH direct 2005-08-01
CAM NORTH AMERICA, LLC CO-CHIEF INVESTMENT OFFICER direct 2006-03-01
CLEARBRIDGE ADVISORS, LLC CHIEF INVESTMENT OFFICER direct 2008-03-01
CLEARBRIDGE INVESTMENTS, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
MANNING, BARBARA, BROOKE GENERAL COUNSEL 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
TIMCO ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-02-01
CAM NORTH AMERICA, LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CITI FUND MANAGEMENT INC. CHIEF COMPLIANCE OFFICER direct 2006-02-01
CLEARBRIDGE INVESTMENTS, LLC GENERAL COUNSEL direct 2008-07-01
CLEARBRIDGE ASSET MANAGEMENT INC GENERAL COUNSEL direct 2008-07-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2010-06-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2010-09-01
LEGG MASON CAPITAL MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2013-06-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC FIRST VP, CHIEF COMPLIANCE OFFICER direct 1999-06-01 2001-07-19
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD SENIOR VICE PRESIDENT, DIRECTOR, & CHIEF COMPLIANCE OFFICER direct 1999-06-01 2004-08-25
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC SENIOR VICE PRESIDENT, DIRECTOR, CHIEF COMPLIANCE OFFICER direct 1999-06-01 2005-01-13
LEGG MASON GLOBAL ASSET ALLOCATION, LLC CHIEF COMPLIANCE OFFICER direct 2006-10-01 2007-04-26
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2006-10-01 2007-05-03
CLEARBRIDGE ADVISORS, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2006-02-01 2009-01-08
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2010-06-01 2011-04-01
MURPHY, TERRENCE, JAMES PRESIDENT 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SALOMON BROTHERS ASSET MANAGEMENT INC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 2008-01-01
CLEARBRIDGE ASSET MANAGEMENT INC DIRECTOR direct 2011-03-01
CLEARBRIDGE ASSET MANAGEMENT INC PRESIDENT direct 2011-03-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-07-01
CITI FUND MANAGEMENT INC. CHIEF FINANCIAL OFFICER direct 2005-07-01
CLEARBRIDGE, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF OPERATING OFFICER AND MANAGER direct 2013-06-01
CAM NORTH AMERICA, LLC CHIEF FINANCIAL OFFICER direct 2005-08-01
CLEARBRIDGE ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2005-11-01
CAM NORTH AMERICA, LLC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ADVISORS, LLC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF OPERATING OFFICER direct 2008-03-01
CLEARBRIDGE ADVISORS, LLC PRESIDENT direct 2011-03-01
CLEARBRIDGE ADVISORS, LLC DIRECTOR direct 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-12-01
LEGG MASON PARTNERS FUND ADVISOR, LLC CHIEF FINANCIAL OFFICER direct 2006-04-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2010-09-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC DIRECTOR direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2011-03-01
MURPHY, TERRENCE, JAMES DIRECTOR 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SALOMON BROTHERS ASSET MANAGEMENT INC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 2008-01-01
CLEARBRIDGE ASSET MANAGEMENT INC DIRECTOR direct 2011-03-01
CLEARBRIDGE ASSET MANAGEMENT INC PRESIDENT direct 2011-03-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-07-01
CITI FUND MANAGEMENT INC. CHIEF FINANCIAL OFFICER direct 2005-07-01
CLEARBRIDGE, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF OPERATING OFFICER AND MANAGER direct 2013-06-01
CAM NORTH AMERICA, LLC CHIEF FINANCIAL OFFICER direct 2005-08-01
CLEARBRIDGE ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2005-11-01
CAM NORTH AMERICA, LLC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ADVISORS, LLC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF OPERATING OFFICER direct 2008-03-01
CLEARBRIDGE ADVISORS, LLC PRESIDENT direct 2011-03-01
CLEARBRIDGE ADVISORS, LLC DIRECTOR direct 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-12-01
LEGG MASON PARTNERS FUND ADVISOR, LLC CHIEF FINANCIAL OFFICER direct 2006-04-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2010-09-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC DIRECTOR direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2011-03-01
LIST, CYNTHIA, KAREN CHIEF FINANCIAL OFFICER 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE, LLC CHIEF FINANCIAL OFFICER direct 2013-06-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
GLASSER, SCOTT, KEITH CO-CHIEF INVESTMENT OFFICER 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE, LLC CO-CHIEF INVESTMENT OFFICER direct 2013-06-01
CLEARBRIDGE INVESTMENTS, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
MURPHY, TERRENCE, JAMES CHIEF EXECUTIVE OFFICER 12/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
SALOMON BROTHERS ASSET MANAGEMENT INC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 2008-01-01
CLEARBRIDGE ASSET MANAGEMENT INC DIRECTOR direct 2011-03-01
CLEARBRIDGE ASSET MANAGEMENT INC PRESIDENT direct 2011-03-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-07-01
CITI FUND MANAGEMENT INC. CHIEF FINANCIAL OFFICER direct 2005-07-01
CLEARBRIDGE, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF OPERATING OFFICER AND MANAGER direct 2013-06-01
CAM NORTH AMERICA, LLC CHIEF FINANCIAL OFFICER direct 2005-08-01
CLEARBRIDGE ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2005-11-01
CAM NORTH AMERICA, LLC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ADVISORS, LLC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF OPERATING OFFICER direct 2008-03-01
CLEARBRIDGE ADVISORS, LLC PRESIDENT direct 2011-03-01
CLEARBRIDGE ADVISORS, LLC DIRECTOR direct 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-12-01
LEGG MASON PARTNERS FUND ADVISOR, LLC CHIEF FINANCIAL OFFICER direct 2006-04-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2010-09-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC DIRECTOR direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2011-03-01
