COLYER, SCOTT IRVIN
CHIEF EXECUTIVE OFFICER/DIRECTOR
01/01/2008
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
FIXED INCOME SECURITIES, LP
PRESIDENT/CEO, LIMITED PARTNER
direct
2001-01-01
FIXED INCOME SECURITIES, LLC
PRESIDENT/CEO
direct
2001-01-01
FIXED INCOME SECURITIES, LP
PRESIDENT/CEO, PARTNER
direct
2001-01-01
FIXED INCOME SECURITIES, LP
SHAREHOLDER
indirect
2001-01-01
FIXED INCOME SECURITIES, LP
CHAIRMAN/CEO, LIMITED PARTNER
direct
2001-01-01
FIXED INCOME SECURITIES, LP
SHAREHOLDER
indirect
2005-07-01
ADVISORS ASSET MANAGEMENT, INC.
CHAIRMAN/CHIEF EXECUTIVE OFFICER
direct
2007-12-01
FIXED INCOME SECURITIES, LP
CHAIRMAN/CEO, LIMITED PARTNER
direct
2007-12-01
ADVISORS ASSET MANAGEMENT, INC.
CHIEF EXECUTIVE OFFICER/DIRECTOR
direct
2008-01-01
ADVISORS ASSET MANAGEMENT, INC.
CLASS B AND D SHAREHOLDER
indirect
2010-12-01
ADVISORS ASSET MANAGEMENT, INC.
TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER
indirect
2012-12-01
ADVISORS ASSET MANAGEMENT, INC.
PREFERRED SHAREHOLDER
indirect
2013-05-01
COLYER, LISA ANNE
EXEC. VP/DIRECTOR
01/01/2008
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
FIXED INCOME SECURITIES, LLC
EXEC. V.P. - OPERATIONS
direct
2001-01-01
FIXED INCOME SECURITIES, INC.
EXEC. VP
direct
2001-01-01
FIXED INCOME SECURITIES, LP
EXEC. V.P. - OPERATIONS, LIMITED PARTNER
direct
2001-01-01
FIXED INCOME SECURITIES, LP
EXEC. V.P. - OPERATIONS, PARTNER
direct
2001-01-01
ADVISORS ASSET MANAGEMENT, INC.
EXEC. VP/DIRECTOR
direct
2008-01-01
ADVISORS ASSET MANAGEMENT, INC.
CLASS B AND D SHAREHOLDER
indirect
2010-12-01
ADVISORS ASSET MANAGEMENT, INC.
TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER
indirect
2012-12-01
ADVISORS ASSET MANAGEMENT, INC.
PREFERRED SHAREHOLDER
indirect
2013-05-01
PEGG, RANDAL JASON
EXEC. VP/DIRECTOR
01/01/2008
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
FIXED INCOME SECURITIES, LP
VP, PARTNER
direct
2001-01-01
FIXED INCOME SECURITIES, INC.
EXEC. VP
direct
2001-01-01
FIXED INCOME SECURITIES, LP
VP, LIMITED PARTNER
direct
2001-01-01
FIXED INCOME SECURITIES, LP
EVP, LIMITED PARTNER
direct
2001-01-01
ADVISORS ASSET MANAGEMENT, INC.
EXEC. VP/DIRECTOR
direct
2008-01-01
GENOVESE, CHRISTOPHER THOMAS
EXEC. VP/DIRECTOR
01/01/2008
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
FIXED INCOME SECURITIES, LP
VP, PARTNER
direct
2001-02-01
FIXED INCOME SECURITIES, INC.
EXEC. VP
direct
2001-02-01
FIXED INCOME SECURITIES, LP
VP, LIMITED PARTNER
direct
2001-02-01
FIXED INCOME SECURITIES, LP
EVP, LIMITED PARTNER
direct
2001-02-01
ADVISORS ASSET MANAGEMENT, INC.
EXEC. VP/DIRECTOR
direct
2008-01-01
COSTAS, JAMES ROBERT
EXEC. VP/DIRECTOR
01/01/2008
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
FIXED INCOME SECURITIES, LP
VP, PARTNER
direct
2002-02-01
FIXED INCOME SECURITIES, INC.
