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As Of Filer Filing For·On·As Docs:Size Issuer Agent 11/20/07 Sei Inst’l Investments Trust 485BXT 4:1.1M Merrill Corp-MD/FA → SIIT Screened World Equity Ex-US Fund ⇒ SIIT Screened World Equity Ex-US Fund – Class A (SSEAX) |
Document/Exhibit Description Pages Size 1: 485BXT Post-Effective Amendment to Designate a New HTML 903K Effective Date 3: EX-99.B(D)(110) Miscellaneous Exhibit HTML 72K 2: EX-99.B(D)(16) Miscellaneous Exhibit HTML 49K 4: EX-99.B(P)(51) Miscellaneous Exhibit HTML 80K
As filed with the Securities and Exchange Commission on November 20, 2007.
File No. 033-58041
File No. 811-07257
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-1A
REGISTRATION STATEMENT UNDER THE
SECURITIES ACT OF 1933
POST-EFFECTIVE AMENDMENT NO. 35 x
and
REGISTRATION STATEMENT UNDER THE
INVESTMENT COMPANY ACT OF 1940
AMENDMENT NO. 36 x
SEI INSTITUTIONAL INVESTMENTS TRUST
(Exact Name of Registrant as Specified in Charter)
c/o The CT Corporation System
101 Federal Street
Boston, Massachusetts 02110
(Address of Principal Executive Offices, Zip Code)
Registrant's Telephone Number, including Area Code 610-989-1000
c/o SEI Investments Company
Oaks, Pennsylvania 19456
(Name and Address of Agent for Service)
Copy to:
Richard W. Grant, Esquire
Morgan, Lewis & Bockius LLP
1701 Market Street
Philadelphia, Pennsylvania 19103
Title of Securities Being Registered Units of Beneficial Interest
It is proposed that this filing will become effective (check appropriate box):
o immediately upon filing pursuant to paragraph (b)
x on December 11, 2007 pursuant to paragraph (b)
o 60 days after filing pursuant to paragraph (a)(1) of Rule 485
o on September 30, 2007 pursuant to paragraph (a)(1) of Rule 485
o 75 days after filing
pursuant to paragraph (a)(2)
o on [date] pursuant to paragraph (a)(2)
If appropriate check the following box:
x This post-effective Amendment designates a new effective date for a previously filed post-effective Amendment.
The SEI Institutional Investments Trust's (the "Trust") Prospectus relating to the Screened World Equity Ex-US Fund is hereby incorporated by reference to Part A of Post-Effective Amendment No. 33 to the Trust's Registration Statement on Form N-1A (File Nos. 033-58041 and 811-07257; Accession Number 0001104659-07-068129) filed with the SEC via EDGAR on September 10, 2007.
The Trust's Statement of Additional Information relating to the Screened World Equity Ex-US Fund is hereby incorporated by reference to Part B of Post-Effective Amendment No. 33 to the Trust's Registration Statement on Form N-1A (File Nos. 033-58041 and 811-07257; Accession Number 0001104659-07-068129) filed with the SEC via EDGAR on September 10, 2007.
SEI INSTITUTIONAL INVESTMENTS TRUST
PART C. OTHER INFORMATION
Item 23. Exhibits:
(a) Registrant's Declaration of Trust, dated March 1, 1995, is herein incorporated by reference to Exhibit (1) of Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the Securities and Exchange Commission ("SEC") on March 10, 1995.
(b) Amended By-Laws, dated June 17, 2004, are herein incorporated by reference to Exhibit (b) of Post-Effective Amendment No. 17 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 9, 2004.
(c) Not Applicable.
(d)(1) Investment Advisory Agreement between the Trust and SEI Investments Management Corporation ("SIMC") (formerly "SEI Financial Management Corporation") as previously filed with Registrant's Pre-Effective Amendment No. 2 on Form N-1A (File No. 033-58041), filed with the SEC on June 7, 1996 is herein incorporated by reference to Exhibit (5)(a) of Post-Effective Amendment No. 2, filed with the SEC on September 29, 1997.
(d)(2) Schedule B to the Investment Advisory Agreement between the Trust and SIMC is herein incorporated by reference to Exhibit (d)(2) of Post-Effective Amendment No. 18 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 23, 2004.
(d)(3) Amended Schedule B to the Investment Advisory Agreement between the Trust and SIMC is herein incorporated by reference to Exhibit (d)(3) of Post-Effective Amendment No. 31 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on December 8, 2006.
(d)(4) Investment Sub-Advisory Agreement between SIMC and LSV Asset Management with respect to the Trust's Large Cap and Small Cap Funds as previously filed with Registrant's Pre-Effective Amendment No. 1 on Form N-1A (File No. 033-58041), filed with the SEC on April 26, 1996 is herein incorporated by reference to Exhibit (5)(k) of Post-Effective Amendment No. 2, filed with the SEC on September 29, 1997.
(d)(5) Investment Sub-Advisory Agreement between SIMC and Western Asset Management Company with respect to the Core Fixed Income Fund as previously filed with Registrant's Pre-Effective Amendment No. 1 on Form N-1A (File No. 033-58041), filed with the SEC on April 26, 1996 is herein incorporated by reference to Exhibit (5)(u) of Post-Effective Amendment No. 2, filed with the SEC on September 29, 1997.
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(d)(6) Schedule B dated January 1, 1997 to the Investment Sub-Advisory Agreement dated June 14, 1996 between SIMC and LSV Asset Management with respect to the Large Cap and Small Cap Value Funds is herein incorporated by reference to Exhibit (5)(ee) of Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 29, 1997.
(d)(7) Investment Sub-Advisory Agreement between SIMC and Capital Guardian Trust Company with respect to the International Equity Fund is herein incorporated by reference to Exhibit (5)(ii) of Post-Effective Amendment No. 3 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 25, 1998.
(d)(8) Investment Sub-Advisory Agreement between SIMC and Artisan Partners Limited Partnership with respect to the Small Cap Fund is herein incorporated by reference to Exhibit (d)(43) of Post-Effective Amendment No. 4 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 16, 1999.
(d)(9) Investment Sub-Advisory Agreement dated September 22, 1999 between SIMC and Nomura Corporate Research and Asset Management Inc. with respect to the High Yield Bond Fund is herein incorporated by reference to Exhibit (d)(45) of Post-Effective Amendment No. 7 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2001.
(d)(10) Investment Sub-Advisory Agreement between SIMC and Security Capital Research & Management Incorporated with respect to the Small Cap Fund is herein incorporated by reference to Exhibit (d)(46) of Post-Effective Amendment No. 5 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 1999.
(d)(11) Investment Sub-Advisory Agreement dated September 18, 2000 between SIMC and The Boston Company Asset Management LLC with respect to the Emerging Markets Equity Fund is herein incorporated by reference to Exhibit (d)(12) of Post-Effective Amendment No. 17 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 9, 2004.
(d)(12) Investment Sub-Advisory Agreement dated September 18, 2000 between SIMC and McKinley Capital Management Inc. with respect to the Small Cap Fund is herein incorporated by reference to Exhibit (d)(52) of Post-Effective Amendment No. 6 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2000.
(d)(13) Investment Sub-Advisory Agreement dated August 14, 2001 between SIMC and David J. Greene & Company, LLC with respect to the Small Cap Fund is herein incorporated by reference to Exhibit (d)(53) of Post-Effective Amendment No. 7 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2001.
(d)(14) Investment Sub-Advisory Agreement dated October 2, 2000 between SIMC and Sanford C. Bernstein & Co., LLC, as revised October 2, 2000, with respect to the Large Cap and Large Cap Value Funds is herein incorporated by reference to Exhibit (d)(58) of Post-Effective Amendment No. 7 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2001.
(d)(15) Investment Sub-Advisory Agreement dated March 12, 2002 between SIMC and Montag & Caldwell Inc. with respect to the Large Cap and Large Cap Growth Funds is herein incorporated by reference to Exhibit (d)(63) of Post-Effective Amendment No. 9 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on March 29, 2002.
(d)(16) Interim Investment Sub-Advisory Agreement dated October 17, 2007 between SIMC and Montag & Caldwell Inc. with respect to the Large Cap Fund is filed herewith.
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(d)(17) Investment Sub-Advisory Agreement dated March 14, 2002, between SIMC and Wellington Management Company, LLP with respect to the Small Cap Fund is herein incorporated by reference to Exhibit (d)(64) of Post-Effective Amendment No. 9 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on March 29, 2002.
(d)(18) Investment Sub-Advisory Agreement dated December 13, 1999 between SIMC and Mazama Capital Management, Inc. with respect to the Small Cap Fund is herein incorporated by reference to Exhibit (d)(36) of Post-Effective Amendment No. 10 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2002.
(d)(19) Investment Sub-Advisory Agreement dated June 26, 2002 between SIMC and Metropolitan West Asset Management LLC with respect to the Core Fixed Income Fund is herein incorporated by reference to Exhibit (d)(37) of Post-Effective Amendment No. 10 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2002.
(d)(20) Amendment to Investment Sub-Advisory Agreement between SIMC and Montag & Caldwell, Inc. is herein incorporated by reference to Exhibit (d)(39) of Post-Effective Amendment No. 10 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2002.
(d)(21) Investment Sub-Advisory Agreement dated December 9, 2002 between SIMC and Lee Munder Investments, Ltd. with respect to the Small Cap Fund is herein incorporated by reference to Exhibit (d)(36) of Post-Effective Amendment No. 11 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on May 16, 2003.
(d)(22) Investment Sub-Advisory Agreement dated December 9, 2002 between SIMC and Martingale Asset Management with respect to the Small Cap Fund is herein incorporated by reference to Exhibit (d)(37) of Post-Effective Amendment No. 11 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on May 16, 2003.
(d)(23) Investment Sub-Advisory Agreement dated January 24, 2003 between SIMC and Goldman Sachs Asset Management, L.P. with respect to the Large Cap and Large Cap Growth Funds is herein incorporated by reference to Exhibit (d)(38) of Post-Effective Amendment No. 11 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on May 16, 2003.
(d)(24) Investment Sub-Advisory Agreement dated March 11, 2003 between SIMC and Emerging Markets Management, L.L.C. with respect to the Emerging Markets Equity Fund is herein incorporated by reference to Exhibit (d)(39) of Post-Effective Amendment No. 11 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on May 16, 2003.
(d)(25) Investment Sub-Advisory Agreement dated June 26, 2002 between SIMC and McKinley Capital Management, Inc. with respect to the Large Cap and Large Cap Growth Funds is herein incorporated by reference to Exhibit (d)(40) of Post-Effective Amendment No. 11 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on May 16, 2003.
(d)(26) Investment Sub-Advisory Agreement dated June 22, 1999 between SIMC and AllianceBernstein L.P. with respect to the Emerging Markets Equity Fund is herein incorporated by reference to Exhibit (d)(42) of Post-Effective Amendment No. 11 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on May 16, 2003.
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(d)(27) Investment Sub-Advisory Agreement dated July 1, 2003 between SIMC and Aronson+Johnson+Ortiz, LP with respect to the Large Cap Fund is herein incorporated by reference to Exhibit (d)(36) of Post-Effective Amendment No. 12 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 29, 2003.
(d)(28) Schedules A and B to the Investment Sub-Advisory Agreement between SIMC and Aronson+Johnson+Ortiz, LP with respect to the Large Cap and Large Cap Diversified Alpha Fund are herein incorporated by reference to Exhibit (d)(5) of Post-Effective Amendment No. 23 to Registrant's Registration Statement (File No. 033-58041), filed with the SEC on October 28, 2005.
(d)(29) Investment Sub-Advisory Agreement dated August 28, 2003 between SIMC and Enhanced Investment Technologies, LLC with respect to the Large Cap Disciplined Equity Fund is herein incorporated by reference to Exhibit (d)(38) of Post-Effective Amendment No. 13 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2003.
(d)(30) Schedules A and B to the Investment Sub-Advisory Agreement between SIMC and Enhanced Investment Technologies, LLC with respect to the Large Cap and Large Cap Diversified Alpha Funds are herein incorporated by reference to Exhibit (d)(34) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
(d)(31) Investment Sub-Advisory Agreement dated July 1, 2003 between SIMC and Analytic Investors, Inc. with respect to the Large Cap Disciplined Equity Fund is herein incorporated by reference to Exhibit (d)(40) of Post-Effective Amendment No. 12 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 29, 2003.
(d)(32) Form of Amended Schedules A and B to the Investment Sub-Advisory Agreement between SIMC and Analytic Investors, Inc. with respect to the Large Cap Disciplined Equity, Global Managed Volatility and Large Cap Diversified Alpha Funds are herein incorporated by reference to Exhibit (d)(36) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
(d)(33) Investment Sub-Advisory Agreement dated July 1, 2003 between SIMC and Prudential Investment Management, Inc. with respect to the Large Cap Disciplined Equity Fund is herein incorporated by reference to Exhibit (d)(41) of Post-Effective Amendment No. 12 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 29, 2003.
(d)(34) Assignment and Assumption Agreement between SIMC, Prudential Investment Management, Inc. and Quantitative Management Associates LLC with respect to the Large Cap Disciplined Equity Fund is herein incorporated by reference to Exhibit (d)(39) of Post-Effective Amendment No. 17 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 9, 2004.
(d)(35) Investment Sub-Advisory Agreement dated July 1, 2003 between SIMC and Delaware Management Company, a series of Delaware Management Business Trust, with respect to the Small Cap and Small/Mid Cap Equity Funds is herein incorporated by reference to Exhibit (d)(42) of Post-Effective Amendment No. 12 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 29, 2003.
(d)(36) Schedules A and B dated April 27, 2005 to the Investment Sub-Advisory Agreement between SIMC and Delaware Management Company with respect to the Small Cap, Small/Mid Cap Equity and Large Cap Funds are herein incorporated by reference to Exhibit (d)(41) of Post-Effective Amendment No. 20 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2005.
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(d)(37) Amended Schedules A and B to the Investment Sub-Advisory Agreement between SIMC and Delaware Management Company with respect to the Large Cap Diversified Alpha Fund are herein incorporated by reference to Exhibit (d)(41) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
(d)(38) Investment Sub-Advisory Agreement dated July 1, 2003 between SIMC and Mazama Capital Management, Inc. with respect to the Small/Mid Cap Equity Fund is herein incorporated by reference to Exhibit (d)(43) of Post-Effective Amendment No. 12 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 29, 2003.
(d)(39) Investment Sub-Advisory Agreement dated July 1, 2003 between SIMC and Security Capital Research & Management Incorporated with respect to the Small/Mid Cap Equity Fund is herein incorporated by reference to Exhibit (d)(45) of Post-Effective Amendment No. 12 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 29, 2003.
(d)(40) Investment Sub-Advisory Agreement dated July 1, 2003 between SIMC and Alliance Capital Management L.P. with respect to the International Equity Fund is herein incorporated by reference to Exhibit (d)(48) of Post-Effective Amendment No. 12 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 29, 2003.
(d)(41) Schedules A and B to the Sub-Advisory Agreement between SIMC and Alliance Capital Management L.P., with respect to the International Equity and World Equity Ex-US Funds are herein incorporated by reference to Exhibit (d)(46) of Post-Effective Amendment No. 18 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 23, 2004.
(d)(42) Investment Sub-Advisory Agreement dated July 1, 2003 between SIMC and McKinley Capital Management Inc. with respect to the International Equity Fund is herein incorporated by reference to Exhibit (d)(49) of Post-Effective Amendment No. 12 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 29, 2003.
(d)(43) Schedules A and B to the Investment Sub-Advisory Agreement between SIMC and McKinley Capital Management Inc. with respect to the International Equity and World Equity Ex-US Funds are herein incorporated by reference to Exhibit (d)(49) of Post-Effective Amendment No. 20 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2005.
(d)(44) Investment Sub-Advisory Agreement dated November 5, 2003 between SIMC and Artisan Partners Limited Partnership with respect to the Small/Mid Cap Equity Fund is herein incorporated by reference to Exhibit (d)(47) of Post-Effective Amendment No. 16 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on February 5, 2004.
(d)(45) Investment Sub-Advisory Agreement dated December 15, 2003 between SIMC and Lee Munder Investments, Ltd. with respect to the Small/Mid Cap Equity Fund is herein incorporated by reference to Exhibit (d)(49) of Post-Effective Amendment No. 16 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on February 5, 2004.
(d)(46) Investment Sub-Advisory Agreement dated December 15, 2003 between SIMC and LSV Asset Management with respect to the Small/Mid Cap Equity Fund is herein incorporated by reference to Exhibit (d)(50) of Post-Effective Amendment No. 16 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on February 5, 2004.