LEGG MASON CLEARBRIDGE HOLDINGS, LLC MANAGING MEMBER 03/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
CLEARBRIDGE INVESTMENTS, LLC MANAGING MEMBER direct 2014-03-01
KENNEY, JOHN, DUFF DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS indirect 2015-06-01
ROYCE & ASSOCIATES, LLC MEMBER OF BOARD OF MANAGERS AND MEMBER indirect 2015-06-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS AND LIMITED PARTNER direct 2015-06-01
ROYCE & ASSOCIATES, LLC MEMBER OF BOARD OF MANAGERS direct 2015-06-01
WESTERN ASSET MANAGEMENT COMPANY NON-EMPLOYEE DIRECTOR direct 2015-06-01
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC. DIRECTOR direct 2014-05-01
BATTERYMARCH FINANCIAL MANAGEMENT INC NON-EMPLOYEE DIRECTOR direct 2014-05-01
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC ELECTED MANAGER direct 2015-07-01
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC NON-EMPLOYEE MANAGER direct 2015-07-01
PERMAL CAPITAL MANAGEMENT, LLC MANAGER direct 2016-05-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
LEGG MASON GLOBAL ASSET ALLOCATION, LLC CHIEF EXECUTIVE OFFICER direct 2011-09-01
QS LEGG MASON GLOBAL ASSET ALLOCATION, LLC DIRECTOR direct 2014-05-01
RARE INFRASTRUCTURE (NORTH AMERICA) PTY LIMITED DIRECTOR direct 2015-11-01
QS INVESTORS, LLC DIRECTOR direct 2014-05-01
EAKES, BRIAN, MATTHEW DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
GLASSER, SCOTT, KEITH DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE, LLC CO-CHIEF INVESTMENT OFFICER direct 2013-06-01
CLEARBRIDGE INVESTMENTS, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
LIST, CYNTHIA, KAREN DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE, LLC CHIEF FINANCIAL OFFICER direct 2013-06-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
EEDE, JOHN, JUSTIN DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
CASHMAN, FRANCES, LANGTON DIRECTOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROYCE & ASSOCIATES, LLC MEMBER OF BOARD OF MANAGERS direct 2015-06-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS indirect 2015-06-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS AND MEMBER indirect 2015-06-01
ROYCE & ASSOCIATES, LLC MEMBER OF BOARD OF MANAGERS AND LIMITED PARTNER direct 2015-06-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2017-06-01
Haller, John, Randolph CHIEF OPERATING OFFICER 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE INVESTMENTS, LLC CHIEF OPERATING OFFICER direct 2018-08-01
LEGG MASON, INC. SOLE MEMBER LEGG MASON CLEARBRIDGE HOLDINGS, LLC 03/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
LEGG MASON FUND ADVISER INC SOLE SHAREHOLDER direct 1982-01-01
CLEARBRIDGE, LLC SOLE MEMBER direct 1982-10-01
WESTERN ASSET MANAGEMENT COMPANY SOLE SHAREHOLDER OF APPLICANT direct 1986-12-01
LM FINANCIAL PARTNERS, INC. STOCKHOLDER direct 1992-10-01
GRAY SEIFERT & CO INC SOLE SHAREHOLDER direct 1994-04-01
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC. SHAREHOLDER direct 1994-09-01
BARTLETT & CO SOLE SHAREHOLDER direct 1996-01-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 1996-02-01
LM INSTITUTIONAL ADVISORS INC SOLE SHAREHOLDER direct 1998-02-01
LEGG MASON INVESTMENT COUNSEL & TRUST COMPANY, N.A. SOLE OWNER direct 1999-05-01
BINGHAM LEGG ADVISERS LLC OWNER direct 1999-09-01
LEGG MASON FUNDS MANAGEMENT INC. SOLE SHAREHOLDER direct 2000-06-01
LEGG MASON FOCUS CAPITAL, INC. SOLE SHAREHOLDER direct 2001-05-01
PRIVATE CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER / SOLE MEMBER indirect 2001-08-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 2005-03-01
LEGG MASON INTERNATIONAL EQUITIES (SINGAPORE) PTE. LIMITED SOLE STOCKHOLDER indirect 2005-05-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-12-01
WESTERN ASSET MANAGEMENT COMPANY LTD SOLE SHAREHOLDER OF APPLICANT direct 2005-12-01
TIMCO ASSET MANAGEMENT, INC. SOLE SHAREHOLDER direct 2005-12-01
MASTHOLM ASSET MANAGEMENT LLC SOLE SHAREHOLDER OF SALOMON ASSET MANAGEMENT indirect 2005-12-01
LEGG MASON INTERNATIONAL EQUITIES LIMITED 100% SHAREHOLDER indirect 2005-12-01
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE STOCKHOLDER direct 2005-12-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC SOLE MEMBER direct 2006-10-01
LEGG MASON GLOBAL ASSET ALLOCATION, LLC SOLE MEMBER direct 2006-10-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC SOLE MEMBER direct 2007-11-01
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2011-03-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED SOLE STOCKHOLDER indirect 2011-03-01
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC SOLE MEMBER indirect 2014-03-01
QS INVESTORS, LLC SOLE MEMBER indirect 2014-05-01
MARTIN CURRIE INC INDIRECT SHAREHOLDER indirect 2014-10-01
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED INDIRECT OWNER indirect 2014-10-01
RARE INFRASTRUCTURE (NORTH AMERICA) PTY LTD SHAREHOLDER indirect 2015-10-01
ROYCE & ASSOCIATES, LP SOLE MEMBER indirect 2016-03-01
CLARION PARTNERS, LLC MEMBER indirect 2016-04-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
FINANCIAL GUARD, LLC MAJORITY MEMBER direct 2016-08-01
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER OF LM HOLDINGS LIMITED direct 1996-02-01 2001-04-26
ROYCE & ASSOCIATES, INC. SOLE MEMBER indirect 2001-10-01 2002-02-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2001-02-01 2002-06-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2002-06-01 2004-09-29
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER direct 2004-10-01 2004-11-09
LEGG MASON REAL ESTATE SERVICES INC SOLE SHAREHOLDER OF APPLICANT direct 1990-10-01 2005-06-30
LEGG MASON WOOD WALKER, INCORPORATED STOCKHOLDER direct 1981-03-01 2005-11-18
LEGG MASON INVESTMENT COUNSEL, LLC SOLE MEMBER direct 2004-10-01 2005-12-02
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE MEMBER direct 2005-12-01 2006-01-09
TIMCO ASSET MANAGEMENT, INC. SOLE MEMBER direct 2005-12-01 2006-01-11
