MURCHIE, JAMES, JARVIS
CEO
07/01/2006
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
ENERGY INCOME PARTNERS LLC
MANAGING MEMBER
indirect
2006-07-01
ENERGY INCOME PARTNERS LLC
CEO
direct
2006-07-01
PAO, EVA, NMN
PORTFOLIO MANAGER, PARTNER
07/01/2006
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
ENERGY INCOME PARTNERS LLC
CHIEF COMPLIANCE OFFICER
direct
2006-07-01
ENERGY INCOME PARTNERS LLC
PORTFOLIO MANAGER, PARTNER
direct
2006-07-01
ENERGY INCOME PARTNERS LLC
PORTFOLIO MANAGER, PARTNER, CHIEF COMPLIANCE OFFICER
direct
2006-07-01
ENERGY INCOME PARTNERS LLC
PORTFOLIO MANAGER, PARTNER & CHIEF COMPLIANCE OFFICER
direct
2006-07-01
ENERGY INCOME PARTNERS LLC
MANAGING MEMBER
indirect
2013-01-01
LONGVILLE, LINDA, ANN
CHIEF FINANCIAL OFFICER
07/01/2006
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
ENERGY INCOME PARTNERS LLC
CHIEF FINANCIAL OFFICER
direct
2006-07-01
ENERGY INCOME PARTNERS LLC
MANAGING MEMBER
indirect
2012-12-01
DUNTRUNE CAPITAL PARTNERS, LLC
MEMBER
07/01/2006
Direct
25 - 50%
Fund Name
Position
direct/indirect
start date
end date
ENERGY INCOME PARTNERS LLC
MEMBER
direct
2006-07-01
BALLESTEROS, SAUL, THOMAS
PARTNER AND HEAD TRADER
10/01/2009
Direct
5 - 10%
Fund Name
Position
direct/indirect
start date
end date
ENERGY INCOME PARTNERS LLC
HEAD TRADER
direct
2009-10-01
ENERGY INCOME PARTNERS LLC
PARTNER
direct
2009-10-01
FT EIP VENTURES, LLC
MEMBER
06/01/2010
Direct
10 - 25%
Fund Name
Position
direct/indirect
start date
end date
ENERGY INCOME PARTNERS LLC
MEMBER
direct
2010-06-01
EIP LONGVILLE LLC
MEMBER
12/01/2012
Direct
10 - 25%
Fund Name
Position
direct/indirect
start date
end date
ENERGY INCOME PARTNERS LLC
MEMBER
direct
2012-12-01
EIP EP LLC
MEMBER
01/01/2013
Direct
10 - 25%
Fund Name
Position
direct/indirect
start date
end date
ENERGY INCOME PARTNERS LLC
MEMBER
direct
2013-01-01
HOGAN, NANDITA, YAGNIK
CHIEF COMPLIANCE OFFICER
03/01/2015
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
BREEDEN CAPITAL MANAGEMENT LLC
CHIEF COMPLIANCE OFFICER
direct
2009-03-01
ENERGY INCOME PARTNERS LLC
CHIEF COMPLIANCE OFFICER
direct
2015-03-01
BREEDEN EUROPEAN VENTURES LLC
CHIEF COMPLIANCE OFFICER
direct
2009-03-01
SERENGETI ASSET MANAGEMENT LP
CHIEF COMPLIANCE OFFICER
direct
2013-03-01
TYSSELAND, JOHN, KAVANAGH
PORTFOLIO MANAGER, PARTNER
05/01/2016
Direct
5 - 10%
Fund Name
Position
direct/indirect
start date
end date
ENERGY INCOME PARTNERS LLC
PORTFOLIO MANAGER, PARTNER
direct
2016-05-01
MURCHIE, JAMES, JARVIS
MANAGING MEMBER DUNTRUNE CAPITAL PARTNERS, LLC
07/01/2006
Indirect
50 - 75%
Fund Name
Position
direct/indirect
start date
end date
ENERGY INCOME PARTNERS LLC
MANAGING MEMBER
indirect
2006-07-01
ENERGY INCOME PARTNERS LLC
CEO
direct
2006-07-01
FIRST TRUST CAPITAL PARTNERS, LLC
SOLE MEMBER AND MANAGER FT EIP VENTURES, LLC
06/01/2010
Indirect
75% or more
Fund Name
Position
direct/indirect
start date
end date