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(d)(47) Schedules A and B to the Investment Sub-Advisory Agreement between SIMC and Martingale Asset Management, L.P. with respect to the Small Cap and Small/Mid Cap Equity Funds are herein incorporated by reference to Exhibit (d)(51) of Post-Effective Amendment No. 16 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on February 5, 2004.
(d)(48) Investment Sub-Advisory Agreement dated December 15, 2003 between SIMC and Wellington Management Company LLP with respect to the Small/Mid Cap Equity Fund is herein incorporated by reference to Exhibit (d)(52) of Post-Effective Amendment No. 16 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on February 5, 2004.
(d)(49) Investment Sub-Advisory Agreement dated September 30, 2003 between SIMC and Wells Capital Management, Inc. with respect to the Core Fixed Income Fund is herein incorporated by reference to Exhibit (d)(55) of Post-Effective Amendment No. 14 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on November 14, 2003.
(d)(50) Assumption Agreement dated March 28, 2003 between Goldman, Sachs & Co. and Goldman Sachs Asset Management, L.P. with respect to the Large Cap and the Large Cap Growth Funds is herein incorporated by reference to Exhibit (d)(55) of Post-Effective Amendment No. 13 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2003.
(d)(51) Investment Sub-Advisory Agreement between SIMC and ING Ghent Asset Management LLC with respect to the High Yield Bond Fund is herein incorporated by reference to Exhibit (d)(55) of Post-Effective Amendment No. 17 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 9, 2004.
(d)(52) Schedules A and B to the Investment Sub-Advisory Agreement between SIMC and ING Investment Management, Co. with respect to the Core Fixed Income Fund are herein incorporated by reference to Exhibit (d)(57) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
(d)(53) Amended Schedules A and B to the Investment Sub-Advisory Agreement between SIMC and ING Investment Management Co. with respect to the Emerging Markets Debt Fund are herein incorporated by reference to Exhibit (d)(58) of Post-Effective Amendment No. 25 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 28, 2006.
(d)(54) Investment Sub-Advisory Agreement dated November 7, 2003 between SIMC and Metropolitan West Asset Management LLC with respect to the High Yield Bond Fund is herein incorporated by reference to Exhibit (d)(57) of Post-Effective Amendment No. 16 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on February 5, 2004.
(d)(55) Investment Sub-Advisory Agreement dated March 31, 2004 between SIMC and Metropolitan West Asset Management LLC with respect to the Long Duration and Extended Duration Funds is herein incorporated by reference to Exhibit (d)(58) of Post-Effective Amendment No. 17 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 9, 2004.
(d)(56) Investment Sub-Advisory Agreement dated May 18, 2004 between SIMC and Integrity Asset Management, LLC with respect to the Small/Mid Cap Equity Fund is herein incorporated by reference to Exhibit (d)(59) of Post-Effective Amendment No. 17 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 9, 2004.
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(d)(57) Amended Schedules A and B to the Investment Sub-Advisory Agreement between SIMC and Integrity Asset Management, LLC with respect to the Small Cap Fund are herein incorporated by reference to Exhibit (d)(62) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
(d)(58) Investment Sub-Advisory Agreement dated July 15, 2004 between SIMC and Rexiter Capital Management Limited with respect to the Emerging Markets Equity Fund is herein incorporated by reference to Exhibit (d)(62) of Post-Effective Amendment No. 18 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 23, 2004.
(d)(59) Schedules A and B to the Investment Sub-Advisory Agreement between SIMC and Rexiter Capital Management Limited with respect to the Emerging Markets Equity and World Equity Ex-US Funds are herein incorporated by reference to Exhibit (d)(63) of Post-Effective Amendment No. 20 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2005.
(d)(60) Form of Investment Sub-Advisory Agreement between SIMC and Acadian Asset Management Inc. with respect to the Global Managed Volatility Fund is herein incorporated by reference to Exhibit (d)(65) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
(d)(61) Investment Sub-Advisory Agreement between SIMC and Capital Guardian Trust Company with respect to the World Equity Ex-US Fund is herein incorporated by reference to Exhibit (d)(65) of Post-Effective Amendment No. 18 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 23, 2004.
(d)(62) Investment Sub-Advisory Agreement dated June 15, 2005 between SIMC and Fuller & Thaler Asset Management, Inc. with respect to the International Equity and World Equity Ex-US Funds is herein incorporated by reference to Exhibit (d)(67) of Post-Effective Amendment No. 20 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2005.
(d)(63) Schedules A and B dated June 30, 2005 to the Investment Sub-Advisory Agreement between SIMC and Quantitative Management Associates LLC with respect to the Large Cap, International Equity and World Equity Ex-US Funds are herein incorporated by reference to Exhibit (d)(68) of Post-Effective Amendment No. 20 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2005.
(d)(64) Amended Schedules A and B to the Investment Sub-Advisory Agreement between SIMC and Quantitative Management Associates LLC with respect to the Large Cap Diversified Alpha Fund are herein incorporated by reference to Exhibit (d)(69) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
(d)(65) Investment Sub-Advisory Agreement dated September 29, 2005 between SIMC and Smith Breeden Associates, Inc. with respect to the Large Cap Disciplined Equity and Large Cap Diversified Alpha Funds is herein incorporated by reference to Exhibit (d)(15) of Post-Effective Amendment No. 23 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on October 28, 2005.
(d)(66) Amended Schedules A and B to the Investment Sub-Advisory Agreement between SIMC and Smith Breeden Associates, Inc. with respect to the International Equity and World Equity Ex-US Funds are herein incorporated by reference to Exhibit (d)(70) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
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(d)(67) Amendment to Investment Sub-Advisory Agreement between SIMC and Alliance Capital Management L.P. with respect to the Emerging Markets Equity Fund is herein incorporated by reference to Exhibit (d)(56) of Post-Effective Amendment No. 13 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2003.
(d)(68) Amendment to Investment Sub-Advisory Agreement between SIMC and Artisan Partners Limited Partnership with respect to the Small Cap Fund is herein incorporated by reference to Exhibit (d)(57) of Post-Effective Amendment No. 13 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2003.
(d)(69) Amendment to Investment Sub-Advisory Agreement between SIMC and The Boston Company Asset Management LLC with respect to the Emerging Markets Equity Fund is herein incorporated by reference to Exhibit (d)(60) of Post-Effective Amendment No. 13 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2003.
(d)(70) Amendment to Investment Sub-Advisory Agreement between SIMC and Capital Guardian Trust Company with respect to the International Equity Fund is herein incorporated by reference to Exhibit (d)(61) of Post-Effective Amendment No. 13 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2003.
(d)(71) Amendment to Investment Sub-Advisory Agreement between SIMC and David J. Greene and Company, LLC with respect to the Small Cap Fund is herein incorporated by reference to Exhibit (d)(62) of Post-Effective Amendment No. 13 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2003.
(d)(72) Amendment to Investment Sub-Advisory Agreement between SIMC and Emerging Markets Management, L.L.C. with respect to the Emerging Markets Equity Fund is herein incorporated by reference to Exhibit (d)(63) of Post-Effective Amendment No. 13 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2003.
(d)(73) Amendment to Investment Sub-Advisory Agreement between SIMC and Goldman Sachs Asset Management, L.P. with respect to the Large Cap and Large Cap Growth Funds is herein incorporated by reference to Exhibit (d)(64) of Post-Effective Amendment No. 13 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2003.
(d)(74) Amendment to Investment Sub-Advisory Agreement between SIMC and Lee Munder Investments, Ltd. with respect to the Small Cap Fund is herein incorporated by reference to Exhibit (d)(65) of Post-Effective Amendment No. 13 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2003.
(d)(75) Amendment to Investment Sub-Advisory Agreement between SIMC and LSV Asset Management with respect to the Large Cap, Large Cap Value and Small Cap Funds is herein incorporated by reference to Exhibit (d)(66) of Post-Effective Amendment No. 13 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2003.
(d)(76) Amendment to Investment Sub-Advisory Agreement between SIMC and Martingale Asset Management, L.P. with respect to the Small Cap Fund is herein incorporated by reference to Exhibit (d)(67) of Post-Effective Amendment No. 13 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2003.
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(d)(77) Amendment to Investment Sub-Advisory Agreement between SIMC and Mazama Capital Management, L.P. with respect to the Small Cap Fund is herein incorporated by reference to Exhibit (d)(68) of Post-Effective Amendment No. 13 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2003.
(d)(78) Amendment to Investment Sub-Advisory Agreement between SIMC and McKinley Capital Management with respect to the Small Cap Fund is herein incorporated by reference to Exhibit (d)(70) of Post-Effective Amendment No. 13 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2003.
(d)(79) Amendment to Investment Sub-Advisory Agreement between SIMC and Metropolitan West Asset Management with respect to the Core Fixed Income Fund is herein incorporated by reference to Exhibit (d)(71) of Post-Effective Amendment No. 13 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2003.
(d)(80) Amendment to Investment Sub-Advisory Agreement between SIMC and Montag & Caldwell, Inc. with respect to the Large Cap and Large Cap Growth Funds is herein incorporated by reference to Exhibit (d)(72) of Post-Effective Amendment No. 13 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2003.
(d)(81) Amendment to Investment Sub-Advisory Agreement between SIMC and Nomura Corporate Research and Asset Management Inc. with respect to the High Yield Bond Fund is herein incorporated by reference to Exhibit (d)(75) of Post-Effective Amendment No. 13 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2003.
(d)(82) Amendment to Investment Sub-Advisory Agreement between SIMC and Sanford C. Bernstein & Co., LLC with respect to the Large Cap and Large Cap Value Funds is herein incorporated by reference to Exhibit (d)(78) of Post-Effective Amendment No. 13 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2003.
(d)(83) Amendment to Investment Sub-Advisory Agreement between SIMC and Security Capital Research & Management Incorporated with respect to the Small Cap Fund is herein incorporated by reference to Exhibit (d)(79) of Post-Effective Amendment No. 13 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2003.
(d)(84) Amendment to Investment Sub-Advisory Agreement between SIMC and Wellington Management Company, LLP with respect to the Small Cap Fund is herein incorporated by reference to Exhibit (d)(82) of Post-Effective Amendment No. 13 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2003.
(d)(85) Amendment to Investment Sub-Advisory Agreement between SIMC and Western Asset Management Company with respect to the Core Fixed Income Fund is herein incorporated by reference to Exhibit (d)(83) of Post-Effective Amendment No. 13 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2003.
(d)(86) Investment Sub-Advisory Agreement between SIMC and Western Asset Management Company Limited with respect to the Core Fixed Income Fund is herein incorporated by reference to Exhibit (d)(92) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
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(d)(87) Schedule C to Investment Sub-Advisory Agreement between SIMC and LSV Asset Management with respect to the Large Cap, Large Cap Value, and Small Cap Funds is herein incorporated by reference to Exhibit (d)(85) of Post-Effective Amendment No. 14 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on November 14, 2003.
(d)(88) Investment Sub-Advisory Agreement between SIMC and Ashmore Investment Management Limited with respect to the Emerging Markets Equity and Emerging Markets Debt Funds is herein incorporated by reference to Exhibit (d)(94) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
(d)(89) Investment Sub-Advisory Agreement dated October 3, 2005 between SIMC and J.P. Morgan Investment Management, Inc. with respect to the High Yield Bond Fund is herein incorporated by reference to Exhibit (d)(95) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
(d)(90) Investment Sub-Advisory Agreement dated March 17, 2006 between SIMC and AlphaSimplex Group LLC with respect to the Large Cap Disciplined Equity Fund is herein incorporated by reference to Exhibit (d)(96) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
(d)(91) Investment Sub-Advisory agreement dated July 25, 2006 between SIMC and Record Currency Management Limited with respect to the International Fixed Income, International Equity and World Equity Ex-US Funds is herein incorporated by reference to Exhibit (d)(94) of Post-Effective Amendment No. 28 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2006.
(d)(92) Investment Sub-Advisory Agreement dated March 9, 2006 between SIMC and Los Angeles Capital Management and Equity Research, Inc. with respect to the Small Cap and Small/Mid Cap Equity Funds is herein incorporated by reference to Exhibit (d)(98) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
(d)(93) Investment Sub-Advisory Agreement dated October 11, 2005 between SIMC and SSgA Funds Management Inc. with respect to the Large Cap Index Fund is herein incorporated by reference to Exhibit (d)(99) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
(d)(94) Investment Sub-Advisory Agreement between SIMC and Stone Harbor Investment Partners, LP with respect to the Emerging Markets Debt Fund is herein incorporated by reference to Exhibit (d)(100) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
(d)(95) Investment Sub-Advisory Agreement between SIMC and BlackRock Capital Management, Inc. with respect to the Small Cap and Small/Mid Cap Equity Funds is herein incorporated by reference to Exhibit (d)(94) of Post-Effective Amendment No. 34 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2007.
(d)(96) Investment Sub-Advisory Agreement between SIMC and AXA Rosenberg Investment Management LLC with respect to the International Equity, Emerging Markets Equity and World Equity Ex-US Funds is herein incorporated by reference to Exhibit (d)(95) of Post-Effective Amendment No. 31 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on December 8, 2006.
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(d)(97) Investment Sub-Advisory Agreement between SIMC and Weiss, Peck & Greer Investments with respect to the Small Cap Fund is herein incorporated by reference to Exhibit (d)(96) of Post-Effective Amendment No. 31 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on December 8, 2006.
(d)(98) Investment Sub-Advisory Agreement between SIMC and Highland Capital Management, L.P. with respect to the Enhanced Income Fund is herein incorporated by reference to Exhibit (d)(97) of Post-Effective Amendment No. 31 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on December 8, 2006.
(d)(99) Amended Schedules A and B to the Sub-Advisory Agreement between SIMC and Security Capital Research and Management Incorporated, dated September 15, 2006, with respect to the Small Cap Fund are herein incorporated by reference to Exhibit (d)(98) of Post-Effective Amendment No. 31 to Registrant's Registration Statement on form N-1A (File No. 033-58041), filed with the SEC on December 8, 2006.
(d)(100) Amended Schedules A and B to the Sub-Advisory Agreement between SIMC and Security Capital Research and Management Incorporated, dated September 15, 2006, with respect to the Small/Mid Cap Equity Fund are herein incorporated by reference to Exhibit (d)(99) of Post-Effective Amendment No. 31 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on December 8, 2006.
(d)(101) Amended Schedules A and B to the Investment Sub-Advisory Agreement between SIMC and Record Currency Management Limited with respect to the Enhanced Income Fund are herein incorporated by reference to Exhibit (d)(100) of Post-Effective Amendment No. 31 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on December 8, 2006.
(d)(102) Amended Schedules A and B to the Investment Sub-Advisory Agreement between and Lee Munder Investments Ltd. SIMC with respect to the Small/Mid Cap Equity Fund are herein incorporated by reference to Exhibit (d)(101) of Post-Effective Amendment No. 31 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on December 8, 2006.
(d)(103) Form of Investment Sub-Advisory Agreement between SIMC and Deutsche Investment Management Americas, Inc. with respect to the Real Return Plus Fund is herein incorporated by reference to Exhibit (d)(102) of Post-Effective Amendment No. 31 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on December 8, 2006.
(d)(104) Investment Sub-Advisory Agreement dated December 13, 2006 between SIMC and First Quadrant, L.P. with respect to the Real Return Plus Fund is herein incorporated by reference to Exhibit (d)(103) of Post-Effective Amendment No. 31 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on December 8, 2006.
(d)(105) Investment Sub-Advisory Agreement dated May 10, 2007 between SIMC and PanAgora Asset Management Inc. with respect to the Small/Mid Cap Equity and Small Cap Funds is herein incorporated by reference to Exhibit (d)(104) of Post-Effective Amendment No. 31 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on December 8, 2006.
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(d)(106) Amended Schedules A and B to the Investment Sub-Advisory Agreement between SIMC and PanAgora Asset Management Inc. with respect to the Small/Mid Cap Equity, Emerging Markets Equity and Small Cap Funds is herein incorporated by reference to Exhibit (d)(105) of Post-Effective Amendment No. 34 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2007.
(d)(107) Form of Amended Schedules A and B to the Investment Sub-Advisory Agreement between SIMC and Wellington Management Company, LLP with respect to the Small/Mid Cap Diversified Alpha and Enhanced Income Funds are herein incorporated by reference to Exhibit (d)(106) of Post-Effective Amendment No. 32 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2007.