EXEC. VP
direct
2002-02-01
FIXED INCOME SECURITIES, LP
VP, LIMITED PARTNER
direct
2002-02-01
FIXED INCOME SECURITIES, LP
SVP, LIMITED PARTNER
direct
2002-02-01
ADVISORS ASSET MANAGEMENT, INC.
EXEC. VP/DIRECTOR
direct
2008-01-01
ADVISORS ASSET MANAGEMENT, INC.
SR. EXEC. VP/DIRECTOR
direct
2008-01-01
MEITZNER, ALEX ROBERT
SR. VP
01/01/2008
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
ADVISORS ASSET MANAGEMENT, INC.
SR. VP
direct
2008-01-01
RANSON & ASSOCIATES INC.
CHAIRMAN OF THE BOARD,
direct
1996-01-01
2001-03-08
MATRIX CAPITAL GROUP, INC.
FUNDS DIVISION - PRESIDENT
direct
2002-01-01
2002-05-29
MATRIX CAPITAL GROUP, INC.
SENIOR VICE PRESIDENT & PRESIDENT OF THE FUNDS DIVISION
direct
2002-01-01
2003-03-31
FIXED INCOME SECURITIES, LP
MANAGED DIRECTOR, PARTNER
direct
2003-05-01
2006-03-17
FIXED INCOME SECURITIES, LP
MANAGED DIRECTOR, LIMITED PARTNER
direct
2003-05-01
2007-07-05
FIXED INCOME SECURITIES, LP
SVP, LIMITED PARTNER
direct
2003-05-01
2007-12-20
ADVISORS ASSET MANAGEMENT, INC.
SR. VP
direct
2003-05-01
2010-03-23
ADVISORS ASSET MANAGEMENT, INC.
SR. VP
direct
2007-08-01
2013-04-30
SIMKIN, JACK DAVID
DIRECTOR
01/01/2008
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
FIXED INCOME SECURITIES, LLC
EXEC. V.P. - FINANCIAL PRINCIPAL
direct
2002-10-01
FIXED INCOME SECURITIES, LP
EXEC. V.P. - FINANCIAL PRINCIPAL, PARTNER
direct
2002-10-01
ADVISORS ASSET MANAGEMENT, INC.
EXEC. VP/CHIEF OPERATING OFFICER
direct
2005-03-01
FIXED INCOME SECURITIES, LP
COO/EXEC. VP, LIMITED PARTNER
direct
2005-03-01
FIXED INCOME SECURITIES, LP
COO/EXEC. VP, PARTNER
direct
2005-03-01
FIXED INCOME SECURITIES, LP
COO
direct
2005-03-01
ADVISORS ASSET MANAGEMENT, INC.
DIRECTOR
direct
2008-01-01
ADVISORS ASSET MANAGEMENT, INC.
CHIEF OPERATING OFFICER/DIRECTOR
direct
2008-01-01
WILLIAMS, ANDREW STEPHEN
PRESIDENT/DIRECTOR
01/01/2008
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
FIXED INCOME SECURITIES, LP
PRESIDENT, LIMITED PARTNER
direct
2007-08-01
FIXED INCOME SECURITIES, INC.
PRESIDENT
direct
2007-12-01
FIXED INCOME SECURITIES, LP
PRESIDENT, LIMITED PARTNER
direct
2007-12-01
ADVISORS ASSET MANAGEMENT, INC.
PRESIDENT/DIRECTOR
direct
2008-01-01
AAM HOLDINGS, INC
SHAREHOLDER
12/01/2010
Direct
75% or more
Fund Name
Position
direct/indirect
start date
end date
ADVISORS ASSET MANAGEMENT, INC.
SHAREHOLDER
direct
2010-12-01
MCNAMARA, ROBERT CHARLES
CHIEF OPERATING OFFICER
03/01/2013
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
ADVISORS ASSET MANAGEMENT, INC.
EXEC. VP
direct
2013-03-01
ADVISORS ASSET MANAGEMENT, INC.
CHIEF OPERATING OFFICER
direct
2013-03-01
WEBBER, JOHN EDWIN
SVP, CHIEF COMPLIANCE OFFICER/SECRETARY
08/01/2011
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
ADVISORS ASSET MANAGEMENT, INC.
CHIEF COMPLIANCE OFFICER
direct
2011-08-01
ADVISORS ASSET MANAGEMENT, INC.