CITIGROUP ASSET MANAGEMENT LIMITED 100% SHAREHOLDER indirect 2005-12-01 2006-02-23
BERKSHIRE ASSET MANAGEMENT INC SOLE SHAREHOLDER direct 1999-09-01 2007-06-21
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER indirect 1996-02-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SHAREHOLDER indirect 2005-12-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-03-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DTVM LIMITADA JOINT SHAREHOLDER indirect 2008-01-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2010-07-27
LEGG MASON CAPITAL MANAGEMENT INC SOLE SHAREHOLDER direct 1982-10-01 2011-01-18
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2005-05-01 2011-01-19
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2011-03-31
PRIVATE CAPITAL MANAGEMENT, LP SOLE SHAREHOLDER/SOLE MEMBER indirect 2001-08-01 2013-06-17
CLEARBRIDGE ADVISORS, LLC SOLE MEMBER direct 2005-12-01 2013-07-19
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-09-30
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-10-27
QS INVESTORS, LLC SOLE MEMBER direct 2014-05-01 2015-06-17
ROYCE & ASSOCIATES, LLC SOLE MEMBER direct 2001-10-01 2015-06-24
LMM LLC MEMBER direct 1999-10-01 2016-03-29

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CIT - INTERNATIONAL GROWTH United States 805-3842910101 Other Private Fund TRUST 22,625,667 1,000,000
CLEARBRIDGE CDIP FEEDER FUND, LP United States 805-8585367928 Hedge Fund 36,705,862 0 Fund of Funds
CLEARBRIDGE SELECT, LP United States 805-8702508110 Hedge Fund 7,574,323 1,000,000
CLEARBRIDGE GLOBAL HEALTHCARE INNOVATIONS, LP United States 805-3066742556 Hedge Fund 3,799,455 1,000,000
CIT - INT'L SMALL CAP OPPORTUNITY United States 805-2571875180 Other Private Fund TRUST 2,272,439 1,000,000
CLEARBRIDGE GROUP TRUST United States 805-1821799580 Other Private Fund TRUST FOR ERISA PLAN 31,798,143 1,000,000

CLEARBRIDGE INVESTMENTS, LLC

ownership team - last updated 2019-01-14
Name Title Start Date Direct/Indirect % Ownership
MANNING, BARBARA, BROOKE CHIEF COMPLIANCE OFFICER 02/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
TIMCO ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-02-01
CAM NORTH AMERICA, LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CITI FUND MANAGEMENT INC. CHIEF COMPLIANCE OFFICER direct 2006-02-01
CLEARBRIDGE INVESTMENTS, LLC GENERAL COUNSEL direct 2008-07-01
CLEARBRIDGE ASSET MANAGEMENT INC GENERAL COUNSEL direct 2008-07-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2010-06-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2010-09-01
LEGG MASON CAPITAL MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2013-06-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC FIRST VP, CHIEF COMPLIANCE OFFICER direct 1999-06-01 2001-07-19
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD SENIOR VICE PRESIDENT, DIRECTOR, & CHIEF COMPLIANCE OFFICER direct 1999-06-01 2004-08-25
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC SENIOR VICE PRESIDENT, DIRECTOR, CHIEF COMPLIANCE OFFICER direct 1999-06-01 2005-01-13
LEGG MASON GLOBAL ASSET ALLOCATION, LLC CHIEF COMPLIANCE OFFICER direct 2006-10-01 2007-04-26
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2006-10-01 2007-05-03
CLEARBRIDGE ADVISORS, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2006-02-01 2009-01-08
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2010-06-01 2011-04-01
COHEN, HARRY, DAVID CO-CHIEF INVESTMENT OFFICER 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CITIGROUP GLOBAL MARKETS INC. INTERIM CHIEF INVESTMENT OFFICER, U.S. RETAIL & HIGH NET WORTH - CITIGROUP ASSET MGMT. direct 2004-02-01
CITIGROUP GLOBAL MARKETS INC. CHIEF INVESTMENT OFFICER, U.S. RETAIL & HIGH NET WORTH - CITIGROUP ASSET MGMT. direct 2004-12-01
SALOMON BROTHERS ASSET MANAGEMENT INC CO-CHIEF INVESTMENT OFFICER direct 2006-03-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF INVESTMENT OFFICER direct 2008-03-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2004-02-01
TRAVELERS INVESTMENT ADVISER,INC. CHIEF INVESTMENT OFFICER direct 2004-02-01
CITI FUND MANAGEMENT INC. CHIEF INVESTMENT OFFICER direct 2004-02-01
CLEARBRIDGE, LLC CO-CHIEF INVESTMENT OFFICER direct 2013-06-01
CAM NORTH AMERICA, LLC CHIEF INVESTMENT OFFICER - U.S. RETAIL AND HIGH NET WORTH direct 2005-08-01
CAM NORTH AMERICA, LLC CO-CHIEF INVESTMENT OFFICER direct 2006-03-01
CLEARBRIDGE ADVISORS, LLC CHIEF INVESTMENT OFFICER direct 2008-03-01
CLEARBRIDGE INVESTMENTS, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
MANNING, BARBARA, BROOKE GENERAL COUNSEL 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
TIMCO ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-02-01
CAM NORTH AMERICA, LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CITI FUND MANAGEMENT INC. CHIEF COMPLIANCE OFFICER direct 2006-02-01
CLEARBRIDGE INVESTMENTS, LLC GENERAL COUNSEL direct 2008-07-01
CLEARBRIDGE ASSET MANAGEMENT INC GENERAL COUNSEL direct 2008-07-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2010-06-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2010-09-01
LEGG MASON CAPITAL MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2013-06-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC FIRST VP, CHIEF COMPLIANCE OFFICER direct 1999-06-01 2001-07-19
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD SENIOR VICE PRESIDENT, DIRECTOR, & CHIEF COMPLIANCE OFFICER direct 1999-06-01 2004-08-25
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC SENIOR VICE PRESIDENT, DIRECTOR, CHIEF COMPLIANCE OFFICER direct 1999-06-01 2005-01-13
LEGG MASON GLOBAL ASSET ALLOCATION, LLC CHIEF COMPLIANCE OFFICER direct 2006-10-01 2007-04-26
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2006-10-01 2007-05-03
CLEARBRIDGE ADVISORS, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2006-02-01 2009-01-08
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2010-06-01 2011-04-01