(d)(108) Investment Sub-Advisory Agreement dated March 30, 2007 between SIMC and Ares Management LLC with respect to the High Yield Bond Fund is herein incorporated by reference to Exhibit (d)(107) of Post-Effective Amendment No. 32 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2007.
(d)(109) Investment Sub-Advisory Agreement dated July 13, 2007 between SIMC and Janus Capital Management LLC, with respect to the Small Cap and Small/Mid Cap Funds is herein incorporated by reference to Exhibit (d)(108) of Post-Effective Amendment No. 34 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2007.
(d)(110) Investment Sub-Advisory Agreement dated October 10, 2007 between SIMC and ING Investment Management Advisors, B.V. with respect to the Emerging Markets Debt Fund is filed herewith.
(e)(1) Amended and Restated Distribution Agreement between the Trust and SEI Investments Distribution Co. dated September 16, 2002 is herein incorporated by reference to Exhibit (e) of Post-Effective Amendment No. 10 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2002.
(e)(2) Schedule A to the Distribution Agreement between the Trust and SEI Investments Distribution Co., as amended September 16, 2004, is herein incorporated by reference to Exhibit (e)(2) of Post-Effective Amendment No. 18 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 23, 2004.
(e)(3) Amended Schedule A to the Amended and Restated Distribution Agreement is herein incorporated by reference to Exhibit (e)(3) of Post-Effective Amendment No. 28 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2006.
(f) Not Applicable.
(g)(1) Custodian Agreement between the Trust and Brown Brothers Harriman & Co. is herein incorporated by reference to Exhibit (g)(2) of Post-Effective Amendment No. 17 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 9, 2004.
(g)(2) Custodian Agreement between the Trust and U.S. Bank National Association dated August 16, 2006 is herein incorporated by reference to Exhibit (g)(3) of Post-Effective Amendment No. 32 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2007.
(h)(1) Amended and Restated Administration and Transfer Agency Agreement between the Trust and SEI Investments Fund Management dated December 10, 2003 is herein incorporated by reference to Exhibit (h)(1) of Post-Effective Amendment No. 17 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 9, 2004.
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(h)(2) Schedule D to the Amended and Restated Administration and Transfer Agency Agreement between the Trust and SEI Investments Fund Management, as amended September 16, 2004, is herein incorporated by reference to Exhibit (h)(2) of Post-Effective Amendment No. 18 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 23, 2004.
(h)(3) Amended Schedule D to the Amended and Restated Administration and Transfer Agency Agreement between the Trust and SEI Investments Global Funds Services is herein incorporated by reference to Exhibit (h)(3) of Post-Effective Amendment No. 28 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2006.
(i) Opinion and Consent of Counsel to be filed by later Amendment.
(j) Consent of Independent Registered Public Accounting Firm to be filed by later Amendment.
(k) Not Applicable.
(l) Not Applicable.
(m) Not Applicable.
(n) Amended and Restated Rule 18f-3 Multiple Class Plan dated November 14, 2001, as approved September 16, 2002, is herein incorporated by reference to Exhibit (n) of Post-Effective Amendment No. 10 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 30, 2002.
(o) Not Applicable.
(p)(1) The Code of Ethics for SEI Investments Management Corporation is herein incorporated by reference to Exhibit (p)(1) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
(p)(2) The Code of Ethics for SEI Investments Distribution Co. is herein incorporated by reference to Exhibit (p)(2) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
(p)(3) The Code of Ethics for SEI Investments Global Funds Services is herein incorporated by reference to Exhibit (p)(3) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
(p)(4) The Code of Ethics for SEI Institutional Investments Trust is herein incorporated by reference to Exhibit (p)(4) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
(p)(5) The Code of Ethics dated 2005 for AllianceBernstein L.P., updated January, 2007, is herein incorporated by reference to Exhibit (p)(5) of Post-Effective Amendment No. 34 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2007.
(p)(6) The Code of Ethics for Artisan Partners Limited Partnership, dated May 4, 2007 is herein incorporated by reference to Exhibit (p)(6) of Post-Effective Amendment No. 32 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2007.
(p)(7) The Code of Ethics for BlackRock Advisors, Inc. is herein incorporated by reference to Exhibit (p)(6) of Post-Effective Amendment No. 22 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2005.
C-13
(p)(8) The Code of Ethics for The Bank of New York Mellon Corporation, the parent company of The Boston Company Asset Management LLC is herein incorporated by reference to Exhibit (p)(8) of Post-Effective Amendment No. 34 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2007.
(p)(9) The Code of Ethics for Capital Guardian Trust Company, dated May 2007, is herein incorporated by reference to Exhibit (p)(9) of Post-Effective Amendment No. 32 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2007.
(p)(10) The Code of Ethics for David J. Greene and Company, LLC is herein incorporated by reference to Exhibit (p)(24) of Post-Effective Amendment No. 34 of SEI Institutional Managed Trust's Registration Statement on Form N-1A (File No. 033-9504), filed with the SEC on July 14, 2000.
(p)(11) The Code of Ethics for Emerging Markets Management, L.L.C. is herein incorporated by reference to Exhibit (p)(11) of Post-Effective Amendment No. 20 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2005.
(p)(12) The Code of Ethics for Goldman Sachs Asset Management, L.P., as revised January 23, 2007, is herein incorporated by reference to Exhibit (p)(12) of Post-Effective Amendment No. 34 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2007.
(p)(13) The Code of Ethics for Lee Munder Investments, Ltd. dated 2005 is herein incorporated by reference to Exhibit (p)(14) of Post-Effective Amendment No. 20 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2005.
(p)(14) The Code of Ethics for LSV Asset Management L.P. is herein incorporated by reference to Exhibit (p)(14) of Post-Effective Amendment No. 31 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on December 8, 2006.
(p)(15) The Code of Ethics for Martingale Asset Management, L.P., dated June 30, 2006, revised June 13, 2007 is herein incorporated by reference to Exhibit (p)(15) of Post-Effective Amendment No. 32 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2007.
(p)(16) The Code of Ethics for Mazama Capital Management, Inc., dated February 2, 2007 is herein incorporated by reference to Exhibit (p)(16) of Post-Effective Amendment No. 32 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2007.
(p)(17) The Code of Ethics for McKinley Capital Management Inc., dated 2005, is herein incorporated by reference to Exhibit (p)(18) of Post-Effective Amendment No. 20 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2005.
(p)(18) The Code of Ethics for Metropolitan West Asset Management LLC, dated February 2007, is herein incorporated by reference to Exhibit (p)(18) of Post-Effective Amendment No. 32 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2007.
(p)(19) The Code of Ethics for Montag & Caldwell, Inc. is herein incorporated by reference to Exhibit (p)(19) of Post-Effective Amendment No. 34 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2007.
(p)(20) The Code of Ethics for Nomura Corporate Resesarch & Asset Management Inc. is herein incorporated by reference to Exhibit (p)(22) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
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(p)(21) The Code of Ethics for Security Capital Research & Management Incorporated, dated May 1, 2007, is herein incorporated by reference to Exhibit (p)(21) of Post-Effective Amendment No. 34 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2007.
(p)(22) The Code of Ethics for Wellington Management Company, LLP, dated February 17, 2006, updated January 1, 2007 is herein incorporated by reference to Exhibit (p)(22) of Post-Effective Amendment No. 32 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2007.
(p)(23) The Code of Ethics for Wells Capital Management, Inc., dated February, 2007, is herein incorporated by reference to Exhibit (p)(23) of Post-Effective Amendment No. 34 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2007.
(p)(24) The Code of Ethics for Western Asset Management Company, dated September, 2006, is herein incorporated by reference to Exhibit (p)(24) of Post-Effective Amendment No. 28 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2006.
(p)(25) The Code of Ethics for Aronson+Johnson+Ortiz, LP is herein incorporated by reference to Exhibit (p)(25) of Post-Effective Amendment No. 31 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on December 8, 2006.
(p)(26) The Code of Ethics for Enhanced Investment Technologies, LLC is herein incorporated by reference to Exhibit (p)(28) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
(p)(27) The Code of Ethics for Analytic Investors, Inc. is herein incorporated by reference to Exhibit (p)(31) of Post-Effective Amendment No. 20 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2005.
(p)(28) The Code of Ethics for Quantitative Management Associates, LLC is herein incorporated by reference to Exhibit (p)(33) of Post-Effective Amendment No. 17 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 9, 2004.
(p)(29) The Code of Ethics for Delaware Management Company, a series of Delaware Management Business Trust, dated June 8, 2006, is herein incorporated by reference to Exhibit (p)(29) of Post-Effective Amendment No. 28 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2006.
(p)(30) The Code of Ethics for ING Investment Management Co. is herein incorporated by reference to Exhibit (p)(30) of Post-Effective Amendment No. 34 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2007.
(p)(31) The Code of Ethics for Integrity Asset Management, LLC is herein incorporated by reference to Exhibit (p)(39) of Post-Effective Amendment No. 17 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 9, 2004.
(p)(32) The Code of Ethics for Rexiter Capital Management Limited, dated October, 2005, is herein incorporated by reference to Exhibit (p)(32) of Post-Effective Amendment No. 28 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2006.
(p)(33) The Code of Ethics for Acadian Asset Management Inc., dated April, 2006, is herein incorporated by reference to Exhibit (p)(33) of Post-Effective Amendment No. 28 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2006.
C-15
(p)(34) The Code of Ethics for Fuller & Thaler Asset Management, Inc. is herein incorporated by reference to Exhibit (p)(40) of Post-Effective Amendment No. 20 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2005.
(p)(35) The Code of Ethics for Smith Breeden Associates, Inc. is herein incorporated by reference to Exhibit (p)(35) of Post-Effective Amendment No. 31 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on December 8, 2006.
(p)(36) The Code of Ethics for J.P. Morgan Investment Management Inc., dated February 1, 2005, revised May 15, 2007, is herein incorporated by reference to Exhibit (p)(36) of Post-Effective Amendment No. 32 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2007.
(p)(37) The Code of Ethics for Ashmore Investment Management Limited, dated February 19, 2007, is herein incorporated by reference to Exhibit (p)(37) of Post-Effective Amendment No. 32 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2007.
(p)(38) The Code of Ethics for AlphaSimplex Group LLC is herein incorporated by reference to Exhibit (p)(40) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
(p)(39) The Code of Ethics for Los Angeles Capital Management and Equity Research, Inc., dated February 19, 2007, is herein incorporated by reference to Exhibit (p)(39) of Post-Effective Amendment No. 32 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2007.
(p)(40) The Code of Ethics for Record Currency Management Limited is herein incorporated by reference to Exhibit (p)(42) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
(p)(41) The Code of Ethics for SSgA Funds Management, Inc. dated May 2007, is herein incorporated by reference to Exhibit (p)(41) of Post-Effective Amendment No. 32 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2007.
(p)(42) The Code of Ethics for Stone Harbor Investment Partners LP is herein incorporated by reference to Exhibit (p)(42) of Post-Effective Amendment No. 32 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2007.
(p)(43) The Code of Ethics for AXA Rosenberg Investment Management Inc., dated February 7, 2005, is herein incorporated by reference to Exhibit (p)(43) of Post-Effective Amendment No. 28 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2006.
(p)(44) The Code of Ethics for Robeco Investment Management, Inc., dated January, 2007, is herein incorporated by reference to Exhibit (p)(44) of Post-Effective Amendment No. 34 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2007.
(p)(45) The Code of Ethics for Highland Capital Management, L.P. is herein incorporated by reference to Exhibit (p)(45) of Post-Effective Amendment No. 28 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2006.
(p)(46) The Code of Ethics for Deutsche Investment Management Americas Inc. is herein incorporated by reference to Exhibit (p)(46) of Post-Effective Amendment No. 31 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on December 8, 2006.
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(p)(47) The Code of Ethics for First Quadrant, L.P., dated February 2007, is herein incorporated by reference to Exhibit (p)(47) of Post-Effective Amendment No. 32 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2007.
(p)(48) The Code of Ethics for Ares Management LLC is herein incorporated by reference to Exhibit (p)(48) of Post-Effective Amendment No. 32 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2007.
(p)(49) The Code of Ethics for Janus Capital Management LLC dated August 22, 2007, is herein incorporated by reference to Exhibit (p)(49) of Post-Effective Amendment No. 34 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2007.
(p)(50) The Code of Ethics for PanAgora Asset Management, Inc., dated June 30, 2007, is herein incorporated by reference to Exhibit (p)(50) of Post-Effective Amendment No. 34 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on September 28, 2007.
(p)(51) The Code of Ethics for ING Investment Management Advisors, B.V. is filed herewith.
(q)(1) Powers of Attorney for Robert A. Nesher, William M. Doran, George J. Sullivan, Jr., F. Wendell Gooch, Rosemarie B. Greco, Nina Lesavoy, James M. Storey, Stephen F. Panner and James M. Williams are herein incorporated by reference to Exhibit (q)(1) of Post-Effective Amendment No. 24 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on July 14, 2006.
(q)(2) Power of Attorney for Mitchell A. Johnson is herein incorporated by reference to Exhibit (q)(2) of Post-Effective Amendment No. 32 to Registrant's Registration Statement on Form N-1A (File No. 033-58041), filed with the SEC on August 1, 2007.
Item 24.
See the Prospectus and Statement of Additional Information filed herewith regarding the Trust's control relationships. The Administrator is a subsidiary of SEI Investments Company which also controls the Distributor of the Registrant, SEI Investments Distribution Co., and other corporations engaged in providing various financial and record keeping services, primarily to bank trust departments, pension plan sponsors, and investment managers.
Item 25. Indemnification:
Article VIII of the Agreement and Declaration of Trust is filed as Exhibit 1 to the Registration Statement. Insofar as indemnification for liabilities arising under the Securities Act of 1933 may be permitted to trustees, directors, officers and controlling persons of the Registrant by the Registrant pursuant to the Declaration of Trust or otherwise, the Registrant is aware that in the opinion of the Securities and Exchange Commission, such indemnification is against public policy as expressed in the Act and, therefore, is unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by trustees, directors, officers or controlling persons of the Registrant in connection with the successful defense of any act, suite or proceeding) is asserted by such trustees, directors, officers or controlling persons in connection with the shares being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Act and will be governed by the final adjudication of such issues.
C-17
Item 26. Business and Other Connections of the Investment Adviser and Sub-Advisers:
The following tables describe other business, profession, vocation, or employment of a substantial nature in which each director or principal officer of the adviser and each sub-adviser is or has been, at any time during the last two fiscal years, engaged for his own account or in the capacity of director, officer, employee, partner or trustee. The adviser and each sub-adviser's table was provided to the Registrant by the adviser or respective sub-adviser for inclusion in this Registration Statement.
Acadian Asset Management Inc.
Acadian Asset Management Inc. ("Acadian") is a sub-adviser for the Registrant's Global Managed Volatility Fund. The principal business address of Acadian is One Post Office Square, Boston, Massachusetts 02109. Acadian is an investment adviser registered under the Investment Advisers Act of 1940 (the "Advisers Act").
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Gary L. Bergstrom, Chairman |
— | — | |||||||||
Ronald D. Frashure, President |
— | — | |||||||||
Churchill G. Franklin, Executive Vice President |
— | — | |||||||||
John R. Chisholm, Executive Vice President |
— | — | |||||||||
Scott Powers | Old Mutual Asset Managers (U.S.) | CEO | |||||||||
AllianceBernstein L.P.