CHIEF COMPLIANCE OFFICER/SECRETARY
direct
2011-08-01
ADVISORS ASSET MANAGEMENT, INC.
SVP, CHIEF COMPLIANCE OFFICER/SECRETARY
direct
2011-08-01
DANIEL, BART PATRICK
CHIEF STRATEGY OFFICER/DIRECTOR
03/01/2013
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
ADVISORS ASSET MANAGEMENT, INC.
CHIEF STRATEGY OFFICER
direct
2013-03-01
ADVISORS ASSET MANAGEMENT, INC.
CHIEF STRATEGY OFFICER/DIRECTOR
direct
2013-03-01
GILBERT, BRIAN WAYNE
FIRST VP
10/01/2012
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
ADVISORS ASSET MANAGEMENT, INC.
FIRST VP
direct
2012-10-01
BOYLE, MICHAEL ROY
SR. VP
07/01/2015
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
ADVISORS ASSET MANAGEMENT, INC.
SR. VP
direct
2015-07-01
CLAYMORE INVESTMENTS, INC.
DIRECTOR, CFO AND CIO
direct
2005-01-01
CLAYMORE INVESTMENTS, INC.
DIRECTOR, CIO AND CFO
direct
2005-01-01
CLAYMORE INVESTMENTS, INC.
DIRECTOR AND CIO
direct
2005-01-01
LLOYD, MATTHEW WILLIAM
CHIEF INVESTMENT STRATEGIST
07/01/2015
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
ADVISORS ASSET MANAGEMENT, INC.
CHIEF INVESTMENT STRATEGIST
direct
2015-07-01
GALVIN, JOHN PATRICK
EXEC. VP
07/01/2015
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
ADVISORS ASSET MANAGEMENT, INC.
EXEC. VP
direct
2015-07-01
CLEARBROOK INVESTMENT CONSULTING LLC
ELECTED MANAGER
indirect
2008-03-01
CLEARBROOK PARTNERS LLC
ELECTED MANAGER
indirect
2008-03-01
KNIGHT PORTFOLIO ACCESS LLC
MANAGER, CHAIRMAN & CEO
direct
2008-03-01
RADTKE, JOHN SCOTT
EXEC. VP
07/01/2015
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
ADVISORS ASSET MANAGEMENT, INC.
EXEC. VP
direct
2015-07-01
INCAPITAL ASSET MANAGEMENT LLC
CHIEF EXECUTIVE OFFICER
direct
2011-05-01
STEWART, RICHARD ALAN
EXEC. VP
07/01/2015
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
ADVISORS ASSET MANAGEMENT, INC.
EXEC. VP
direct
2015-07-01
STOKLOSA, TIMOTHY JOHN
EXEC. VP
07/01/2015
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
ADVISORS ASSET MANAGEMENT, INC.
EXEC. VP
direct
2015-07-01
CLEARBROOK INVESTMENT CONSULTING LLC
ELECTED MANAGER
indirect
2006-10-01
PRINCETON MANAGED ASSETS, LLC
CHIEF FINANCIAL OFFICER
direct
2004-10-01
CLEARBROOK PARTNERS LLC
ELECTED MANAGER
indirect
2006-10-01
KNIGHT PORTFOLIO ACCESS, LLC
MANAGER
direct
2008-03-01
OPIE, JEFFREY KURTIS
CHIEF FINANCIAL OFFICER
11/01/2016
Direct
less than 5%
Fund Name
Position
direct/indirect
start date
end date
ADVISORS ASSET MANAGEMENT, INC.
SR. VP, FINOP
direct
2016-11-01
ADVISORS ASSET MANAGEMENT, INC.
CHIEF FINANCIAL OFFICER
direct
2016-11-01
COLYER, SCOTT IRVIN
PREFERRED SHAREHOLDER AAM HOLDINGS, INC
05/01/2013
Indirect
50 - 75%
Fund Name
Position
direct/indirect
start date
end date
FIXED INCOME SECURITIES, LP
PRESIDENT/CEO, LIMITED PARTNER
direct
2001-01-01
FIXED INCOME SECURITIES, LLC
PRESIDENT/CEO
direct
2001-01-01
FIXED INCOME SECURITIES, LP
PRESIDENT/CEO, PARTNER
direct
2001-01-01
FIXED INCOME SECURITIES, LP
SHAREHOLDER
indirect
2001-01-01
FIXED INCOME SECURITIES, LP
CHAIRMAN/CEO, LIMITED PARTNER
direct
2001-01-01
FIXED INCOME SECURITIES, LP
SHAREHOLDER
indirect
2005-07-01
ADVISORS ASSET MANAGEMENT, INC.