MURPHY, TERRENCE, JAMES PRESIDENT 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SALOMON BROTHERS ASSET MANAGEMENT INC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 2008-01-01
CLEARBRIDGE ASSET MANAGEMENT INC DIRECTOR direct 2011-03-01
CLEARBRIDGE ASSET MANAGEMENT INC PRESIDENT direct 2011-03-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-07-01
CITI FUND MANAGEMENT INC. CHIEF FINANCIAL OFFICER direct 2005-07-01
CLEARBRIDGE, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF OPERATING OFFICER AND MANAGER direct 2013-06-01
CAM NORTH AMERICA, LLC CHIEF FINANCIAL OFFICER direct 2005-08-01
CLEARBRIDGE ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2005-11-01
CAM NORTH AMERICA, LLC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ADVISORS, LLC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF OPERATING OFFICER direct 2008-03-01
CLEARBRIDGE ADVISORS, LLC PRESIDENT direct 2011-03-01
CLEARBRIDGE ADVISORS, LLC DIRECTOR direct 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-12-01
LEGG MASON PARTNERS FUND ADVISOR, LLC CHIEF FINANCIAL OFFICER direct 2006-04-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2010-09-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC DIRECTOR direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2011-03-01
MURPHY, TERRENCE, JAMES DIRECTOR 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SALOMON BROTHERS ASSET MANAGEMENT INC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 2008-01-01
CLEARBRIDGE ASSET MANAGEMENT INC DIRECTOR direct 2011-03-01
CLEARBRIDGE ASSET MANAGEMENT INC PRESIDENT direct 2011-03-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-07-01
CITI FUND MANAGEMENT INC. CHIEF FINANCIAL OFFICER direct 2005-07-01
CLEARBRIDGE, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF OPERATING OFFICER AND MANAGER direct 2013-06-01
CAM NORTH AMERICA, LLC CHIEF FINANCIAL OFFICER direct 2005-08-01
CLEARBRIDGE ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2005-11-01
CAM NORTH AMERICA, LLC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ADVISORS, LLC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF OPERATING OFFICER direct 2008-03-01
CLEARBRIDGE ADVISORS, LLC PRESIDENT direct 2011-03-01
CLEARBRIDGE ADVISORS, LLC DIRECTOR direct 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-12-01
LEGG MASON PARTNERS FUND ADVISOR, LLC CHIEF FINANCIAL OFFICER direct 2006-04-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2010-09-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC DIRECTOR direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2011-03-01
LIST, CYNTHIA, KAREN CHIEF FINANCIAL OFFICER 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE, LLC CHIEF FINANCIAL OFFICER direct 2013-06-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
GLASSER, SCOTT, KEITH CO-CHIEF INVESTMENT OFFICER 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE, LLC CO-CHIEF INVESTMENT OFFICER direct 2013-06-01
CLEARBRIDGE INVESTMENTS, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
MURPHY, TERRENCE, JAMES CHIEF EXECUTIVE OFFICER 12/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
SALOMON BROTHERS ASSET MANAGEMENT INC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 2008-01-01
CLEARBRIDGE ASSET MANAGEMENT INC DIRECTOR direct 2011-03-01
CLEARBRIDGE ASSET MANAGEMENT INC PRESIDENT direct 2011-03-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-07-01
CITI FUND MANAGEMENT INC. CHIEF FINANCIAL OFFICER direct 2005-07-01
CLEARBRIDGE, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF OPERATING OFFICER AND MANAGER direct 2013-06-01
CAM NORTH AMERICA, LLC CHIEF FINANCIAL OFFICER direct 2005-08-01
CLEARBRIDGE ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2005-11-01
CAM NORTH AMERICA, LLC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ADVISORS, LLC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF OPERATING OFFICER direct 2008-03-01
CLEARBRIDGE ADVISORS, LLC PRESIDENT direct 2011-03-01
CLEARBRIDGE ADVISORS, LLC DIRECTOR direct 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-12-01
LEGG MASON PARTNERS FUND ADVISOR, LLC CHIEF FINANCIAL OFFICER direct 2006-04-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2010-09-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC DIRECTOR direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2011-03-01
LEGG MASON CLEARBRIDGE HOLDINGS, LLC MANAGING MEMBER 03/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
CLEARBRIDGE INVESTMENTS, LLC MANAGING MEMBER direct 2014-03-01
KENNEY, JOHN, DUFF DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS indirect 2015-06-01
ROYCE & ASSOCIATES, LLC MEMBER OF BOARD OF MANAGERS AND MEMBER indirect 2015-06-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS AND LIMITED PARTNER direct 2015-06-01
ROYCE & ASSOCIATES, LLC MEMBER OF BOARD OF MANAGERS direct 2015-06-01
WESTERN ASSET MANAGEMENT COMPANY NON-EMPLOYEE DIRECTOR direct 2015-06-01
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC. DIRECTOR direct 2014-05-01
BATTERYMARCH FINANCIAL MANAGEMENT INC NON-EMPLOYEE DIRECTOR direct 2014-05-01
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC ELECTED MANAGER direct 2015-07-01
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC NON-EMPLOYEE MANAGER direct 2015-07-01
PERMAL CAPITAL MANAGEMENT, LLC MANAGER direct 2016-05-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
LEGG MASON GLOBAL ASSET ALLOCATION, LLC CHIEF EXECUTIVE OFFICER direct 2011-09-01
QS LEGG MASON GLOBAL ASSET ALLOCATION, LLC DIRECTOR direct 2014-05-01
RARE INFRASTRUCTURE (NORTH AMERICA) PTY LIMITED DIRECTOR direct 2015-11-01
QS INVESTORS, LLC DIRECTOR direct 2014-05-01
EAKES, BRIAN, MATTHEW DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
GLASSER, SCOTT, KEITH DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE, LLC CO-CHIEF INVESTMENT OFFICER direct 2013-06-01
CLEARBRIDGE INVESTMENTS, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