AllianceBernstein L.P. ("AllianceBernstein") is a sub-adviser for the Registrant's Emerging Markets Equity, International Equity and World Equity Ex-US Funds and AllianceBernstein's investment unit of Sanford C. Bernstein & Co., LLC ("Bernstein"), a wholly-owned subsidiary and an investment unit of AllianceBernstein, serves as a Sub-Adviser to a portion of the assets of the Emerging Markets Equity, International Equity, World Equity Ex-US, International Fixed Income and Large Cap Funds. The principal business address of AllianceBernstein is 1345 Avenue of the Americas, New York, New York 10105. AllianceBernstein and Bernstein are investment advisers registered under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Lewis A. Sanders Chairman of the Board, Chief Investment Officer/ Director |
AllianceBernstein |
Chairman of the Board and Chief Executive Officer/ Director |
|||||||||
Gregory J. Tencza | AllianceBernstein | Executive Vice President | |||||||||
C-18
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Jeffrey S. Phlegar Executive Vice President |
AllianceBernstein | Executive Vice President | |||||||||
James A. Gingrich Executive Vice President |
AllianceBernstein | Executive Vice President | |||||||||
Henri de Castries Director |
AXA AELIC AXA Financial |
Chairman, Management Board Director Chairman of the Board |
|||||||||
Christopher M. Condron Board Director |
AXA AELIC AXA Financial |
Member of the Management Chairman, Chief Executive Officer Director, President & Chief Executive Officer |
|||||||||
Denis Duverne Director |
AXA AELIC |
Chief Financial Officer Director |
|||||||||
Richard S. Dziadzio Director |
|||||||||||
Mark R. Manley Executive Vice President |
AllianceBernstein |
Senior Vice President, Deputy General Counsel and Chief Compliance Officer |
|||||||||
Deborah S. Hechinger Director |
|||||||||||
Seth J. Masters Executive Vice President |
AllianceBernstein | Executive Vice President | |||||||||
Dominique Carrel-Billard Director |
AXA | Chief Executive Officer | |||||||||
Douglas J. Peebles Executive Vice President |
AllianceBernstein | Executive Vice President | |||||||||
Gerald M. Lieberman President, Director and Chief Operating Officer |
AllianceBernstein |
President and Chief Operating Officer |
|||||||||
Peter J. Tobin Director |
AXA | Director | |||||||||
Peter Etzenbach Director |
|||||||||||
Weston M. Hicks Director |
Alleghany Corporation |
President and Chief Executive Officer |
|||||||||
C-19
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Sharon E. Fay Executive Vice President |
AllianceBernstein | Executive Vice President | |||||||||
Lorie Slutsky Director |
The New York Community Trust AELIC |
President and Chief Executive Officer | |||||||||
Robert Henry Joseph Jr. Senior Vice President & Chief Financial Officer |
AllianceBernstein |
Senior Vice President and Chief Financial Officer |
|||||||||
Marilyn Fedak Executive Vice President |
AllianceBernstein | Executive Vice President | |||||||||
Thomas S. Hexner Executive Vice President |
AllianceBernstein | Executive Vice President | |||||||||
Marc O. Mayer Executive Vice President |
AllianceBernstein | Executive Vice President | |||||||||
James G. Reilly Executive Vice President |
AllianceBernstein | Executive Vice President | |||||||||
Lawrence H. Cohen Executive Vice President |
AllianceBernstein | Executive Vice President | |||||||||
Laurence E. Cranch Executive Vice President and General Counsel |
AllianceBernstein |
Executive Vice President and General Counsel |
|||||||||
Paul Rissman Executive Vice President |
AllianceBernstein | Executive Vice President | |||||||||
Christopher Toub Executive Vice President |
AllianceBernstein | Executive Vice President | |||||||||
Lisa Shalett Executive Vice President |
AllianceBernstein | Executive Vice President | |||||||||
David Steyn Executive Vice President |
AllianceBernstein | Executive Vice President | |||||||||
Mark R. Gordon Executive Vice President |
AllianceBernstein | Executive Vice President | |||||||||
A.W (Pete) Smith, Jr. Director |
Smith Consulting | President | |||||||||
Edward J. Farrell Executive Vice President |
AllianceBernstein | Senior Vice President and Controller | |||||||||
C-20
AlphaSimplex Group LLC
AlphaSimplex Group LLC ("AlphaSimplex") is a sub-adviser for the Registrant's Large Cap Disciplined Equity Fund. The principal business address of AlphaSimplex is One Cambridge Center, Cambridge, MA 02142. AlphaSimplex is a registered investment adviser under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Andrew W. Lo Managing Member, Chief Scientific Officer, Chairman of the Investment Committee |
Sloan School of Management, Massachusetts Institute of Technology Laboratory for Financial Engineering, Massachusetts Institute of Technology |
Harris & Harris Group Professor of Finance Director |
|||||||||
Arnout M. Eikeboom Chief Risk Officer and Chief Compliance Officer |
— | — | |||||||||
Brent R. Mathus Head of Trading |
— | — | |||||||||
Kendall A. Walker Chief Financial Officer |
— | — | |||||||||
Analytic Investors, Inc.
Analytic Investors, Inc. ("Analytic") is a sub-adviser for the Registrant's Large Cap Disciplined Equity and Large Cap Diversified Alpha Funds. The principal business address of Analytic is 500 South Grand Avenue, 23rd Floor, Los Angeles, California 90071. Analytic is a registered investment adviser under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Roger G. Clarke Chairman |
Ensign Peak Advisors Bonneville Holding Corporation Deseret Trust Company Deseret Trust Company of California |
President Director Director Director |
|||||||||
Scott Powers Director |
Old Mutual (US) Holdings, Inc. Old Mutual Asset Managers (US) LLC |
Chief Executive Officer Chief Executive Officer |
|||||||||
Thomas Turpin Director |
Old Mutual (US) Holdings, Inc. Old Mutual Asset Managers (US) LLC |
Chief Operating Officer Chief Operating Officer |
|||||||||
Harindra de Silva Director and President |
Analytic US Market Neutral, Ltd.; Analytic US Market Offshore Master, Ltd. Analytic Market Neutral V-6, Ltd. Analytic US Market Neutral Offshore II, Ltd. Analytic US Market Neutral Offshore Master II, Ltd. Analytic Japanese Equity Market Neutral Offshore Master, Ltd. Analytic Japanese Equity Market Neutral Offshore, Ltd. |
Director Director Director Director Director Director Director |
|||||||||
C-21
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Marie Nastasi Arlt Director and Chief Operating Officer |
Analytic US Market Neutral, Ltd.; Analytic US Market Offshore Master, Ltd. Analytic Market Neutral V-6, Ltd. Analytic US Market Neutral Offshore II, Ltd. Analytic US Market Neutral Offshore Master II, Ltd. Analytic Japanese Equity Market Neutral Offshore Master, Ltd. Analytic Japanese Equity Market Neutral Offshore, Ltd. |
Director Director Director Director Director Director Director |
|||||||||
Ares Management LLC
Ares Management LLC ("Ares") is a sub-adviser for the Registrant's High Yield Bond Fund. The principal business address of Ares is 1999 Avenue of the Stars, 19th Floor, Los Angeles, California 90067. Ares is a registered investment adviser under the Adviser's Act.
During the last two fiscal years, no partner of Ares has engaged in any other business, profession, vocation or employment of a substantial nature other than the business of investment management.
Aronson+Johnson+Ortiz, LP
Aronson+Johnson+Ortiz, LP ("AJO") is a sub-adviser for the Registrant's Large Cap and Large Cap Diversified Alpha Funds. The principal business address of AJO is 230 South Broad Street, Twentieth Floor, Philadelphia, Pennsylvania 19102. AJO is a registered investment adviser under the Advisers Act.
During the last two fiscal years, no partner of AJO has engaged in any other business, profession, vocation or employment of a substantial nature other than the business of investment management.
Artisan Partners Limited Partnership
Artisan Partners Limited Partnership ("Artisan") is a sub-adviser for the Registrant's Small Cap Fund. The principal business address of Artisan is 875 E. Wisconsin Avenue, Suite 800, Milwaukee, Wisconsin 53202. Artisan is an investment adviser registered under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Andrew A. Ziegler Chief Executive Officer |
Artisan Distributors LLC | Officer | |||||||||
Lawrence A. Totsky Chief Financial Officer |
Artisan Distributors LLC | Officer | |||||||||
Janet D. Olsen General Counsel |
Artisan Distributors LLC | Officer | |||||||||
Brooke J. Billick Chief Compliance Officer |
Artisan Distributors LLC | Officer | |||||||||
C-22
Ashmore Investment Management Limited
Ashmore Investment Management Limited ("Ashmore") is a sub-adviser for the Registrant's Emerging Markets Debt Fund. The principal business address of Ashmore is 20 Bedfordbury, London, United Kingdom WC2N 4BL. Ashmore is a registered investment adviser under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Mark Langhorn Coombs Director |
Ashmore Group plc Ashmore Investments (UK) Ltd Ashmore Investment Management Limited Ashmore Asset Management Limited Ashmore Russian Equity Fund (Cayman Islands registered) Ashmore AOF (GP) Limited (Cayman Islands registered) Ashmore Global Special Situations Fund Limited (Guernsey registered) Ashmore Global Special Situations Fund 2 Limited (Guernsey registered) Ashmore Emerging Markets Debt Fund (Cayman Islands registered) Ashmore Management Company Limited (Guernsey registered) International Administration (Guernsey) Limited (Guernsey registered) Balkan Regeneration Fund (Cayman Islands registered) CPI Limited (Cayman Islands registered) Ashmore Cayman SPC Limited (Cayman Islands registered) Ashmore Global Special Situations Fund 3 Limited (Guernsey registered) Ashmore Emerging Markets Debt and Currency Fund (Guernsey registered) EMTA (formerly "Emerging Markets Traders Association" (US registered) Ashmore SICAV (Luxembourg registered) |
Director Director Director Director Director (resigned July 4, 2006) Director (Company struck off register 12/29/2006) Director (resigned November 4, 2006) Director (resigned November 4, 2006) Director (resigned May 4, 2006) Director (resigned May 4, 2006) Director (resigned December 30, 2005) Director (resigned June 29, 2005) Director (resigned December 4, 2006) Director (resigned December 4, 2006) Director (resigned April 10, 2006) Director (resigned November 4, 2006) Director (Co-chair) Director (resigned May 31, 2006) |
|||||||||
C-23
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
James Neilsen Pettigrew |
Ashmore (Hong Kong) Limited (Hong Kong registered) Ashmore Energy International Limited (Cayman Islands registered) Yamal Co Energy Partners Limited Ashmore Local Currency Fund (Cayman Islands registered) Fidelity Cayman Investment Company Limited (Cayman Islands registered) The Ashmore Group Limited Pension Scheme The Ashmore Group Ltd Retirement and Death Benefit Scheme The Ashmore Group Ltd Retirement and Death Benefit Scheme Re: Mark Coombs The Ashmore Group Ltd Retirement and Death Benefit Scheme Re: Julian Green The Ashmore Group Ltd Retirement and Death Benefit Scheme Re: Christopher Raeder The Ashmore Group Ltd Retirement and Death Benefit Scheme Re: Jerome Booth Edinburgh Investment Trust plc CMC Markets plc Ashmore Group plc Ashmore Investment Management Limited Ashmore Investments (UK) Limited Garban-Intercapital America (No. 3) Ltd Bavensdale Company Butler Securities Nominees Ltd Carlingdale Company Exco International plc Exco Nominees Limited Exco Overseas Limited Garban Broking Holdings (Europe) Limited Garban Europe Limited |
Director Director Director (resigned December 15, 2006) Director (resigned May 4, 2006) Director (resigned December 4, 2006) Trustee (Ceased) Trustee Trustee Trustee Trustee Trustee Director Director Director Director Director Director (resigned February 2, 2006 Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) |
|||||||||
C-24
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Garban Group Holidngs Limited Garban Information Systems Limited Garban International Garban Nominees Limited Garban-Intercapital (2001) Limited Garban-Intercapital (Dakleigh) Garban-Intercapital America (No.1) Limited Garban-Intercapital America (No.2) Limited Garban-Intercapital America (No.4) Limited Garban-Intercapital US Investments (Holdings) Limited Garban-Intercapital US Investments (No 1) Limited Garban-Intercapital US Investments (No 2) Limited GHL Investments Limited ICAP America Investments Limited ICAP Energy Limited ICAP Europe Limited ICAP Futures Limited ICAP Holdings (USA) Inc ICAP Investments Limited ICAP Management Services Limited ICAP New Jersey (No 1) LLC ICAP New Jersey (No 1) LLC (Branch) ICAP North America Investments Limited ICAP plc ICAP Securites Limited ICAP SPV Limited ICAP US No.1 Limited ICAP US No.2 Limited ICAP WCLK Limited Intercapital plc T & M Securities Limited Zedco Ltd ICAP Securities Ltd Paris Office |
Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned June 2, 2006) Director (resigned August 8, 2005) |
||||||||||
C-25
AXA Rosenberg Investment Management LLC
AXA Rosenberg Investment Management LLC ("AXA Rosenberg") is a sub-adviser for the Registrant's International Equity, World Equity Ex-US and Emerging Markets Equity Funds. The principal business address of Analytic is 4 Orinda Way, Building E, Orinda, California 94563. AXA Rosenberg is a registered investment adviser under the Advisers Act.
BlackRock Capital Management, Inc.