CHAIRMAN/CHIEF EXECUTIVE OFFICER
direct
2007-12-01
FIXED INCOME SECURITIES, LP
CHAIRMAN/CEO, LIMITED PARTNER
direct
2007-12-01
ADVISORS ASSET MANAGEMENT, INC.
CHIEF EXECUTIVE OFFICER/DIRECTOR
direct
2008-01-01
ADVISORS ASSET MANAGEMENT, INC.
CLASS B AND D SHAREHOLDER
indirect
2010-12-01
ADVISORS ASSET MANAGEMENT, INC.
TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER
indirect
2012-12-01
ADVISORS ASSET MANAGEMENT, INC.
PREFERRED SHAREHOLDER
indirect
2013-05-01
COLYER, LISA ANNE
PREFERRED SHAREHOLDER AAM HOLDINGS, INC
05/01/2013
Indirect
Other
Fund Name
Position
direct/indirect
start date
end date
FIXED INCOME SECURITIES, LLC
EXEC. V.P. - OPERATIONS
direct
2001-01-01
FIXED INCOME SECURITIES, INC.
EXEC. VP
direct
2001-01-01
FIXED INCOME SECURITIES, LP
EXEC. V.P. - OPERATIONS, LIMITED PARTNER
direct
2001-01-01
FIXED INCOME SECURITIES, LP
EXEC. V.P. - OPERATIONS, PARTNER
direct
2001-01-01
ADVISORS ASSET MANAGEMENT, INC.
EXEC. VP/DIRECTOR
direct
2008-01-01
ADVISORS ASSET MANAGEMENT, INC.
CLASS B AND D SHAREHOLDER
indirect
2010-12-01
ADVISORS ASSET MANAGEMENT, INC.
TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER
indirect
2012-12-01
ADVISORS ASSET MANAGEMENT, INC.
PREFERRED SHAREHOLDER
indirect
2013-05-01
S&LC FAMILY LLC
COMMON SHAREHOLDER AAM HOLDINGS, INC
12/01/2012
Indirect
50 - 75%
Fund Name
Position
direct/indirect
start date
end date
ADVISORS ASSET MANAGEMENT, INC.
CLASS B AND D SHAREHOLDER
indirect
2012-12-01
SCOTT I COLYER AND LISA A COLYER IRREVOCABLE TRUST
MEMBER OF COMMON SHAREHOLDER S&LC FAMILY LLC
12/01/2012
Indirect
25 - 50%
Fund Name
Position
direct/indirect
start date
end date
ADVISORS ASSET MANAGEMENT, INC.
MEMBER OF CLASS B AND D SHAREHOLDER
indirect
2012-12-01
COLYER, SCOTT IRVIN
CO-TRUSTEE OF MEMBER/MANAGER OF COMMON SHAREHOLDER S&LC LIVING TRUST
12/01/2012
Indirect
Other
Fund Name
Position
direct/indirect
start date
end date
FIXED INCOME SECURITIES, LP
PRESIDENT/CEO, LIMITED PARTNER
direct
2001-01-01
FIXED INCOME SECURITIES, LLC
PRESIDENT/CEO
direct
2001-01-01
FIXED INCOME SECURITIES, LP
PRESIDENT/CEO, PARTNER
direct
2001-01-01
FIXED INCOME SECURITIES, LP
SHAREHOLDER
indirect
2001-01-01
FIXED INCOME SECURITIES, LP
CHAIRMAN/CEO, LIMITED PARTNER
direct
2001-01-01
FIXED INCOME SECURITIES, LP
SHAREHOLDER
indirect
2005-07-01
ADVISORS ASSET MANAGEMENT, INC.
CHAIRMAN/CHIEF EXECUTIVE OFFICER
direct
2007-12-01
FIXED INCOME SECURITIES, LP
CHAIRMAN/CEO, LIMITED PARTNER
direct
2007-12-01
ADVISORS ASSET MANAGEMENT, INC.