LIST, CYNTHIA, KAREN DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE, LLC CHIEF FINANCIAL OFFICER direct 2013-06-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
EEDE, JOHN, JUSTIN DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
CASHMAN, FRANCES, LANGTON DIRECTOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROYCE & ASSOCIATES, LLC MEMBER OF BOARD OF MANAGERS direct 2015-06-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS indirect 2015-06-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS AND MEMBER indirect 2015-06-01
ROYCE & ASSOCIATES, LLC MEMBER OF BOARD OF MANAGERS AND LIMITED PARTNER direct 2015-06-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2017-06-01
Haller, John, Randolph CHIEF OPERATING OFFICER 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE INVESTMENTS, LLC CHIEF OPERATING OFFICER direct 2018-08-01
LEGG MASON, INC. SOLE MEMBER LEGG MASON CLEARBRIDGE HOLDINGS, LLC 03/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
LEGG MASON FUND ADVISER INC SOLE SHAREHOLDER direct 1982-01-01
CLEARBRIDGE, LLC SOLE MEMBER direct 1982-10-01
WESTERN ASSET MANAGEMENT COMPANY SOLE SHAREHOLDER OF APPLICANT direct 1986-12-01
LM FINANCIAL PARTNERS, INC. STOCKHOLDER direct 1992-10-01
GRAY SEIFERT & CO INC SOLE SHAREHOLDER direct 1994-04-01
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC. SHAREHOLDER direct 1994-09-01
BARTLETT & CO SOLE SHAREHOLDER direct 1996-01-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 1996-02-01
LM INSTITUTIONAL ADVISORS INC SOLE SHAREHOLDER direct 1998-02-01
LEGG MASON INVESTMENT COUNSEL & TRUST COMPANY, N.A. SOLE OWNER direct 1999-05-01
BINGHAM LEGG ADVISERS LLC OWNER direct 1999-09-01
LEGG MASON FUNDS MANAGEMENT INC. SOLE SHAREHOLDER direct 2000-06-01
LEGG MASON FOCUS CAPITAL, INC. SOLE SHAREHOLDER direct 2001-05-01
PRIVATE CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER / SOLE MEMBER indirect 2001-08-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 2005-03-01
LEGG MASON INTERNATIONAL EQUITIES (SINGAPORE) PTE. LIMITED SOLE STOCKHOLDER indirect 2005-05-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-12-01
WESTERN ASSET MANAGEMENT COMPANY LTD SOLE SHAREHOLDER OF APPLICANT direct 2005-12-01
TIMCO ASSET MANAGEMENT, INC. SOLE SHAREHOLDER direct 2005-12-01
MASTHOLM ASSET MANAGEMENT LLC SOLE SHAREHOLDER OF SALOMON ASSET MANAGEMENT indirect 2005-12-01
LEGG MASON INTERNATIONAL EQUITIES LIMITED 100% SHAREHOLDER indirect 2005-12-01
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE STOCKHOLDER direct 2005-12-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC SOLE MEMBER direct 2006-10-01
LEGG MASON GLOBAL ASSET ALLOCATION, LLC SOLE MEMBER direct 2006-10-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC SOLE MEMBER direct 2007-11-01
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2011-03-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED SOLE STOCKHOLDER indirect 2011-03-01
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC SOLE MEMBER indirect 2014-03-01
QS INVESTORS, LLC SOLE MEMBER indirect 2014-05-01
MARTIN CURRIE INC INDIRECT SHAREHOLDER indirect 2014-10-01
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED INDIRECT OWNER indirect 2014-10-01
RARE INFRASTRUCTURE (NORTH AMERICA) PTY LTD SHAREHOLDER indirect 2015-10-01
ROYCE & ASSOCIATES, LP SOLE MEMBER indirect 2016-03-01
CLARION PARTNERS, LLC MEMBER indirect 2016-04-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
FINANCIAL GUARD, LLC MAJORITY MEMBER direct 2016-08-01
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER OF LM HOLDINGS LIMITED direct 1996-02-01 2001-04-26
ROYCE & ASSOCIATES, INC. SOLE MEMBER indirect 2001-10-01 2002-02-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2001-02-01 2002-06-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2002-06-01 2004-09-29
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER direct 2004-10-01 2004-11-09
LEGG MASON REAL ESTATE SERVICES INC SOLE SHAREHOLDER OF APPLICANT direct 1990-10-01 2005-06-30
LEGG MASON WOOD WALKER, INCORPORATED STOCKHOLDER direct 1981-03-01 2005-11-18
LEGG MASON INVESTMENT COUNSEL, LLC SOLE MEMBER direct 2004-10-01 2005-12-02
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE MEMBER direct 2005-12-01 2006-01-09
TIMCO ASSET MANAGEMENT, INC. SOLE MEMBER direct 2005-12-01 2006-01-11
CITIGROUP ASSET MANAGEMENT LIMITED 100% SHAREHOLDER indirect 2005-12-01 2006-02-23
BERKSHIRE ASSET MANAGEMENT INC SOLE SHAREHOLDER direct 1999-09-01 2007-06-21
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER indirect 1996-02-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SHAREHOLDER indirect 2005-12-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-03-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DTVM LIMITADA JOINT SHAREHOLDER indirect 2008-01-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2010-07-27
LEGG MASON CAPITAL MANAGEMENT INC SOLE SHAREHOLDER direct 1982-10-01 2011-01-18
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2005-05-01 2011-01-19
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2011-03-31
PRIVATE CAPITAL MANAGEMENT, LP SOLE SHAREHOLDER/SOLE MEMBER indirect 2001-08-01 2013-06-17
CLEARBRIDGE ADVISORS, LLC SOLE MEMBER direct 2005-12-01 2013-07-19
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-09-30
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-10-27
QS INVESTORS, LLC SOLE MEMBER direct 2014-05-01 2015-06-17
ROYCE & ASSOCIATES, LLC SOLE MEMBER direct 2001-10-01 2015-06-24
LMM LLC MEMBER direct 1999-10-01 2016-03-29

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CLEARBRIDGE CDIP FEEDER FUND, LP United States 805-8585367928 Hedge Fund 31,172,585 0 Fund of Funds
CLEARBRIDGE SELECT, LP United States 805-8702508110 Hedge Fund 6,452,702 1,000,000
CLEARBRIDGE GLOBAL HEALTHCARE INNOVATIONS, LP United States 805-3066742556 Hedge Fund 3,367,663 1,000,000
CLEARBRIDGE INVESTMENT TRUST United States 805-2571875180 Other Private Fund TRUST 2,647,314 1,000,000