BlackRock Capital Management, Inc. ("BlackRock") is a sub-adviser for the Registrant's Small Cap and Small/Mid Cap Equity Funds. The principal business address of BlackRock is 100 Bellevue Parkway, Wilmington, Delaware 19809. BlackRock is an investment adviser registered under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Paul Audet, Chief Financial Officer and Managing Director |
BlackRock, Inc., New York, NY BlackRock Advisors, LLC, Wilmington, DE BlackRock Advisors Holdings, Inc., New York, NY BlackRock Financial Management, Inc., New York, NY BlackRock Finco, LLC Wilmington, DE BlackRock Finco UK, Ltd., London, England BlackRock Funding, Inc. Wilmington, DE BlackRock Institutional Management Corporation Wilmington, DE BlackRock International Holdings, Inc., New York, NY BlackRock International, Ltd, Edinburgh, Scotland BlackRock Investment Management, LLC, Plainsboro, NJ BlackRock Lux Finco S.a.r.l. Luxembourg, Luxembourg BlackRock Operations (Luxembourg) S.a.r.l. Luxembourg, Luxembourg BlackRock Portfolio Holdings, Inc. Wilmington, DE BlackRock Portfolio Investments, LLC Wilmington, DE BlackRock UK 1 LP London, England |
Chief Financial Officer and Managing Director Chief Financial Officer and Managing Director Chief Financial Officer and Managing Director Chief Financial Officer, Director, and Managing Director Director Director Chief Financial Officer, Director, and Managing Director Chief Financial Officer, Director, and Managing Director Chief Financial Officer and Managing Director Chief Financial Officer and Managing Director Chief Financial Officer and Managing Director Chief Financial Officer and Managing Director Chief Financial Officer and Managing Director Chief Financial Officer, Director, and Managing Director Chief Financial Officer and Managing Director Chief Financial Officer and Managing Director |
|||||||||
C-26
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Robert P. Connolly, General Counsel, Managing Director and Secretary |
BlackRock US Newco, Inc., Wilmington, DE State Street Research and Management Company, Boston, MA SSRM Holdings, Inc., Boston, MA BlackRock, Inc., New York, NY BlackRock Advisors, LLC, Wilmington, DE BlackRock Advisors Holdings, Inc., New York, NY BlackRock Financial Management, Inc., New York, NY BlackRock Funding, Inc. Wilmington, DE BlackRock Institutional Management Corporation Wilmington, DE BlackRock International Holdings, Inc., New York, NY BlackRock International, Ltd, Edinburgh, Scotland BlackRock Investments, Inc., New York, NY BlackRock Investment Management, LLC, Plainsboro, NJ BlackRock Lux Finco S.a.r.l. Luxembourg, Luxembourg BlackRock Operations (Luxembourg) S.a.r.l. Luxembourg, Luxembourg BlackRock Portfolio Holdings, Inc. Wilmington, DE BlackRock Portfolio Investments, LLC Wilmington, DE BlackRock UK 1 LP London, England BlackRock US Newco, Inc., Wilmington, DE |
Chief Financial Officer and Managing Director Chief Financial Officer and Managing Director Chief Financial Officer and Managing Director General Counsel, Managing Director and Secretary General Counsel, Managing Director and Secretary General Counsel, Managing Director and Secretary General Counsel, Managing Director and Secretary General Counsel, Managing Director and Secretary General Counsel, Managing Director and Secretary General Counsel, Managing Director and Secretary General Counsel, Managing Director and Secretary General Counsel, Managing Director and Secretary General Counsel, Managing Director and Secretary General Counsel, Managing Director and Secretary General Counsel, Managing Director and Secretary General Counsel, Managing Director and Secretary General Counsel, Managing Director and Secretary General Counsel, Managing Director and Secretary General Counsel, Managing Director and Secretary |
|||||||||
C-27
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Laurence D. Fink, Chairman, Chief Executive Officer and Director |
State Street Research and Management Company, Boston, MA SSRM Holdings, Inc., Boston, MA BlackRock, Inc., New York, NY BlackRock Advisors, LLC, Wilmington, DE BlackRock Advisors Holdings, Inc., New York, NY BlackRock Financial Management, Inc, New York, NY BlackRock Funding, Inc., Wilmington, DE BlackRock Funding International, Ltd., New York, NY BlackRock Funds, Wilmington, DE BlackRock Institutional Management Corporation, Wilmington, DE BlackRock International Holdings, Inc. New York, NY BlackRock International, Ltd, Edinburgh, Scotland BlackRock Investments, Inc., New York, NY BlackRock Investment Management, LLC, Plainsboro, NJ BlackRock Portfolio Holdings, Inc., Wilmington, DE BlackRock Portfolio Investments, LLC, Wilmington, DE BlackRock US Newco, Inc., Wilmington, DE State Street Management & Research Company, Boston, MA State Street Research Investment Services, Inc., Boston, MA SSRM Holdings, Inc., Boston, MA |
General Counsel, Managing Director and Secretary General Counsel, Managing Director and Secretary Chairman, Chief Executive Officer and Director Chairman and Chief Executive Officer Chairman, Chief Executive Officer and Director Chairman and Chief Executive Officer Chairman and Chief Executive Officer Director Trustee Chairman and Chief Executive Officer Chairman, Chief Executive Officer and Director Chief Executive Officer and Director Chairman and Director Chairman and Chief Executive Officer Chief Executive Officer Chief Executive Officer Chairman and Chief Executive Officer Chairman, Chief Executive Officer and Director Director Chairman, Chief Executive Officer and Director |
|||||||||
C-28
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Robert S. Kapito, Vice Chairman and Director Ralph L. Schlosstein, President and Director |
BlackRock, Inc., New York, NY BlackRock Advisors, LLC, Wilmington, DE BlackRock Advisors Holdings, Inc., New York, NY BlackRock Financial Management, Inc., New York, NY BlackRock Funding, Inc., Wilmington, DE BlackRock Funding International, Ltd., New York, NY BlackRock (Institutional) Canada Ltd. Toronto, Ontario BlackRock Institutional Management Corporation, Wilmington, DE BlackRock International Holdings, Inc. New York, NY BlackRock International, Ltd, Edinburgh, Scotland BlackRock Investments, Inc., New York, NY BlackRock Investment Management, LLC, Plainsboro, NJ BlackRock Portfolio Holdings, Inc., Wilmington, DE BlackRock Portfolio Investments, LLC, Wilmington, DE BlackRock Realty Advisors, Inc., Florham Park, NJ BlackRock US Newco, Inc., Wilmington, DE State Street Management & Research Company, Boston, MA State Street Research Investment Services, Inc., Boston, MA SSRM Holdings, Inc., Boston, MA BlackRock, Inc., New York, NY Anthracite Capital, Inc. New York, NY BlackRock Advisors, LLC Wilmington, DE |
Vice Chairman and Director Vice Chairman Vice Chairman and Director Vice Chairman and Director Vice Chairman and Director Director Vice Chairman and Director Vice Chairman and Director Vice Chairman and Director Vice Chairman and Director Director Vice Chairman Vice Chairman and Director Vice Chairman Director Vice Chairman Vice Chairman and Director Director Vice Chairman and Director President and Director Director President |
|||||||||
C-29
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Charles Hallac, Vice Chairman |
BlackRock Advisors Holdings, Inc., New York, NY BlackRock Closed-End Funds, Wilmington, DE BlackRock Liquidity Funds, Wilmington, DE BlackRock Financial Management, Inc., New York, NY BlackRock Funding, Inc., Wilmington, DE BlackRock Funding International, Ltd., New York, NY BlackRock Institutional Management Corporation, Wilmington, DE BlackRock International Holdings, Inc., New York, NY BlackRock International, Ltd, Edinburgh, Scotland BlackRock Investments, Inc., New York, NY BlackRock Investment Management, LLC, Plainsboro, NJ BlackRock Portfolio Holdings, Inc., Wilmington, DE BlackRock Portfolio Investments, LLC, Wilmington, DE BlackRock Realty Advisors, Inc., Florham Park, NJ BlackRock US Newco, Inc. New York, NY State Street Management & Research Company, Boston, MA State Street Research Investment Services, Inc., Boston, MA SSRM Holdings, Inc., Boston, MA BlackRock, Inc., New York, NY BlackRock Advisors, LLC, Wilmington, DE BlackRock Advisors Holdings, Inc., New York, NY BlackRock Financial Management, Inc., New York, NY BlackRock Co., Ltd., Tokyo, Japan |
President and Director Chairman and Trustee Chairman and President President and Director President and Director Director President and Director President and Director President and Director Director President President and Director President Chairman and Director President President and Director Director President and Director Vice Chairman Vice Chairman Vice Chairman Vice Chairman Director |
|||||||||
C-30
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Barbara Novick, Vice Chairman |
BlackRock Funding, Inc., Wilmington, DE BlackRock Institutional Management Corporation, Wilmington, DE BlackRock International Holdings, Inc., New York, NY BlackRock International, Ltd., Edinburgh, Scotland BlackRock Investment Management, LLC, Plainsboro, NJ BlackRock Portfolio Holdings, Inc., Wilmington, DE BlackRock Portfolio Investments, LLC, Wilmington, DE BlackRock US Newco, Inc. New York, NY State Street Management & Research Company, Boston, MA SSRM Holdings, Inc., Boston, MA BlackRock, Inc., New York, NY BlackRock Advisors, LLC, Wilmington, DE BlackRock Advisors Holdings, Inc., New York, NY BlackRock Financial Management, Inc., New York, NY BlackRock Funding, Inc., Wilmington, DE BlackRock Institutional Management Corporation, Wilmington, DE BlackRock International Holdings, Inc., New York, NY BlackRock International, Ltd., Edinburgh, Scotland BlackRock Investments, Inc., New York, NY BlackRock Investment Management, LLC, Plainsboro, NJ BlackRock Portfolio Holdings, Inc., Wilmington, DE BlackRock Portfolio Investments, LLC, Wilmington, DE |
Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Chief Executive Officer Vice Chairman Vice Chairman Vice Chairman |
|||||||||
C-31
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Keith Anderson, Vice Chairman Susan Wagner, Vice Chairman and Chief Operating Officer |
BlackRock US Newco, Inc. New York, NY State Street Management & Research Company, Boston, MA SSRM Holdings, Inc., Boston, MA BlackRock, Inc., New York, NY BlackRock Advisors, LLC, Wilmington, DE BlackRock Advisors Holdings, Inc., New York, NY BlackRock Financial Management, Inc., New York, NY BlackRock Funding, Inc., Wilmington, DE BlackRock Institutional Management Corporation, Wilmington, DE BlackRock International Holdings, Inc., New York, NY BlackRock International, Ltd., Edinburgh, Scotland BlackRock Investment Management, LLC, Plainsboro, NJ BlackRock Portfolio Holdings, Inc., Wilmington, DE BlackRock Portfolio Investments, LLC, Wilmington, DE BlackRock US Newco, Inc. New York, NY State Street Management & Research Company, Boston, MA SSRM Holdings, Inc., Boston, MA BlackRock, Inc., New York, NY BlackRock Advisors, LLC, Wilmington, DE BlackRock Advisors Holdings, Inc., New York, NY BlackRock Financial Management, Inc., New York, NY BlackRock Finco UK, Ltd., London, England BlackRock Funding, Inc., Wilmington, DE |
Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman and Chief Operating Officer Vice Chairman and Chief Operating Officer Vice Chairman and Chief Operating Officer Vice Chairman and Chief Operating Officer Director Vice Chairman and Chief Operating Officer |
|||||||||
C-32
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Robert Doll, Vice Chairman |
BlackRock Institutional Management Corporation Wilmington, DE BlackRock International Holdings, Inc., New York, NY BlackRock International, Ltd, Edinburgh, Scotland BlackRock Investment Management, LLC, Plainsboro, NJ BlackRock Portfolio Holdings, Inc. Wilmington, DE BlackRock Portfolio Investments, LLC Wilmington, DE BlackRock US Newco, Inc., Wilmington, DE State Street Research and Management Company, Boston, MA SSRM Holdings, Inc., Boston, MA BlackRock, Inc., New York, NY BlackRock Advisors, LLC, Wilmington, DE BlackRock Advisors Holdings, Inc., New York, NY BlackRock Financial Management, Inc., New York, NY BlackRock Funding, Inc., Wilmington, DE BlackRock Funds (formerly Merrill Lynch Funds) Plainsboro, NJ BlackRock Institutional Management Corporation, Wilmington, DE BlackRock International Holdings, Inc., New York, NY BlackRock Investment Management, LLC, Plainsboro, NJ BlackRock Portfolio Holdings, Inc., Wilmington, DE BlackRock Portfolio Investments, LLC, Wilmington, DE |
Vice Chairman and Chief Operating Officer Vice Chairman and Chief Operating Officer Vice Chairman and Chief Operating Officer Vice Chairman and Chief Operating Officer Vice Chairman and Chief Operating Officer Vice Chairman and Chief Operating Officer Vice Chairman and Chief Operating Officer Vice Chairman and Chief Operating Officer Vice Chairman and Chief Operating Officer Vice Chairman and Director Vice Chairman Vice Chairman Vice Chairman Vice Chairman Chairman and President Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman |
|||||||||
C-33
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Robert Fairbairn, Vice Chairman |
BlackRock US Newco, Inc., Wilmington, DE Portfolio Administration & Management Ltd. Cayman Islands BlackRock, Inc., New York, NY BlackRock Advisors, LLC, Wilmington, DE BlackRock Advisors Holdings, Inc., New York, NY BlackRock Asset Management U.K. Limited, London, England BlackRock Financial Management, Inc., New York, NY BlackRock Funding, Inc., Wilmington, DE BlackRock Institutional Management Corporation, Wilmington, DE BlackRock International Holdings, Inc., New York, NY BlackRock Investment Management (Australia) Limited, Victoria, Australia BlackRock Investment Management International Limited, London, England BlackRock Investment Management, LLC, Plainsboro, NJ BlackRock Investment Management (UK) Limited, London, England BlackRock Lux Finco S.a.r.l. Luxembourg, Luxembourg BlackRock Operations (Luxembourg) S.a.r.l. Luxembourg, Luxembourg BlackRock Portfolio Holdings, Inc., Wilmington, DE BlackRock Portfolio Investments, LLC, Wilmington, DE BlackRock UK 1 LP London England BlackRock US Newco, Inc., Wilmington, DE |
Vice Chairman Director Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Director Chairman and Director Vice Chairman Director Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman Vice Chairman |
|||||||||
C-34
The Boston Company Asset Management, LLC
The Boston Company Asset Management, LLC ("The Boston Company") is a sub-adviser for the Registrant's Emerging Markets Equity Fund. The principal business address of The Boston Company is 1 Boston Place, Boston, MA 02108-4402. The Boston Company is a registered investment adviser under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Corey Griffin Chairman and CEO Phillip N. Maisano John Nagorniak |
Mellon Trust of New England, N.A. TBC General Partner, LLC The Boston Company Asset Management, LLC Standish Mellon Asset Management, LLC The Boston Company Asset Management, LLC Dreyfus Corporation Founders Asset Management LLC Franklin Portfolio Associates, LLC Mellon Capital Management Corp. Mellon Equity Associates, LLP Newton Management Limited Standish Mellon Asset Management Company LLC EACM Advisors LLC The Boston Company Asset Management, LLC Boston Security Analyst Society, Inc Boston Security Analyst Society, Inc Foxstone Financial, Inc Franklin Portfolio Associates Trust Life Harbor Investments, Inc Life Harbor, Inc Mellon Capital Management Corporation Mellon Equity Associates, LLP MIT Investment Corporation Newton Management Limited Pareto U.S. High Yield Fixed Income Fund, LLC |
Senior Vice President Director, President Director, Chairman, CEO Member Director CIO, Vice Chair and Director Member, Board of Managers Director Director Executive Committee Member Director Member, Board of Managers Chairman of Board Director Director President President-Director Chairman-Trustee Director Director Director Executive Committee Member Director Director Management Board Member |
|||||||||
C-35
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Ronald O'Hanley Edward Ladd Scott E. Wennerholm |
Pareto Investment Management Limited Princeton Association of New England Standish Mellon Asset Management Company, LLC AIMR Research Foundation EACM Advisors, LLC MAM (DE) Trust MAM (MA) Holdings Trust Franklin Portfolio Holdings, LLC Mellon Bank N.A. Mellon Capital Management Corporation Mellon Equity Associates, LLP Mellon Financial Corporation Mellon Trust of New England, N.A. Pareto Investment Management Limited Standish Mellon Asset Management Company LLC The Boston Company Asset Management, LLC The Dreyfus Corporation The Boston Company Asset Management, LLC Standish Mellon Asset Management Company LLC EACM Advisors, LLC Franklin Portfolio Holdings, LLC MAM (MA) Holdings Trust Mellon Capital Management Corporation Mellon Equity Associates, LLP Newton Management Limited Standish Mellon Asset Management Company LLC The Boston Company Asset Management, LLC |
Director Director Board Manager Trustee Board of Managers Trustee & President Trustee & President Director Director Director Chairman, Executive Committee Member Vice Chairman Vice Chairman Non Executive Director Director Chairman of the Board Vice Chairman, Director Director Manager Director Director Trustee Director Director Director Director Director |
|||||||||
C-36
Capital Guardian Trust Company
Capital Guardian Trust Company ("CGTC") is a sub-adviser for the Registrant's International Equity and World Equity Ex-US Funds. The principal business address of CGTC is 333 South Hope Street, 55th Floor, Los Angeles, California 90071. CGTC is a registered investment adviser under the Advisers Act.