CHIEF EXECUTIVE OFFICER/DIRECTOR
direct
2008-01-01
ADVISORS ASSET MANAGEMENT, INC.
CLASS B AND D SHAREHOLDER
indirect
2010-12-01
ADVISORS ASSET MANAGEMENT, INC.
TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER
indirect
2012-12-01
ADVISORS ASSET MANAGEMENT, INC.
PREFERRED SHAREHOLDER
indirect
2013-05-01
COLYER, LISA ANNE
CO-TRUSTEE OF MEMBER/MANAGER OF COMMON SHAREHOLDER S&LC LIVING TRUST
12/01/2012
Indirect
Other
Fund Name
Position
direct/indirect
start date
end date
FIXED INCOME SECURITIES, LLC
EXEC. V.P. - OPERATIONS
direct
2001-01-01
FIXED INCOME SECURITIES, INC.
EXEC. VP
direct
2001-01-01
FIXED INCOME SECURITIES, LP
EXEC. V.P. - OPERATIONS, LIMITED PARTNER
direct
2001-01-01
FIXED INCOME SECURITIES, LP
EXEC. V.P. - OPERATIONS, PARTNER
direct
2001-01-01
ADVISORS ASSET MANAGEMENT, INC.
EXEC. VP/DIRECTOR
direct
2008-01-01
ADVISORS ASSET MANAGEMENT, INC.
CLASS B AND D SHAREHOLDER
indirect
2010-12-01
ADVISORS ASSET MANAGEMENT, INC.
TRUSTEE OF MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER
indirect
2012-12-01
ADVISORS ASSET MANAGEMENT, INC.
PREFERRED SHAREHOLDER
indirect
2013-05-01
SOUTH DAKOTA TRUST COMPANY, LLC
TRUSTEE OF MEMBER OF COMMON SHAREHOLDER SCOTT I COLYER AND LISA A COLYER IRREVOCABLE TRUST
12/01/2012
Indirect
Other
Fund Name
Position
direct/indirect
start date
end date
ADVISORS ASSET MANAGEMENT, INC.
TRUSTEE OF MEMBER OF CLASS B AND D SHAREHOLDER
indirect
2012-12-01
CONTRARIAN CAPITAL MANAGEMENT LLC
TRUSTEE
indirect
2016-11-01
QUANTLAB CAPITAL MANAGEMENT, LTD.
TRUSTEE
indirect
2007-12-01
QCM CAYMAN, LTD.
TRUSTEE
indirect
2010-12-01
QUANTLAB CAPITAL MANAGEMENT, LTD.
TRUSTEE
indirect
2011-01-01
QCM CAYMAN, LTD.
TRUSTEE
indirect
2012-09-01
QCM CAYMAN, LTD.
TRUSTEE
indirect
2012-09-01
CONSOLIDATED PORTFOLIO REVIEW CORP
TRUSTEE
indirect
2011-07-01
QUANTLAB CAPITAL MANAGEMENT, LLC
TRUSTEE
indirect
2007-12-01
QUANTLAB CAPITAL MANAGEMENT, LLC
TRUSTEE
indirect
2010-08-01
QUANTLAB CAPITAL MANAGEMENT, LLC
TRUSTEE
indirect
2010-08-01
QUANTLAB CAPITAL MANAGEMENT, LLC
TRUSTEE
indirect
2010-12-01
QUANTLAB CAPITAL MANAGEMENT, LLC
TRUSTEE
indirect
2011-01-01
QUANTLAB CAPITAL MANAGEMENT, LLC
TRUSTEE
indirect
2012-09-01
QUANTLAB CAPITAL MANAGEMENT, LLC
TRUSTEE
indirect
2012-09-01
3D WEALTH RIA, LLC
TRUSTEE
indirect
2012-02-01
S&LC LIVING TRUST
MEMBER AND MANAGER OF COMMON SHAREHOLDER S&LC FAMILY LLC
12/01/2012
Indirect
50 - 75%
Fund Name
Position
direct/indirect
start date
end date
ADVISORS ASSET MANAGEMENT, INC.
MEMBER/MANAGER OF CLASS B AND D SHAREHOLDER
indirect
2012-12-01