CLEARBRIDGE GROUP TRUST United States 805-1821799580 Other Private Fund TRUST FOR ERISA PLAN 82,325,716 1,000,000

CLEARBRIDGE INVESTMENTS, LLC

ownership team - last updated 2018-06-28
Name Title Start Date Direct/Indirect % Ownership
MURPHY, TERRENCE, JAMES CHIEF OPERATING OFFICER 03/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
SALOMON BROTHERS ASSET MANAGEMENT INC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 2008-01-01
CLEARBRIDGE ASSET MANAGEMENT INC DIRECTOR direct 2011-03-01
CLEARBRIDGE ASSET MANAGEMENT INC PRESIDENT direct 2011-03-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-07-01
CITI FUND MANAGEMENT INC. CHIEF FINANCIAL OFFICER direct 2005-07-01
CLEARBRIDGE, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF OPERATING OFFICER AND MANAGER direct 2013-06-01
CAM NORTH AMERICA, LLC CHIEF FINANCIAL OFFICER direct 2005-08-01
CLEARBRIDGE ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2005-11-01
CAM NORTH AMERICA, LLC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ADVISORS, LLC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF OPERATING OFFICER direct 2008-03-01
CLEARBRIDGE ADVISORS, LLC PRESIDENT direct 2011-03-01
CLEARBRIDGE ADVISORS, LLC DIRECTOR direct 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-12-01
LEGG MASON PARTNERS FUND ADVISOR, LLC CHIEF FINANCIAL OFFICER direct 2006-04-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2010-09-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC DIRECTOR direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2011-03-01
MANNING, BARBARA, BROOKE CHIEF COMPLIANCE OFFICER 02/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
TIMCO ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-02-01
CAM NORTH AMERICA, LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CITI FUND MANAGEMENT INC. CHIEF COMPLIANCE OFFICER direct 2006-02-01
CLEARBRIDGE INVESTMENTS, LLC GENERAL COUNSEL direct 2008-07-01
CLEARBRIDGE ASSET MANAGEMENT INC GENERAL COUNSEL direct 2008-07-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2010-06-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2010-09-01
LEGG MASON CAPITAL MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2013-06-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC FIRST VP, CHIEF COMPLIANCE OFFICER direct 1999-06-01 2001-07-19
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD SENIOR VICE PRESIDENT, DIRECTOR, & CHIEF COMPLIANCE OFFICER direct 1999-06-01 2004-08-25
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC SENIOR VICE PRESIDENT, DIRECTOR, CHIEF COMPLIANCE OFFICER direct 1999-06-01 2005-01-13
LEGG MASON GLOBAL ASSET ALLOCATION, LLC CHIEF COMPLIANCE OFFICER direct 2006-10-01 2007-04-26
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2006-10-01 2007-05-03
CLEARBRIDGE ADVISORS, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2006-02-01 2009-01-08
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2010-06-01 2011-04-01
COHEN, HARRY, DAVID CO-CHIEF INVESTMENT OFFICER 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CITIGROUP GLOBAL MARKETS INC. INTERIM CHIEF INVESTMENT OFFICER, U.S. RETAIL & HIGH NET WORTH - CITIGROUP ASSET MGMT. direct 2004-02-01
CITIGROUP GLOBAL MARKETS INC. CHIEF INVESTMENT OFFICER, U.S. RETAIL & HIGH NET WORTH - CITIGROUP ASSET MGMT. direct 2004-12-01
SALOMON BROTHERS ASSET MANAGEMENT INC CO-CHIEF INVESTMENT OFFICER direct 2006-03-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF INVESTMENT OFFICER direct 2008-03-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2004-02-01
TRAVELERS INVESTMENT ADVISER,INC. CHIEF INVESTMENT OFFICER direct 2004-02-01
CITI FUND MANAGEMENT INC. CHIEF INVESTMENT OFFICER direct 2004-02-01
CLEARBRIDGE, LLC CO-CHIEF INVESTMENT OFFICER direct 2013-06-01
CAM NORTH AMERICA, LLC CHIEF INVESTMENT OFFICER - U.S. RETAIL AND HIGH NET WORTH direct 2005-08-01
CAM NORTH AMERICA, LLC CO-CHIEF INVESTMENT OFFICER direct 2006-03-01
CLEARBRIDGE ADVISORS, LLC CHIEF INVESTMENT OFFICER direct 2008-03-01
CLEARBRIDGE INVESTMENTS, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
MANNING, BARBARA, BROOKE GENERAL COUNSEL 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
TIMCO ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2005-02-01
CAM NORTH AMERICA, LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2006-02-01
CITI FUND MANAGEMENT INC. CHIEF COMPLIANCE OFFICER direct 2006-02-01
CLEARBRIDGE INVESTMENTS, LLC GENERAL COUNSEL direct 2008-07-01
CLEARBRIDGE ASSET MANAGEMENT INC GENERAL COUNSEL direct 2008-07-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2010-06-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2010-09-01
LEGG MASON CAPITAL MANAGEMENT, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2013-06-01
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC FIRST VP, CHIEF COMPLIANCE OFFICER direct 1999-06-01 2001-07-19
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD SENIOR VICE PRESIDENT, DIRECTOR, & CHIEF COMPLIANCE OFFICER direct 1999-06-01 2004-08-25
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC SENIOR VICE PRESIDENT, DIRECTOR, CHIEF COMPLIANCE OFFICER direct 1999-06-01 2005-01-13
LEGG MASON GLOBAL ASSET ALLOCATION, LLC CHIEF COMPLIANCE OFFICER direct 2006-10-01 2007-04-26
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2006-10-01 2007-05-03
CLEARBRIDGE ADVISORS, LLC GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2006-02-01 2009-01-08
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2010-06-01 2011-04-01
MURPHY, TERRENCE, JAMES PRESIDENT 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SALOMON BROTHERS ASSET MANAGEMENT INC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 2008-01-01
CLEARBRIDGE ASSET MANAGEMENT INC DIRECTOR direct 2011-03-01
CLEARBRIDGE ASSET MANAGEMENT INC PRESIDENT direct 2011-03-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-07-01
CITI FUND MANAGEMENT INC. CHIEF FINANCIAL OFFICER direct 2005-07-01