The titles described below are with companies affiliated with CGTC and do not represent other business, professions, vocations or employment of a substantial nature for his or her own account.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
John S. Armour Senior Vice President Capital Guardian Trust Company |
Capital Guardian Trust Company, a Nevada Corporation |
Vice President |
|||||||||
Andrew F. Barth Director and President Capital Guardian Trust Company |
The Capital Group Companies Capital Group International, Inc. Capital International Research, Inc. Capital International Research Inc. |
Director Director, Executive Vice President Director, President and Research Director Formerly, President |
|||||||||
Michael D. Beckman Senior Vice President Capital Guardian Trust Company |
The Capital Group Companies Capital Guardian Trust Company of Nevada Capital International Asset Management, Inc. Capital International Financial Services, Inc. Capital International Asset Management (Canada), Inc. Capital Group International, Inc. |
Director and Senior Vice President of Central Services Group Director Director and President Director and President Senior Vice President Formerly, Senior Vice President |
|||||||||
Julius T. (Terry) Berkemeier Senior Vice President Capital Guardian Trust Company |
Capital International, Inc. Capital International Limited Capital International Research, Inc. |
Vice President Senior Vice President Senior Vice President |
|||||||||
Michael A. Burik Senior Vice President and Senior Counsel Capital Guardian Trust Company |
Capital International, Inc. Capital International Financial Services, Inc. |
Senior Vice President and Senior Counsel Vice President and Secretary |
|||||||||
Scott M. Duncan Senior Vice President Capital Guardian Trust Company Formerly, Vice President |
N/A |
N/A |
|||||||||
C-37
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
John B. Emerson Senior Vice President Capital Guardian Trust Company |
Capital Guardian Trust Company, a Nevada Corporation |
Director and President Formerly, Executive Vice President |
|||||||||
Michael R. Ericksen Director and Senior Vice President Capital Guardian Trust Company |
The Capital Group Companies Capital International Limited |
Director Director and Chairman Formerly, Director and President |
|||||||||
Michael A. Felix Director, Senior Vice President and Treasurer Capital Guardian Trust Company |
Capital Guardian (Canada), Inc. Capital International, Inc. |
Senior Vice President, and Treasurer Director and Senior Vice President |
|||||||||
David I. Fisher Director and Chairman Capital Guardian Trust Company |
Capital Group International, Inc. Capital International, Inc. Capital International Limited Capital International Limited (Bermuda) The Capital Group Companies, Inc. Capital International Research, Inc. Capital Group Research, Inc. |
Director and Chairman Director and Vice Chairman Director and Vice Chairman Director and President Director and Chairman of the Executive Committee Director Director |
|||||||||
Clive N. Gershon Senior Vice President Capital Guardian Trust Company |
— |
— |
|||||||||
Laurentius Harrer Senior Vice President Capital Guardian Trust Company |
Vice President |
Capital International S.A. |
|||||||||
Cheryl L. Hesse Senior Vice President and Senior Counsel Capital Guardian Trust Company Formerly, Vice President and Senior Counsel |
Capital International, Inc. Capital Management Services, Inc. |
Senior Vice President and Senior Counsel Formerly, Vice President and Senior Counsel Secretary |
|||||||||
C-38
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Frederick M. Hughes, Jr. Senior Vice President Capital Guardian Trust Company |
— |
— |
|||||||||
Mary M. Humphrey Senior Vice President Capital Guardian Trust Company |
— |
— |
|||||||||
William H. Hurt Senior Vice President Capital Guardian Trust Company |
Capital Guardian Trust Company, a Nevada Corporation Capital Strategy Research, Inc. |
Director and Chairman Director and Chairman |
|||||||||
Peter C. Kelly Director, Senior Vice President and Senior Counsel Capital Guardian Trust Company |
Capital International, Inc. Capital International Emerging Markets Fund Capital Group International, Inc. |
Director, Senior Vice President, Senior Counsel and Secretary Director Secretary |
|||||||||
Charles A. King Senior Vice President Capital Guardian Trust Company |
— |
— |
|||||||||
Naomi H. Kobayashi Senior Vice President and Senior Counsel Capital Guardian Trust Company Formerly, Vice President and Senior Counsel |
Capital International, Inc. |
Senior Vice President and Senior Counsel Formerly, Vice President and Senior Counsel |
|||||||||
Lianne K. Koeberle Director and Senior Vice President Capital Guardian Trust Company |
— |
— |
|||||||||
Victor D. Kohn Director Capital Guardian Trust Company |
Capital International, Inc. Capital International Research, Inc. |
Director and President Formerly, Senior Vice President |
|||||||||
Nancy J. Kyle Director and Vice Chairperson Capital Guardian Trust Company |
Capital Guardian (Canada), Inc. Capital International, Inc. |
Director and Vice Chairperson Formerly, Vice President and Senior Counsel |
|||||||||
C-39
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Karin L. Larson Director Capital Guardian Trust Company |
Capital Group Research, Inc. Capital International Research, Inc. |
Director, Chairperson, and President Director and Chairperson |
|||||||||
Karen A. Miller Director and Senior Vice President Capital Guardian Trust Company |
Capital International Research, Inc. |
Formerly, Senior Vice President |
|||||||||
Robert H. Neithart Director and Vice President Capital Guardian Trust Company |
Capital International Research, Inc. Capital Strategy Research, Inc. |
Director and Executive Vice President, Research Director/Coordinator Director and Vice President |
|||||||||
Shelby Notkin Director and Senior Vice President Capital Guardian Trust Company |
Capital Guardian Trust Company, a Nevada Corporation |
Director |
|||||||||
Michael E. Nyeholt Senior Vice President Capital Guardian Trust Company |
— |
— |
|||||||||
Mary M. O'Hern Senior Vice President Capital Guardian Trust Company |
Capital International Limited Capital International, Inc |
Senior Vice President Senior Vice President |
|||||||||
Jeffrey C. Paster Senior Vice President Capital Guardian Trust Company |
— |
— |
|||||||||
Jason M. Pilalas Director Capital Guardian Trust Company |
Capital International Research, Inc. |
Senior Vice President |
|||||||||
Marie C. Powell Director Capital Guardian Trust Company |
Capital International Limited Capital Group Companies |
Senior Vice President Senior Vice President |
|||||||||
Paula B. Pretlow Senior Vice President Capital Guardian Trust Company |
— |
— |
|||||||||
C-40
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
George L. Romine, Jr. Senior Vice President Capital Guardian Trust Company |
— |
— |
|||||||||
Robert Ronus Senior Vice President Capital Guardian Trust Company Formerly, Director and Vice Chairman |
Capital Group International, Inc. Capital International, Inc. Capital International Limited Capital Guardian (Canada), Inc. The Capital Group Companies, Inc. Capital International S.A. |
Senior Partner Formerly Director Senior Vice President Senior Vice President Formerly, Director and Chairman Formerly, Director Formerly, Senior Vice President |
|||||||||
Theodore R. Samuels Director and Senior Vice President Capital Guardian Trust Company |
The Capital Group Companies Capital Guardian Trust Company, a Nevada Corporation |
Director Director |
|||||||||
Lionel A. Sauvage Director and Senior Vice President Capital Guardian Trust Company |
The Capital Group Companies Capital International, Inc. Capital Guardian (Canada), Inc. |
Director Senior Vice President Vice President |
|||||||||
Karen L. Sexton Senior Vice President Capital Guardian Trust Company Formerly, Vice President |
— |
— |
|||||||||
Lawrence R. Solomon Director and Senior Vice President Capital Guardian Trust Company |
Capital International Research Inc. Capital Management Services Inc. |
Senior Vice President Director |
|||||||||
Eugene P. Stein Director and Vice Chairman Capital Guardian Trust Company |
The Capital Group Companies Inc. |
Director |
|||||||||
P. Andrew Stenovec Director and Executive Vice President Capital Guardian Trust Company |
— |
— |
|||||||||
C-41
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Jill A. Sumiyasu Director and Senior Vice President Capital Guardian Trust Company Formerly, Vice President |
— |
— |
|||||||||
Philip A. Swan Senior Vice President Capital Guardian Trust Company |
— |
— |
|||||||||
Elmon L. Vernier, Jr. Senior Vice President Capital Guardian Trust Company Formerly, Vice President |
Capital Guardian Trust Company, a Nevada Corporation |
Vice President |
|||||||||
Shaw B. Wagener Senior Vice President Capital Guardian Trust Company |
The Capital Group Companies, Inc. Capital Group International, Inc. Capital International, Inc. Capital International Management Company S.A. |
Director Director/President Director/Chairman Director |
|||||||||
Eugene M. Waldron Senior Vice President Capital Guardian Trust Company |
— |
— |
|||||||||
Alan J. Wilson Director and Senior Vice President Capital Guardian Trust Company |
Capital International Research Inc. Capital International Research Inc. Capital Research Company American Funds Distributors, Inc. The Capital Group Companies Inc. |
Director, President and Research Director, U.S. Formerly, Executive Vice President Director Director Director |
|||||||||
Robin L. Zakoor Senior Vice President Capital Guardian Trust Company Formerly, Vice President |
— |
— |
|||||||||
David J. Greene and Company, LLC
David J. Greene and Company, LLC ("David J. Greene") is a sub-adviser for the Registrant's Small Cap Fund. The principal business address of D.J. Greene is 599 Lexington Avenue, 12th Floor, New York, NY 10022. David J. Greene is an investment adviser registered under the Advisers Act.
C-42
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Benjamin H. Nahum Principal, Executive Vice President, Portfolio Manager |
— | — | |||||||||
Clarissa Moore Principal, Director of Client Service & Marketing |
— | — | |||||||||
Pong Chan Principal, Chief Financial Officer |
— | — | |||||||||
Rand W. Gesing, CFA Principal, Research Analyst |
— | — | |||||||||
Alan I. Greene Principal, Investment Committee Chairman |
— | — | |||||||||
James R. Greene Principal, Investment Advisor |
— | — | |||||||||
Michael C. Greene Principal, Chief Executive Officer |
— | — | |||||||||
Stanley G. Lee, CFA Principal, Investment Advisor |
— | — | |||||||||
James F. McAree Principal, Research Analyst |
— | — | |||||||||
Robert J. Ravitz, CFA Principal, Research Analyst |
— | — | |||||||||
Amit Solomon, PhD Principal, Research Analyst |
— | — | |||||||||
Lee D. Unterman Principal, Chief Compliance Officer |
Kurzman Karelsen & Frank, LLP | Attorney | |||||||||
Erwin A. Zeuschner Principal, Research Analyst |
— | — | |||||||||
C-43
Delaware Management Company
Delaware Management Company, a series of Delaware Management Business Trust, ("DMC") is a sub-adviser for the Registrant's Small Cap, Large Cap, Large Cap Diversified Alpha and Small/Mid Cap Equity Funds. The principal business address of DMC is One Commerce Square, 2005 Market Street, Philadelphia, Pennsylvania 19103. DMC is a registered investment adviser under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Patrick P. Coyne President |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds Lincoln National Investment Companies, Inc. |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser Managing Director— Fixed Income |
|||||||||
Ryan K. Brist Executive Vice President, Managing Director, Chief Investment Officer— Fixed Income |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
John C.E. Campbell Executive Vice President, Global Marketing & Client Services |
Delaware Management Holdings, Inc. Optimum Fund Trust |
Similar capacities as positions with the Adviser President, Chief Executive Officer |
|||||||||
Philip N. Russo Executive Vice President, Chief Administrative Officer |
Delaware Management Holdings, Inc. Prudential Investment Management Inc. |
Similar capacities as positions with the Adviser Vice President of Finance (1998-2004) |
|||||||||
See Yeng Quek Executive Vice President, Managing Director, Chief Investment Officer— Fixed Income |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds HYPPCO Finance Company Ltd. |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser Director, Trustee |
|||||||||
Douglas L. Anderson Senior Vice President— Operations |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
Marshall T. Bassett Senior Vice President, Chief Investment Officer— Emerging Growth Equity |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Joseph R. Baxter Senior Vice President, Head of Municipal Bond Investments |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
C-44
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Christopher S. Beck Senior Vice President, Senior Portfolio Manager |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Michael P. Buckley Senior Vice President, Director of Municipal Research |
Delaware Investments Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Michael F. Capuzzi Senior Vice President— Investment Systems |
Delaware Investments Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Lui-Er Chen Senior Vice President, Senior Portfolio Manager, Chief Investment Officer— Emerging Markets |
Delaware Investments Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Stephen R. Cianci Senior Vice President, Senior Portfolio Manager |
Delaware Investments Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Robert F. Collins Senior Vice President, Senior Portfolio Manager |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Stephen J. Czepiel Senior Vice President, Senior Municipal Bond Trader |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
James A. Forant Senior Vice President, Director, Technical Services |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
Brian Funk Senior Vice President, Director of Credit Research |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Brent C. Garrells Senior Vice President, Senior Research Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
C-45
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Stuart M. George Senior Vice President, Head of Equity Trading |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Paul Grillo Senior Vice President, Senior Portfolio Manager |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Jonathan Hatcher Senior Vice President, Senior Research Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
William F. Keelan Senior Vice President, Director of Quantitative Research |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Francis X. Morris Senior Vice President, Chief Investment Officer— Core Equity |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Brian L. Murray, Jr. Senior Vice President, Chief Compliance Officer |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Susan L. Natalini Senior Vice President— Marketing & Shared Services |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
Zoë Neale Senior Vice President, Chief Investment Officer— International Equity |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds Thomas Weisel Partners |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser Portfolio Manager (2002-2005) |
|||||||||
D. Tysen Nutt Senior Vice President, Chief Investment Officer— Large Cap Value Equity |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds Merrill Lynch |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser Managing Director—U.S. Active Large-Cap Value Team (1994-2004) |
|||||||||
C-46
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
David P. O'Connor Senior Vice President, Strategic Investment Relationships and Initiatives, General Counsel |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds Lincoln National Investment Companies, Inc. |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser Vice President, General Counsel |
|||||||||
John J. O'Connor Senior Vice President— Investment Accounting |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Philip R. Perkins Senior Vice President, Senior Portfolio Manager |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Timothy L. Rabe Senior Vice President, Senior Portfolio Manager, Head of High Yield |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Richard Salus Senior Vice President, Controller, Treasurer |
Delaware Management Holdings, Inc. Lincoln National Investment Companies, Inc. |
Similar capacities as positions with the Adviser Vice President, Deputy Controller |
|||||||||
Jeffrey S. Van Harte Senior Vice President, Chief Investment Officer— Focus Growth Equity |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds Transamerica Investment Management, LLC |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser Principal, Executive Vice President (1980-2005) |
|||||||||
Babak Zenouzi Senior Vice President, Senior Portfolio Manager |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Gary T. Abrams Vice President, Senior Equity Trader |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
Christopher S. Adams Vice President, Portfolio Manager, Senior Equity Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Damon J. Andres Vice President, Senior Portfolio Manager |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
C-47
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Margaret MacCarthy Bacon Vice President, Investment Specialist |
Delaware Management Holdings, Inc. Thomas Weisel Partners |
Similar capacities as positions with the Adviser Client Services Officer (2002-2005) |
|||||||||
Todd Bassion Vice President, Senior Research Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds Thomas Weisel Partners |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser Senior Research Associate (2002-2005) |
|||||||||
Richard E. Biester Vice President, Equity Trader |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
Christopher J. Bonavico Vice President, Senior Portfolio Manager, Equity Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds Transamerica Investment Management, LLC |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser Principal, Portfolio Manager (1993-2005) |
|||||||||
Vincent A. Brancaccio Vice President, Senior Equity Trader |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
Kenneth F. Broad Vice President, Senior Portfolio Manager, Equity Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds Transamerica Investment Management, LLC |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser Principal, Portfolio Manager (1993-2005) |
|||||||||
Stephen J. Busch Vice President, Managed Accounts |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Mary Ellen M. Carrozza Vice President, Client Services |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Stephen G. Catricks Vice President, Portfolio Manager |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
C-48
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Anthony G. Ciavarelli Vice President, Assistant General Counsel, Assistant Secretary |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
David F. Connor Vice President, Deputy General Counsel, Assistant Secretary |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds Lincoln National Investment Companies, Inc. |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser Vice President, Deputy General Counsel, Secretary |
|||||||||
Cori E. Daggett Vice President, Counsel, Assistant Secretary |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Christopher M. Ericksen Vice President, Portfolio Manager, Equity Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds Transamerica Investment Management, LLC Goldman Sachs |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser Portfolio Manager (2004-2005) Vice President, Portfolio Manager (1994-2004) |
|||||||||
Joel A. Ettinger Vice President—Taxation |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds Lincoln National Investment Companies, Inc. |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser Vice President, Taxation |
|||||||||
Phoebe W. Figland Vice President— Investment Accounting |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Joseph Fiorilla Vice President—Trading Operations |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
Charles E. Fish Vice President, Senior Equity Trader |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
Clifford M. Fisher Vice President, Senior Municipal Bond Trader |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
C-49
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Patrick G. Fortier Vice President, Portfolio Manager, Equity Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds Transamerica Investment Management, LLC |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser Portfolio Manager (2000-2005) |
|||||||||
Paul D. Foster Vice President, Investment Specialist— Emerging Growth Equity |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
Denise A. Franchetti Vice President, Portfolio Manager, Municipal Bond Credit Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
James A. Furgele Vice President—Investment Accounting |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Henry A. Garrido Vice President Equity Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Barry S. Gladstein Vice President, Portfolio Manager |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Edward Gray Vice President, Senior Portfolio Manager |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds Thomas Weisel Partners |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser Portfolio Manager (2002-2005) |
|||||||||
Lisa L. Hansen Vice President, Head of Focus Growth Equity Trading |
Delaware Management Holdings, Inc. Transamerica Investment Management, LLC |
Similar capacities as positions with the Adviser Principal, Portfolio Manager, Senior Trader (1997-2005) |
|||||||||
Gregory M. Heywood Vice President, Portfolio Manager, Equity Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds Transamerica Investment Management, LLC Wells Capital Management, LLC |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser Senior Research Analyst (2004-2005) Senior Analyst (2003-2004) |
|||||||||
C-50
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Sharon Hill Vice President, Head of Quantitative Research and Analytics |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Christopher M. Holland Vice President, Portfolio Manager |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Michael E. Hughes Vice President, Senior Equity Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Cynthia Isom Vice President, Senior Portfolio Manager |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Kenneth R. Jackson Vice President, Quantitative Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Audrey E. Kohart Vice President, Financial Planning and Reporting |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Andrew Kronschnabel Vice President, High Grade Trader |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
Rosanne L. Kropp Vice President, Senior Fund Analyst II High Grade |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
Nikhil G. Lalvani Vice President, Senior Equity Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Steven T. Lampe Vice President, Portfolio Manager |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
C-51
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Alfio Leone IV Vice President, High Grade Trader |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
Anthony A. Lombardi Vice President, Senior Portfolio Manager |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds Merrill Lynch |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser Director—U.S. Active Large-Cap Value Team (1998-2004) |
|||||||||
Francis P. Magee Vice President, Equity Business Manager |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
Charles (Tom) T. McClintic Vice President, High Yield Trader |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
Michael S. Morris Vice President, Portfolio Manager, Senior Equity Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Scott Moses Vice President, High Grade Trader |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
Philip O. Obazee Vice President, Derivatives Manager |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Donald G. Padilla Vice President, Portfolio Manager, Senior Equity Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Daniel J. Prislin Vice President, Senior Portfolio Manager, Equity Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds Transamerica Investment Management, LLC |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser Principal, Portfolio Manager (1998-2005) |
|||||||||
Craig S. Remsen Vice President, Senior Credit Research Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
C-52
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Carl Rice Vice President, Senior Investment Specialist, Large Cap Value Focus Equity |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds Merrill Lynch |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser Director, Product Specialist (1999-2004) |
|||||||||
Joseph T. Rogina Vice President, Equity Trader |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Debbie A. Sabo Vice President, Equity Trader—Focus Growth Equity |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
Kevin C. Schildt Vice President, Senior Municipal Credit Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Bruce Schoenfeld Vice President Equity Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Richard D. Seidel Vice President, Assistant Controller, Assistant Treasurer |
Delaware Management Holdings, Inc. Lincoln National Investment Companies, Inc. |
Similar capacities as positions with the Adviser Vice President, Assistant Controller, Manager-Payroll |
|||||||||
Nancy E. Smith Vice President, Investment Accounting |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Brenda L. Sprigman Vice President, the Adviser Business Manager— Fixed Income |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
Michael T. Taggart Vice President—Facilities & Administrative Services |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
Risé Taylor Vice President Strategic Investment Relationships |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
C-53
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Spencer M. Tullo Vice President, High Yield Trader |
Delaware Management Holdings, Inc. |
Similar capacities as positions with the Adviser |
|||||||||
Robert A. Vogel, Jr. Vice President, Senior Portfolio Manager |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds Merrill Lynch |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser Director, U.S. Active Large-Cap Value Team (1992-2004) |
|||||||||
Lori P. Wachs Vice President, Portfolio Manager |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Laura A. Wagner Vice President— Investment Accounting |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Kathryn R. Williams Vice President, Associate General Counsel, Assistant Secretary |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Nashira Wynn Vice President, Senior Equity Analyst, Portfolio Manager |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Greg Zappin Vice President, Senior Credit Research Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Guojia Zhang Vice President, Equity Analyst |
Delaware Management Holdings, Inc. Delaware Investments Family of Funds |
Similar capacities as positions with the Adviser Similar capacities as positions with the Adviser |
|||||||||
Deutsche Investment Management Americas Inc.