BONDWAVE LLC
SHAREHOLDER
direct
2016-01-01
STONEBRIDGE ADVISORS LLC
MEMBER/SHAREHOLDER/CLASS A
direct
2016-01-01
ENERGY INCOME PARTNERS LLC
SOLE MEMBER AND MANAGER
indirect
2010-06-01
AVIANCE CAPITAL MANAGEMENT, LLC
SOLE MEMBER
indirect
2007-06-01
THE CHARGER CORPORATION
MEMBER, MANAGER FIRST TRUST CAPITAL PARTNERS, LLC
06/01/2007
Indirect
Other
Fund Name
Position
direct/indirect
start date
end date
FIRST TRUST ADVISORS LP
GENERAL PARTNER
direct
1991-08-01
STONEBRIDGE ADVISORS LLC
GENERAL PARTNER
indirect
1991-08-01
FIRST TRUST ADVISORS LP
GENERAL PARTNER
indirect
1991-08-01
VALHALLA CAPITAL PARTNERS, LLC
GENERAL PARTNER
indirect
1991-08-01
VALHALLA CAPITAL PARTNERS, LLC
GENERAL PARTNER
indirect
1991-08-01
BONDWAVE LLC
GENERAL PARTNER
indirect
1991-08-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED
GENERAL PARTNER
indirect
1991-08-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED
GENERAL PARTNER
indirect
1998-11-01
STONEBRIDGE ADVISORS LLC
MANAGING MEMBER
indirect
2006-08-01
BONDWAVE LLC
MANAGING MEMBER
indirect
2006-08-01
ENERGY INCOME PARTNERS LLC
MEMBER, MANAGER
indirect
2007-06-01
CONFLUENCE INVESTMENT MANAGEMENT LLC
GENERAL PARTNER
indirect
1991-08-01
2008-06-12
CONFLUENCE CAPITAL MANAGEMENT LLC
GENERAL PARTNER
indirect
1991-08-01
2008-06-12
AVIANCE CAPITAL MANAGEMENT, LLC
MEMBER, MANAGER
indirect
2007-06-01
2013-06-03
STONEBRIDGE ADVISORS LLC
GENERAL PARTNER
indirect
1991-05-01
2015-04-13
BONDWAVE LLC
GENERAL PARTNER
indirect
1991-05-01
2015-12-03
BONDWAVE LLC
MANAGING MEMBER
indirect
2016-01-01
2016-01-29
GRACE PARTNERS OF DUPAGE, L.P.
LIMITED PARTNER FIRST TRUST CAPITAL PARTNERS, LLC
08/01/1991
Indirect
75% or more
Fund Name
Position
direct/indirect
start date
end date
FIRST TRUST ADVISORS LP
LIMITED PARTNER
direct
1991-08-01
ENERGY INCOME PARTNERS LLC
LIMITED PARTNER
indirect
1991-08-01
VALHALLA CAPITAL PARTNERS, LLC
LIMITED PARTNER
indirect
1991-08-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED
LIMITED PARTNER
indirect
1998-11-01
STONEBRIDGE ADVISORS LLC
NON-MANAGING MEMBER
indirect
2006-08-01
BONDWAVE LLC
NON-MANAGING MEMBER
indirect
2006-08-01
CONFLUENCE INVESTMENT MANAGEMENT LLC
LIMITED PARTNER
indirect
1991-08-01
2008-06-12
AVIANCE CAPITAL MANAGEMENT, LLC
LIMITED PARTNER
indirect
1991-08-01
2013-06-03
STONEBRIDGE ADVISORS LLC
LIMITED PARTNER
indirect
1991-08-01
2015-04-13
BONDWAVE LLC
LIMITED PARTNER
indirect
1991-08-01
2015-12-03
BONDWAVE LLC
NON-MANAGING MEMBER
indirect
2016-01-01
2016-01-29
BOWEN, JAMES, ALLEN
SOLE SHAREHOLDER AJM VENTURES LLC
10/01/2010
Indirect
75% or more
Fund Name
Position
direct/indirect
start date
end date
BONDWAVE LLC
CHAIRMAN OF THE BOARD
direct
2001-04-01
STONEBRIDGE ADVISORS LLC
CHAIRMAN OF THE BOARD
direct
2004-12-01
ENERGY INCOME PARTNERS LLC
SOLE SHAREHOLDER
indirect
2010-10-01
STONEBRIDGE ADVISORS LLC
SOLE SHAREHOLDER
indirect
2010-10-01
BONDWAVE LLC
SOLE SHAREHOLDER