CLEARBRIDGE, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF OPERATING OFFICER AND MANAGER direct 2013-06-01
CAM NORTH AMERICA, LLC CHIEF FINANCIAL OFFICER direct 2005-08-01
CLEARBRIDGE ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2005-11-01
CAM NORTH AMERICA, LLC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ADVISORS, LLC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF OPERATING OFFICER direct 2008-03-01
CLEARBRIDGE ADVISORS, LLC PRESIDENT direct 2011-03-01
CLEARBRIDGE ADVISORS, LLC DIRECTOR direct 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-12-01
LEGG MASON PARTNERS FUND ADVISOR, LLC CHIEF FINANCIAL OFFICER direct 2006-04-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2010-09-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC DIRECTOR direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2011-03-01
MURPHY, TERRENCE, JAMES DIRECTOR 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SALOMON BROTHERS ASSET MANAGEMENT INC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 2008-01-01
CLEARBRIDGE ASSET MANAGEMENT INC DIRECTOR direct 2011-03-01
CLEARBRIDGE ASSET MANAGEMENT INC PRESIDENT direct 2011-03-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-07-01
CITI FUND MANAGEMENT INC. CHIEF FINANCIAL OFFICER direct 2005-07-01
CLEARBRIDGE, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF OPERATING OFFICER AND MANAGER direct 2013-06-01
CAM NORTH AMERICA, LLC CHIEF FINANCIAL OFFICER direct 2005-08-01
CLEARBRIDGE ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2005-11-01
CAM NORTH AMERICA, LLC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ADVISORS, LLC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF OPERATING OFFICER direct 2008-03-01
CLEARBRIDGE ADVISORS, LLC PRESIDENT direct 2011-03-01
CLEARBRIDGE ADVISORS, LLC DIRECTOR direct 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-12-01
LEGG MASON PARTNERS FUND ADVISOR, LLC CHIEF FINANCIAL OFFICER direct 2006-04-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2010-09-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC DIRECTOR direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2011-03-01
LIST, CYNTHIA, KAREN CHIEF FINANCIAL OFFICER 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE, LLC CHIEF FINANCIAL OFFICER direct 2013-06-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
GLASSER, SCOTT, KEITH CO-CHIEF INVESTMENT OFFICER 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE, LLC CO-CHIEF INVESTMENT OFFICER direct 2013-06-01
CLEARBRIDGE INVESTMENTS, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
MURPHY, TERRENCE, JAMES CHIEF EXECUTIVE OFFICER 12/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
SALOMON BROTHERS ASSET MANAGEMENT INC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE ASSET MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 2008-01-01
CLEARBRIDGE ASSET MANAGEMENT INC DIRECTOR direct 2011-03-01
CLEARBRIDGE ASSET MANAGEMENT INC PRESIDENT direct 2011-03-01
SMITH BARNEY FUND MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2005-07-01
CITI FUND MANAGEMENT INC. CHIEF FINANCIAL OFFICER direct 2005-07-01
CLEARBRIDGE, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF OPERATING OFFICER AND MANAGER direct 2013-06-01
CAM NORTH AMERICA, LLC CHIEF FINANCIAL OFFICER direct 2005-08-01
CLEARBRIDGE ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2005-11-01
CAM NORTH AMERICA, LLC CHIEF ADMINISTRATIVE OFFICER direct 2006-03-01
CLEARBRIDGE ADVISORS, LLC CHIEF OPERATING OFFICER direct 2007-11-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF OPERATING OFFICER direct 2008-03-01
CLEARBRIDGE ADVISORS, LLC PRESIDENT direct 2011-03-01
CLEARBRIDGE ADVISORS, LLC DIRECTOR direct 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF EXECUTIVE OFFICER direct 2012-12-01
LEGG MASON PARTNERS FUND ADVISOR, LLC CHIEF FINANCIAL OFFICER direct 2006-04-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2010-09-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC DIRECTOR direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR, CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2010-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC PRESIDENT direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2011-03-01
LEGG MASON CLEARBRIDGE HOLDINGS, LLC MANAGING MEMBER 03/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
CLEARBRIDGE INVESTMENTS, LLC MANAGING MEMBER direct 2014-03-01
KENNEY, JOHN, DUFF DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS indirect 2015-06-01
ROYCE & ASSOCIATES, LLC MEMBER OF BOARD OF MANAGERS AND MEMBER indirect 2015-06-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS AND LIMITED PARTNER direct 2015-06-01
ROYCE & ASSOCIATES, LLC MEMBER OF BOARD OF MANAGERS direct 2015-06-01
WESTERN ASSET MANAGEMENT COMPANY NON-EMPLOYEE DIRECTOR direct 2015-06-01
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC. DIRECTOR direct 2014-05-01
BATTERYMARCH FINANCIAL MANAGEMENT INC NON-EMPLOYEE DIRECTOR direct 2014-05-01
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC ELECTED MANAGER direct 2015-07-01
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC NON-EMPLOYEE MANAGER direct 2015-07-01
PERMAL CAPITAL MANAGEMENT, LLC MANAGER direct 2016-05-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
LEGG MASON GLOBAL ASSET ALLOCATION, LLC CHIEF EXECUTIVE OFFICER direct 2011-09-01
QS LEGG MASON GLOBAL ASSET ALLOCATION, LLC DIRECTOR direct 2014-05-01
RARE INFRASTRUCTURE (NORTH AMERICA) PTY LIMITED DIRECTOR direct 2015-11-01
QS INVESTORS, LLC DIRECTOR direct 2014-05-01
EAKES, BRIAN, MATTHEW DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
GLASSER, SCOTT, KEITH DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE, LLC CO-CHIEF INVESTMENT OFFICER direct 2013-06-01
CLEARBRIDGE INVESTMENTS, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CO-CHIEF INVESTMENT OFFICER direct 2012-10-01
LIST, CYNTHIA, KAREN DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE, LLC CHIEF FINANCIAL OFFICER direct 2013-06-01