Deutsche Investment Management Americas Inc. ("Deutsche") is a sub-adviser for the Registrant's Real Return Plus Fund. The principal business address of Deutsche is 345 Park Avenue, New York, NY 10154. Deutsche is a registered investment adviser under the Advisers Act.
During the last two fiscal years, no director or officer of Deutsche has engaged in any other business, profession, vocation or employment of a substantial nature other than that of the business of investment management and, through affiliates, investment banking.
C-54
Emerging Markets Management, L.L.C.
Emerging Markets Management, L.L.C. ("EMM") is a sub-adviser for the Registrant's Emerging Markets Equity Fund. The principal business address of EMM is 1001 Nineteenth Street North, 17th Floor, Arlington, Virginia 22209-1722. EMM is a registered investment adviser under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Antoine W. van Agtmael Managing Director, Chairman and Chief Investment Officer |
Emerging Markets Investors Corporation Emerging Markets Management Company (Ireland) Limited The Africa Emerging Markets Fund Emerging Markets Strategic Fund Strategic Investment Management International, L.P. Strategic Investment Partners, Inc. Emerging Markets New Economy Fund PLC |
Managing Director, Chairman and Chief Investment Officer Director Director Director Director Director Director |
|||||||||
Michael A. Duffy Managing Director, Secretary/Treasurer and member of the Investment Committee |
Emerging Markets Investors Corporation The Latin America Small Capitalization Fund Strategic Investment Management, L.P. Strategic Investment Management International, L.P. Strategic Investment Partners, Inc. (SIP) |
Managing Director, Secretary/Treasurer and member of the Investment Committee Director Managing Director, Secretary/Treasurer and member of the Investment Committee Managing Director, Secretary/Treasurer and member of the Investment Committee Managing Director, Secretary/Treasurer and member of the Investment Committee |
|||||||||
Felicia J. Morrow Managing Director, Chief Executive Officer, Lead Portfolio Manager, and member of the Investment Committee |
Emerging Markets Investors Corporation Emerging Markets Management Company (Ireland) Limited |
Managing Director, Chief Executive Officer, Lead Portfolio Manager and member of the Investment Committee Director |
|||||||||
C-55
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Hilda M. Ochoa-Brillembourg Director |
Emerging Markets Investors Corporation Strategic Investment Management, L.P. Strategic Investment Management International, L.P. Strategic Investment Partners, Inc. Rockefeller Family Fund General Mills The World Bank/IMF Credit Union Harvard Management Company McGraw-Hill Companies |
Director President, Director and a member of the Investment Committee President, Director and a member of the Investment Committee President, Director and a member of the Investment Committee Member of the Investment and Finance Committees Member of the Board of Directors Member of the Board of Directors Member of the Board of Directors Member of the Board of Directors |
|||||||||
Mary C. Choksi Managing Director and Director |
Emerging Markets Investors Corporation The Emerging Markets Country Series Fund—The Value Fifty Portfolio EMSAF Mauritis Strategic Investment Management, L.P. Strategic Investment Management International, L.P. Strategic Investment Partners, Inc. H.J. Heinz Company Avis Budget Group, Inc. |
Managing Director, Director Director Managing Director, Director and member of the Investment Committee Managing Director, Director and member of the Investment Committee Managing Director, Director and member of the Investment Committee Managing Director, Director and member of the Investment Committee Member of the Board of Directors Member of the Board of Directors |
|||||||||
Carol A. Grefenstette Managing Director |
Emerging Markets Investors Corporation Strategic Investment Management, L.P. Strategic Investment Management International, L.P. Strategic Investment Partners, Inc. |
Managing Director and Director Managing Director Managing Director Managing Director and Director |
|||||||||
C-56
Enhanced Investment Technologies, LLC
Enhanced Investment Technologies, LLC ("INTECH") is a sub-adviser for the Registrant's Large Cap Diversified, Large Cap and Large Cap Disciplined Equity Funds. The principal business address of INTECH is 2401 P.G.A. Boulevard, Suite 100, Palm Beach Gardens, Florida 33410. INTECH is a registered investment adviser under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Lance V. Campbell Vice President and Chief Financial Officer |
Enhanced Investment Technologies, LLC |
— | |||||||||
E. Robert Fernholz Ph.D. Executive Vice President and Chief Investment Officer |
Enhanced Investment Technologies, LLC |
Director, Executive Vice President and Chief Investment Officer |
|||||||||
Patricia E. Flynn Chief Compliance Officer |
Enhanced Investment Technologies, LLC |
Chief Compliance Officer | |||||||||
Robert A. Garvy Chairman, President and CEO |
Enhanced Investment Technologies, LLC |
Director, President and Chief Executive Officer |
|||||||||
David E. Hurley Executive Vice President and Chief Operating Officer |
Enhanced Investment Technologies, LLC |
Chief Operating Officer and Executive Vice President |
|||||||||
Justin B. Wright Vice President, Secretary and Chief Legal Counsel |
Enhanced Investment Technologies, LLC |
Vice President, Secretary and Chief Legal Counsel |
|||||||||
First Quadrant, L.P.
First Quadrant, L.P. ("First Quadrant") is a sub-adviser for the Registrant's Real Return Plus Fund. The principal business address of First Quadrant is 800 E. Colorado Blvd., Suite 900, Pasadena, CA 91101. First Quadrant is a registered investment adviser under the Advisers Act.
First Quadrant's general partner, Affiliated Managers Group, Inc. ("AMG"), located at 600 Hale Street, Prides Crossing, MA 01965, holds an equity interest in 24 other affiliates. First Quadrant's only business relationship with any of these affiliates is with Managers Group LLC ("MIG"), and Affiliated Managers Group PTY Ltd. ("AMG Pty Ltd."). With respect to MIG, First Quadrant serves as sub-adviser to a series of mutual funds advised by MIG and is party to an investment adviser servicing agreement and sub-advisory marketing agreement with MIG. With respect to AMG Pty Ltd., First Quadrant is party to a client service/marketing agreement with AMG Pty Ltd. First Quadrant also has a subsidiary, FQN Management, LLC.
During the last two fiscal years, no partner of First Quadrant has engaged in any other business, profession, vocation or employment of a substantial nature other than the business of investment management.
C-57
Fuller & Thaler Asset Management, Inc.
Fuller & Thaler Asset Management, Inc. ("Fuller & Thaler") is a sub-adviser for the Registrant's International Equity and World Equity Ex-US Funds. The principal business address of Fuller & Thaler is 411 Borel Avenue, Suite 300, San Mateo, California 94402. Fuller & Thaler is a registered investment adviser under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Russell J. Fuller, Director, President and Chief Investment Officer |
— | — | |||||||||
John Kling, Director and Principal |
— | — | |||||||||
Joseph S. Leung, Director, Senior Vice President and Head of Global & International Strategies |
— | — | |||||||||
Frederick W. Stanske, Director, Senior Vice President and Head of Domestic Strategies |
— | — | |||||||||
Stephen D. Bard, Director, Senior Vice President and Chief Operating Officer |
— | — | |||||||||
Daniel Kahneman, Director |
Princeton University, Department of Psychology, Green Hall, Princeton, NJ 08544 |
Eugene Higgins Professor of Psychology, Emeritus |
|||||||||
Richard Thaler, Director and Principal |
The University of Chicago Graduate School of Business, 5807 South Woodlawn Avenue, Chicago, Illinois 60637 |
Robert P. Gwinn Professor of Behavioral Science and Economics |
|||||||||
Goldman Sachs Asset Management, L.P.
Goldman Sachs Asset Management, L.P. ("GSAM") is a sub-adviser for the Registrant's Large Cap Fund. The principal business address of GSAM is 32 Old Slip, New York, New York 10005. GSAM is a registered investment adviser under the Advisers Act.
Name and Position With GSAM |
Name of Other Company | Position With Other Company | |||||||||
John S.Weinberg Managing Director—GSAM |
The Goldman Sachs Group, Inc. 85 Broad Street New York, New York 10004 |
Vice Chairman | |||||||||
C-58
Name and Position With GSAM |
Name of Other Company | Position With Other Company | |||||||||
Goldman, Sachs & Co 85 Broad Street New York, New York 10004 |
Managing Director | ||||||||||
Lloyd C. Blankfein Managing Director—GSAM |
The Goldman Sachs Group, Inc. 85 Broad Street New York, New York 10004 |
Chairman, Chief Executive Officer and Director |
|||||||||
Goldman, Sachs & Co 85 Broad Street New York, New York 10004 |
Managing Director | ||||||||||
Highland Capital Management, L.P.
Highland Capital Management, L.P. ("Highland Capital") is a sub-adviser for the Registrant's Enhanced Income Fund. The principal business address of Highland Capital is 13455 Noel Road, Suite 1300, Dallas, Texas 75240. Highland Capital is a registered investment adviser under the Advisers Act.
During the last two fiscal years, no partner of Highland Capital has engaged in any other business, profession, vocation or employment of a substantial nature other than the business of investment management.
ING Investment Management Co.
ING Investment Management Co. ("ING IM") is a sub-adviser for the Registrant's Emerging Markets Debt and Core Fixed Income Funds. The principal business address of ING is 230 Park Avenue, 13th Floor, New York, New York 10169. ING is a registered investment adviser under the Advisers Act.
During the last two fiscal years, no partner of ING IM has engaged in any other business, profession, vocation or employment of a substantial nature other than the business of investment management.
Integrity Asset Management, LLC
Integrity Asset Management, LLC ("Integrity") is a sub-adviser for the Registrant's Small/Mid Cap Equity and Small Cap Funds. The principal business address of Integrity is 401 West Main Street, Suite 2100, Louisville, Kentucky 40202. Integrity is an investment adviser registered under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Matthew G. Bevin Chief Executive Officer & Principal |
INVESCO—National Asset Management |
(2001 – 2002) Director of Product Management |
|||||||||
Daniel G. Bandi CFA, Chief Investment Officer, Value Equities & Principal |
National City Investment Management, Co. |
(1998 – 2003) Managing Director of Equity Investment |
|||||||||
Daniel J. DeMonica CFA, Senior Portfolio Manager & Principal |
National City Investment Management, Co. |
(2001 – 2003) Portfolio Manager |
|||||||||
Adam I. Friedman Senior Portfolio Manager & Principal |
National City Investment Management, Co. |
(1998 – 2003) Senior Portfolio Manager |
|||||||||
C-59
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
William H. McNett CFA, Senior Portfolio Manager & Principal |
Turner Investments |
(1999 – 2003) Principal/ Client Service |
|||||||||
Janus Capital Management LLC
Janus Capital Management LLC ("Janus") is a sub-adviser for the Registrant's Small Cap and Small/Mid Cap Equity Funds. The principal business address of Janus is 151 Detroit Street, Denver, Colorado 80206. Janus is an investment adviser registered under the Advisers Act.
The only business of Janus Capital Management LLC is to serve as a subadviser of the Registrant and as investment adviser or sub-adviser to several other mutual funds, unregistered investment companies, and for individual, charitable, corporate, private, and retirement accounts.
The principal executive officers of the subadviser and their positions with the subadviser are as follows:
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Robin C. Beery Chief Marketing Officer and Executive Vice President |
Janus Capital Group Inc. Janus Services LLC The Janus Foundation Enhanced Investment Technologies, LLC |
Chief Marketing Officer and Executive Vice President Executive Vice President President and Director Working Director |
|||||||||
Gary D. Black Chief Executive Officer |
Janus Capital Group Inc. Janus Management Holdings Corp. Bay Isle Financial LLC Enhanced Investment Technologies, LLC |
Chief Executive Officer and Director Director and President President Working Director |
|||||||||
Jonathan D. Coleman Executive Vice President and Co-Chief Investment Officer |
|||||||||||
Gregory A. Frost Senior Vice President and Chief Financial Officer |
Janus Capital Group Inc. Janus Capital Asia Limited Janus Capital International Limited Janus Holdings Corporation Janus International Holding LLC Janus Management Holdings Corp. |
Senior Vice President and Chief Financial Officer Director and Assistant Treasurer Assistant Treasurer and Director Senior Vice President, Controller, and Director Executive Vice President, Controller, and Director Senior Vice President, Chief Financial Officer, and Director |
|||||||||
C-60
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Janus Services LLC |
Senior Vice President and Chief Financial Officer |
||||||||||
Bay Isle Financial LLC |
Senior Vice President and Chief Financial Officer |
||||||||||
Berger Financial Group | Vice President | ||||||||||
Capital Group Partners, Inc. |
Senior Vice President, Controller, and Director |
||||||||||
Enhanced Investment Technologies, LLC |
Vice President | ||||||||||
Kelley Abbott Howes Senior Vice President and General Counsel |
Janus Capital Group Inc. Janus Management Holdings Corp. Capital Group Partners, Inc. Enhanced Investment Technologies, LLC |
Senior Vice President and General Counsel Senior Vice President, General Counsel, and Director Director Vice President |
|||||||||
Dominic C. Martellaro Executive Vice President |
Janus Capital Group Inc. | Executive Vice President | |||||||||
Janus Capital Funds Plc | Director | ||||||||||
Janus Capital Trust Manager Limited |
Director | ||||||||||
Janus Services LLC | Executive Vice President | ||||||||||
Gibson Smith Executive Vice President and Co-Chief Investment Officer |
|||||||||||
John Zimmerman Executive Vice President |
Janus Capital Group Inc. | Executive Vice President | |||||||||
Enhanced Investment Technologies, LLC |
Working Director | ||||||||||
C-61
J.P Morgan Investment Management, Inc.
J. P. Morgan Investment Management, Inc. ("JPMIM") is a sub-adviser for the Registrant's High Yield Bond Fund. The principal business address of JPMIM is 245 Park Avenue, New York, New York 10167. JPMIM is an investment adviser registered under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Evelyn V. Guernsey President, Director, Managing Director |
JPMorgan Investment Advisors Inc. |
Chairperson, President and CEO | |||||||||
Joseph K. Azelby Head of Real Estate, Managing Director |
— | — | |||||||||
Clive Brown Director, Managing Director Head of International Business |
— | — | |||||||||
Seth P. Bernstein Global Head of Fixed Income, Managing Director |
— | — | |||||||||
Susan M. Canning Vice President |
— | — | |||||||||
George C.W. Gatch Director, Managing Director |
J.P. Morgan Funds | CEO and President | |||||||||
Iiman (Amy) Pappas Treasurer, Managing Director |
— | — | |||||||||
Paul A. Quinsee Director, Managing Director |
— | — | |||||||||
Lawrence M. Unrein Head of Private Equity and Hedge Funds Director, Managing Director |
— | — | |||||||||
C-62
Lee Munder Investments, Ltd.