indirect
2010-10-01
FIRST TRUST ADVISORS LP
SOLE SHAREHOLDER
indirect
2010-10-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED
SOLE SHAREHOLDER
indirect
2010-10-01
FIRST TRUST ADVISORS LP
CHIEF EXECUTIVE OFFICER
direct
2010-12-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED
DIRECTOR
direct
2011-12-01
SECURITIES EVALUATION SERVICE INC
VP,DIRECTOR
direct
1987-10-01
2005-02-11
FIRST TRUST ADVISORS LP
PRESIDENT
direct
1991-08-01
2010-10-13
BONDWAVE LLC
SHAREHOLDER
indirect
2010-10-01
2010-10-13
FIRST TRUST ADVISORS LP
SHAREHOLDER
indirect
2010-10-01
2010-10-13
STONEBRIDGE ADVISORS LLC
SHAREHOLDER
indirect
2010-10-01
2011-01-05
STONEBRIDGE ADVISORS LLC
SHAREHOLDER
indirect
2010-10-01
2011-02-03
ENERGY INCOME PARTNERS LLC
SHAREHOLDER
indirect
2010-10-01
2011-11-16
AVIANCE CAPITAL MANAGEMENT, LLC
SOLE MEMBER
indirect
2010-10-01
2013-06-03
ENERGY INCOME PARTNERS LLC
SHAREHOLDER
indirect
2101-10-01
2015-03-23
FIRST TRUST GLOBAL PORTFOLIOS LIMITED
SOLE SHAREHOLDER
indirect
2010-10-01
2016-03-30
AJM VENTURES LLC
SHAREHOLDER THE CHARGER CORPORATION
10/01/2010
Indirect
75% or more
Fund Name
Position
direct/indirect
start date
end date
FIRST TRUST ADVISORS LP
SHAREHOLDER
indirect
2010-10-01
BONDWAVE LLC
SHAREHOLDER
indirect
2010-10-01
STONEBRIDGE ADVISORS LLC
SHAREHOLDER
indirect
2010-10-01
ENERGY INCOME PARTNERS LLC
SOLE SHAREHOLDER
indirect
2010-10-01
ENERGY INCOME PARTNERS LLC
SHAREHOLDER
indirect
2010-10-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED
SHAREHOLDER
indirect
2010-10-01
LONGVILLE, LINDA, ANN
MANAGING MEMBER EIP LONGVILLE LLC
12/01/2012
Indirect
50 - 75%
Fund Name
Position
direct/indirect
start date
end date
ENERGY INCOME PARTNERS LLC
CHIEF FINANCIAL OFFICER
direct
2006-07-01
ENERGY INCOME PARTNERS LLC
MANAGING MEMBER
indirect
2012-12-01
CULLEN, DOUGLAS, WILLIAM
MEMBER EIP EP LLC
01/01/2013
Indirect
25 - 50%
Fund Name
Position
direct/indirect
start date
end date
ENERGY INCOME PARTNERS LLC
MEMBER
indirect
2013-01-01
PAO, EVA, NMN
MANAGING MEMBER EIP EP LLC
01/01/2013
Indirect
50 - 75%
Fund Name
Position
direct/indirect
start date
end date
ENERGY INCOME PARTNERS LLC
CHIEF COMPLIANCE OFFICER
direct
2006-07-01
ENERGY INCOME PARTNERS LLC
PORTFOLIO MANAGER, PARTNER
direct
2006-07-01
ENERGY INCOME PARTNERS LLC
PORTFOLIO MANAGER, PARTNER, CHIEF COMPLIANCE OFFICER
direct
2006-07-01
ENERGY INCOME PARTNERS LLC
PORTFOLIO MANAGER, PARTNER & CHIEF COMPLIANCE OFFICER
direct
2006-07-01
ENERGY INCOME PARTNERS LLC
MANAGING MEMBER
indirect
2013-01-01
LONGVILLE, PAUL, JOHN
MEMBER EIP LONGVILLE LLC
12/01/2012
Indirect
50 - 75%
Fund Name
Position
direct/indirect
start date
end date
ENERGY INCOME PARTNERS LLC
MEMBER
indirect
2012-12-01
JJM FAMILY TRUST
MEMBER DUNTRUNE CAPITAL PARTNERS, LLC
11/01/2012
Indirect
25 - 50%
Fund Name
Position
direct/indirect
start date
end date
ENERGY INCOME PARTNERS LLC
MEMBER
indirect
2012-11-01