CLEARBRIDGE INVESTMENTS, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2011-12-01
EEDE, JOHN, JUSTIN DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
CASHMAN, FRANCES, LANGTON DIRECTOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROYCE & ASSOCIATES, LLC MEMBER OF BOARD OF MANAGERS direct 2015-06-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS indirect 2015-06-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS AND MEMBER indirect 2015-06-01
ROYCE & ASSOCIATES, LLC MEMBER OF BOARD OF MANAGERS AND LIMITED PARTNER direct 2015-06-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2017-06-01
LEGG MASON, INC. SOLE MEMBER LEGG MASON CLEARBRIDGE HOLDINGS, LLC 03/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
LEGG MASON FUND ADVISER INC SOLE SHAREHOLDER direct 1982-01-01
CLEARBRIDGE, LLC SOLE MEMBER direct 1982-10-01
WESTERN ASSET MANAGEMENT COMPANY SOLE SHAREHOLDER OF APPLICANT direct 1986-12-01
LM FINANCIAL PARTNERS, INC. STOCKHOLDER direct 1992-10-01
GRAY SEIFERT & CO INC SOLE SHAREHOLDER direct 1994-04-01
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC. SHAREHOLDER direct 1994-09-01
BARTLETT & CO SOLE SHAREHOLDER direct 1996-01-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 1996-02-01
LM INSTITUTIONAL ADVISORS INC SOLE SHAREHOLDER direct 1998-02-01
LEGG MASON INVESTMENT COUNSEL & TRUST COMPANY, N.A. SOLE OWNER direct 1999-05-01
BINGHAM LEGG ADVISERS LLC OWNER direct 1999-09-01
LEGG MASON FUNDS MANAGEMENT INC. SOLE SHAREHOLDER direct 2000-06-01
LEGG MASON FOCUS CAPITAL, INC. SOLE SHAREHOLDER direct 2001-05-01
PRIVATE CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER / SOLE MEMBER indirect 2001-08-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 2005-03-01
LEGG MASON INTERNATIONAL EQUITIES (SINGAPORE) PTE. LIMITED SOLE STOCKHOLDER indirect 2005-05-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-12-01
WESTERN ASSET MANAGEMENT COMPANY LTD SOLE SHAREHOLDER OF APPLICANT direct 2005-12-01
TIMCO ASSET MANAGEMENT, INC. SOLE SHAREHOLDER direct 2005-12-01
MASTHOLM ASSET MANAGEMENT LLC SOLE SHAREHOLDER OF SALOMON ASSET MANAGEMENT indirect 2005-12-01
LEGG MASON INTERNATIONAL EQUITIES LIMITED 100% SHAREHOLDER indirect 2005-12-01
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE STOCKHOLDER direct 2005-12-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC SOLE MEMBER direct 2006-10-01
LEGG MASON GLOBAL ASSET ALLOCATION, LLC SOLE MEMBER direct 2006-10-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC SOLE MEMBER direct 2007-11-01
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2011-03-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED SOLE STOCKHOLDER indirect 2011-03-01
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC SOLE MEMBER indirect 2014-03-01
QS INVESTORS, LLC SOLE MEMBER indirect 2014-05-01
MARTIN CURRIE INC INDIRECT SHAREHOLDER indirect 2014-10-01
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED INDIRECT OWNER indirect 2014-10-01
RARE INFRASTRUCTURE (NORTH AMERICA) PTY LTD SHAREHOLDER indirect 2015-10-01
ROYCE & ASSOCIATES, LP SOLE MEMBER indirect 2016-03-01
CLARION PARTNERS, LLC MEMBER indirect 2016-04-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
FINANCIAL GUARD, LLC MAJORITY MEMBER direct 2016-08-01
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER OF LM HOLDINGS LIMITED direct 1996-02-01 2001-04-26
ROYCE & ASSOCIATES, INC. SOLE MEMBER indirect 2001-10-01 2002-02-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2001-02-01 2002-06-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2002-06-01 2004-09-29
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER direct 2004-10-01 2004-11-09
LEGG MASON REAL ESTATE SERVICES INC SOLE SHAREHOLDER OF APPLICANT direct 1990-10-01 2005-06-30
LEGG MASON WOOD WALKER, INCORPORATED STOCKHOLDER direct 1981-03-01 2005-11-18
LEGG MASON INVESTMENT COUNSEL, LLC SOLE MEMBER direct 2004-10-01 2005-12-02
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE MEMBER direct 2005-12-01 2006-01-09
TIMCO ASSET MANAGEMENT, INC. SOLE MEMBER direct 2005-12-01 2006-01-11
CITIGROUP ASSET MANAGEMENT LIMITED 100% SHAREHOLDER indirect 2005-12-01 2006-02-23
BERKSHIRE ASSET MANAGEMENT INC SOLE SHAREHOLDER direct 1999-09-01 2007-06-21
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER indirect 1996-02-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SHAREHOLDER indirect 2005-12-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-03-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DTVM LIMITADA JOINT SHAREHOLDER indirect 2008-01-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2010-07-27
LEGG MASON CAPITAL MANAGEMENT INC SOLE SHAREHOLDER direct 1982-10-01 2011-01-18
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2005-05-01 2011-01-19
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2011-03-31
PRIVATE CAPITAL MANAGEMENT, LP SOLE SHAREHOLDER/SOLE MEMBER indirect 2001-08-01 2013-06-17
CLEARBRIDGE ADVISORS, LLC SOLE MEMBER direct 2005-12-01 2013-07-19
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-09-30
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-10-27
QS INVESTORS, LLC SOLE MEMBER direct 2014-05-01 2015-06-17
ROYCE & ASSOCIATES, LLC SOLE MEMBER direct 2001-10-01 2015-06-24
LMM LLC MEMBER direct 1999-10-01 2016-03-29

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
CLEARBRIDGE SELECT, LP United States 805-8702508110 Hedge Fund 6,452,702 1,000,000
CLEARBRIDGE GLOBAL HEALTHCARE INNOVATIONS, LP United States 805-3066742556 Hedge Fund 3,367,663 1,000,000
CLEARBRIDGE INVESTMENT TRUST United States 805-2571875180 Other Private Fund TRUST 2,647,314 1,000,000
CLEARBRIDGE GROUP TRUST United States 805-1821799580 Other Private Fund TRUST FOR ERISA PLAN 82,325,716 1,000,000
CLEARBRIDGE CDIP FEEDER FUND, LP United States 805-8585367928 Hedge Fund 31,172,585 0 Fund of Funds

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