Lee Munder Investments, Ltd. ("LMIL") is a sub-adviser for the Registrant's Small/Mid Cap Equity and Small Cap Funds. The principal business address of LMIL is 200 Clarendon Street, 28th Floor, Boston, Massachusetts 02116. LMIL is an investment adviser registered under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Lee Munder, Chairman |
— | — | |||||||||
Kenneth Swan President & C.O.O. |
— | — | |||||||||
Robert A. Smith Partner |
Castanea Partners, Inc The Neiman Marcus Group |
Co-Founder and Managing Director Vice Chairman of the Board of Directors |
|||||||||
Jonathan Stone Portfolio Manager |
— | — | |||||||||
Andrew L. Beja Portfolio Manager |
— | — | |||||||||
R. Todd Vingers Portfolio Manager |
— | — | |||||||||
Jeffrey Davis C.I.O. |
Rockefeller & Co Berklee School of Music International House-NYC |
C.I.O. Board of Trustees Board of Trustees |
|||||||||
Joseph F. Tower III Chief Financial Officer, Chief Compliance Officer |
Mellon Financial Corporation | Vice President | |||||||||
Los Angeles Capital Management and Equity Research, Inc.
Los Angeles Capital Management and Equity Research, Inc. ("LA Capital") is a sub-adviser for the Registrant's Small Cap and Small/Mid Cap Equity Funds. The principal business address of LA Capital is 11150 Santa Monica Blvd., Suite 200, Los Angeles, California 90025. LA Capital is a registered investment adviser under the Advisers Act.
During the last two years, no partner of LA Capital has engaged in any other business, profession, vocation or employment of a substantial nature other than the business of investment management.
C-63
LSV Asset Management
LSV Asset Management ("LSV") is a sub-adviser for the Registrant's Small/Mid Cap Equity, Small Cap and Large Cap Funds. The principal business address of LSV is 1 N. Wacker Drive, Chicago, Illinois 60606. LSV is an investment adviser registered under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
SEI Funds, Inc. General Partner |
— | — | |||||||||
Josef Lakonishok Partner, CEO, Portfolio Manager |
University of Illinois | Professor of Finance | |||||||||
Robert Vishny Partner |
— | — | |||||||||
Menno Vermeulen, CFA Partner, Portfolio Manager, |
— | — | |||||||||
Christopher J. LaCroix Partner, Managing Director of Business Development |
— | — | |||||||||
Tremaine Atkinson Partner, Chief Operating Officer, Chief Compliance Officer |
— | — | |||||||||
Martingale Asset Management, L.P.
Martingale Asset Management, L.P. ("Martingale") is a sub-adviser for the Registrant's Small/Mid Cap Equity and Small Cap Funds. The principal business address of Martingale is 222 Berkeley Street, Boston, Massachusetts 02116. Martingale is a registered investment adviser under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Martingale Asset Management Corporation (MAM) General Partner |
— | — | |||||||||
Patricia J. O'Connor CFO, Executive Vice President, Limited Partner |
Martingale Asset Management Corporation |
Treasurer, Director, Shareholder | |||||||||
William Edward Jacques, CIO, Executive Vice President, Portfolio Manager, Limited Partner |
Martingale Asset Management Corporation Jacques Family Partners L.P. |
Director, Shareholder Managing Partner |
|||||||||
C-64
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Alan J. Strassman Chairman, Limited Partner |
Martingale Asset Management Corporation Museum of Fine Arts Boston Boston Foundation for Sight WGBH Foundation Immune Disease Institute School of Museum of Fine Arts, Boston |
Director, Chairman, Shareholder Trustee Trustee Trustee Trustee Honorary Life Governor (no vote) |
|||||||||
Arnold Seton Wood President, Portfolio Manager, Limited Partner |
Martingale Asset Management Corporation The Adam R. Wood Trust – 2003 The Esther P. Wood Trust – 2003 The Arnold S. Wood, III Trust – 2003 |
Director, Shareholder Trustee Trustee Trustee |
|||||||||
Douglas Evan Stark CFA, Investment Research, Portfolio Manager, Limited Partner |
— | — | |||||||||
Samuel Nathans, CFA Portfolio Manager, Limited Partner |
— | — | |||||||||
Thomas A. Cosmer CFA, Senior Vice President and Limited Partner |
— | — | |||||||||
Jill G. Brogan Vice President and Partner |
The Professional Association for Investment Communication Resources |
Chairperson (Voluntary) | |||||||||
Guy A. Skaggs Senior Vice President and Limited Partner |
— | — | |||||||||
Elizabeth F. Davis Vice President and Limited Partner |
— | — | |||||||||
Jennifer Visco Limited Partner |
— | — | |||||||||
James M. Eysenbach, CFA Senior Vice President, Limited Partner |
— | — | |||||||||
C-65
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Ellen M. Kelly Senior Vice President and Limited Partner |
— | — | |||||||||
Jean Roukounakis Senior Portfolio Administrator, Limited Partner |
— | — | |||||||||
Mazama Capital Management, Inc.
Mazama Capital Management, Inc. ("Mazama") is a sub-adviser for the Registrant's Small Cap and Small/Mid Cap Equity Funds. The principal business address of Mazama is One SW Columbia Street, Suite 1500, Portland, Oregon 97258. Mazama is an investment adviser registered under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Ronald Adair Sauer President, Chairman and Chief Investment Officer |
— | — | |||||||||
Helen McDonald Degener Director and Strategic Advisor |
The Mathes Company | VP and Portfolio Manager | |||||||||
Jill Ronne Collins Senior Vice President Marketing & Client Service |
— | — | |||||||||
Brian Paul Alfrey Director, Executive Vice President and Chief Operating Officer |
— | — | |||||||||
Stephen Charles Brink Senior Vice President, Director of Research |
— | — | |||||||||
Donald J. Klotter Senior Vice President, Marketing & Client Service |
— | — | |||||||||
Shannon M. Lynch Chief Compliance Officer |
— | — | |||||||||
C-66
McKinley Capital Management, Inc.
McKinley Capital Management, Inc. ("McKinley Capital") is a sub-adviser for the Registrant's Small Cap, International Equity and World Equity Ex-US Funds. The principal business address of McKinley Capital is 3301 C Street, Suite 500, Anchorage, Alaska 99503. McKinley Capital is a registered investment adviser under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Robert B. Gillam President, CIO |
FAS Alaska, Inc. McKinley Offshore Management, Ltd. |
Officer, Director Director |
|||||||||
Diane M. Wilke Executive Vice President, COO |
McKinley Offshore Management, Ltd. FAS Alaska, Inc. |
Director Officer, Director |
|||||||||
Robert A. Gillam Director Global Equities |
— | — | |||||||||
Tamara L. Leitis Assistant Vice President, HR Manager |
— | — | |||||||||
Gregory O'Keefe CFO |
— | — | |||||||||
Metropolitan West Asset Management LLC
Metropolitan West Asset Management LLC ("MWAM") is a sub-adviser for the Registrant's Long Duration, Extended Duration and Core Fixed Income Funds. The principal business address of MWAM 11766 Wilshire Boulevard, Suite 1580, Los Angeles, California 90025. MWAM is a registered investment adviser under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Scott Dubchansky Chief Executive Officer, Managing Director |
Metropolitan West Funds West Gate Advisors, LLC MWAM Distributors, LLC |
Chairman of the Board of Trustees, CEO, President Chairman of the Board of Trustees, CEO, President CEO |
|||||||||
Tad Rivelle Chief Investment Officer, Managing Director |
West Gate Advisors, LLC |
Chief Investment Officer, Partner, Managing Director |
|||||||||
Laird Landmann Portfolio Manager, Managing Director |
West Gate Advisors, LLC |
Portfolio Manager, Partner, Managing Director |
|||||||||
David Lippman Portfolio Manager, Managing Director |
West Gate Advisors, LLC |
Portfolio Manager, Partner, Managing Director |
|||||||||
C-67
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Steve Kane Portfolio Manager, Managing Director |
West Gate Advisors, LLC |
Portfolio Manager, Partner, Managing Director |
|||||||||
Chris Scibelli Director of Marketing, Managing Director |
West Gate Advisors, LLC |
Director of Marketing, Partner, Managing Director |
|||||||||
Patrick Moore Director of Client Services, Managing Director |
West Gate Advisors, LLC | Director of Client Services | |||||||||
Joseph Hattesohl Chief Financial Officer, Managing Director |
West Gate Advisors, LLC Metropolitan West Funds MWAM Distributors, LLC |
Chief Financial Officer Treasurer, Chief Financial Officer President |
|||||||||
Cal Rivelle Chief Technology Officer |
West Gate Advisors, LLC | Chief Technology Officer | |||||||||
Bryan Whalen Specialist Portfolio Manager; Managing Director |
West Gate Advisors, LLC | Specialist Portfolio Manager | |||||||||
Mitchell Flack; Specialist Portfolio Manager; Managing Director |
West Gate Advisors, LLC | Specialist Portfolio Manager | |||||||||
Keith T. Kirk Chief Compliance Officer |
MWAM Distributors, LLC |
Chief Compliance Officer |
|||||||||
Montag & Caldwell, Inc.
Montag & Caldwell, Inc. ("Montag & Caldwell") is a sub-adviser for the Registrant's Large Cap Fund. The principal business address of Montag & Caldwell is 3455 Peachtree Road, NE, Suite 1200, Atlanta, Georgia 30326-3248. Montag & Caldwell is a registered investment adviser under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Ronald E. Canakaris, CFA Chairman, President and CIO; Board of Directors |
— | — | |||||||||
Albertus Petrus Schouws Board of Directors |
ABN AMRO Asset Management Holding, NV |
Global Chief Financial Officer | |||||||||
Sarah Anne Cecil Russell Board of Directors |
ABN AMRO Asset Management Holding, NV |
Global CEO | |||||||||
C-68
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
William A. Vogel, CFA CEO; Board of Directors |
— | — | |||||||||
Rebecca M. Keister, CFA, CIPM Executive Vice President, Chief Compliance Officer; Corporate Secretary |
— | — | |||||||||
Janet B. Bunch, CFA Executive Vice President; Board of Directors |
— | — | |||||||||
Brian W. Stahl Vice President; Treasurer |
— | — | |||||||||
Grover C. Maxwell III, CFA Executive Vice President |
— | — | |||||||||
Thomas Leavitt III Board of Directors |
ABN AMRO Asset Management Holding, NV |
President & CEO for North America SBU |
|||||||||
Sandra M. Barker CFA Vice President |
— | — | |||||||||
Carol K. Burns Vice President |
— | — | |||||||||
Dean C. Christians CMT Assistant Vice President |
— | — | |||||||||
Jane R. Davenport CFA Vice President |
— | — | |||||||||
James L. Deming, CFA Vice President |
— | — | |||||||||
Helen M. Donahue CFA Vice President |
— | — | |||||||||
Marcia C. Dubs Vice President |
— | — | |||||||||
James M. Francis IV Assistant Vice President |
— | — | |||||||||
C. Jefferson Hagood CFA Vice President |
— | — | |||||||||
Mark C. Hayes CFA Vice President |
— | — | |||||||||
Andrew W. Jung, CFA Vice President |
— | — | |||||||||
William E. Long III Vice President |
— | — | |||||||||
C-69
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Charles E. Markwalter CFA Vice President |
— | — | |||||||||
Kurt T. Momand CFA Vice President |
— | — | |||||||||
Michael A. Nadal Vice President |
— | — | |||||||||
George M. Northrop Vice President |
— | — | |||||||||
Carla T. Phillips Vice President |
— | — | |||||||||
Katherine E. Ryan Assistant Vice President |
— | — | |||||||||
Debbie J. Thomas Vice President |
— | — | |||||||||
M. Scott Thompson, CFA Vice President |
— | — | |||||||||
David L. Watson, CFA Vice President |
— | — | |||||||||
John S. Whitney III Vice President |
— | — | |||||||||
Nomura Corporate Research and Asset Management Inc.
Nomura Corporate Research and Asset Management Inc. ("NCRAM") is a sub-adviser for the Registrant's High Yield Bond Fund. The principal business address of NCRAM is Two World Financial Center, Building B, 25th Floor, New York, New York 10281-1198. NCRAM is an investment adviser registered under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Robert Levine President, CEO and Board Member |
Nomura Holding America, Inc. | Executive Managing Director | |||||||||
Joseph Redmond Schmuckler Co-Chairman of the Board |
Nomura Securities International, Inc. |
President, Chief Operating Officer |
|||||||||
David Mair Findlay Executive Managing Director, Board Member, Chief Legal Officer |
Nomura Holding America, Inc. Nomura Securities International, Inc. |
Chief Legal Officer, Board Member, Executive Managing Director, Secretary Chief Legal Officer, Board Member, Executive Managing Director |
|||||||||
C-70
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Shigesuke Kashiwagi Board Member |
Nomura Holding America, Inc. Nomura Securities International, Inc. Nomura Funds Research and Technologies America, Inc. |
Board Member, Executive Managing Director, Chief Operating Officer Board Member, Chief Executive Officer Director of the Board |
|||||||||
Hideyuki Takahashi |
Nomura Securities International, Inc. Nomura Holding America, Inc. |
Chairman of the Board Board Member |
|||||||||
David Crall Managing Director |
— | — | |||||||||
Stephen Kotsen Director |
— | — | |||||||||
Amy Yu Director |
— | — | |||||||||
PanAgora Asset Management, Inc.
PanAgora Asset Management, Inc. ("PanAgora") is a sub-adviser for the Registrant's Small Cap, Emerging Markets Equity and Small/Mid Cap Equity Funds. The principal business address of PanAgora is 260 Franklin Street, 22nd Floor, Boston, MA 02110. PanAgora is a registered investment adviser under the Advisers Act.
During the last two fiscal years, no partner of PanAgora has engaged in any other business, profession, vocation or employment of a substantial nature other than the business of investment management.
Quantitative Management Associates LLC
Quantitative Management Associates LLC ("QMA") is a sub-adviser for the Registrant's International Equity, World Equity Ex-US, Large Cap Disciplined Equity, Large Cap Diversified Alpha and Large Cap Funds. The principal business address of QMA is Gateway Center 2, McCarter Highway & Market Street, Newark, New Jersey 07102. QMA is a registered investment adviser under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Ronald K. Andrews Manager |
Jennison Associates LLC Prudential Investments LLC Prudential Annuities Advisory Services, Inc. |
Director Senior Vice President Senior Vice President |
|||||||||
Dennis Kass Manager and Chairman |
Jennison Associates LLC The Prudential Insurance Company of America Prudential Investment Management, Inc |
Chairman & CEO Vice President Senior Managing Director, Director and Vice President |
|||||||||
C-71
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Timothy J. Knierim Manager |
Jennison Associates LLC PIM Warehouse, Inc. Prumerica Financial Asia Limited Residential Information Services, Inc. The Prudential Insurance Company of America Prudential Investment Management, Inc. |
Director Assistant Secretary Corporate Secretary Vice President and Secretary Assistant Secretary Vice President and Assistant Secretary |
|||||||||
Kenneth Moore Manager, Vice President and Chief Financial Officer |
The Prudential Insurance Company of America Prudential Investment Management, Inc. Jennison Associates LLC Prudential Trust Company |
Vice President Vice President Executive Vice President and Treasurer Director |
|||||||||
Scott L. Hayward Manager and Chief Executive Officer |
Jennison Associates LLC Prudential Trust Company The Prudential Insurance Company of America Pramerica Asset Management, Inc. Prudential Investment Management, Inc. |
Executive Vice President Director Vice President Director Vice President |
|||||||||
Margaret S. Stumpp Manager, Vice President and Chief Investment Officer |
Prudential Trust Company The Prudential Insurance Company of America Pramerica Asset Management, Inc. Prudential Investment Management, Inc. |
Vice President Vice President Senior Vice President Vice President |
|||||||||
Bernard B. Winograd Manager |
Jennison Associates LLC PIC Holdings Limited PIM Foreign Investments, Inc. PIM Warehouse, Inc. Prudential Investment Management Services LLC Prudential Asset Management Holding LLC The Prudential Insurance Company of America Prudential Investment Management, Inc. PIM Investments, Inc. PIM Foreign Investments, Inc. |
Director Chairman and Director President Chairman and Director Executive Vice President Manager and Vice President Vice President Chairman, Director and President & CEO Director and President President |
|||||||||
C-72
Record Currency Management Limited
Record Currency Management Limited ("RCM") is a sub-adviser for the Registrant's International Equity, World Equity Ex-US and Enhanced Income Funds. The principal business address of RCM is 1st Floor Morgan House, Madeira Walk, Windsor, Berkshire SL4 1EP United Kingdom. Record is a registered investment adviser under the Advisers Act.
During the last two fiscal years, no partner of RCM has engaged in any other business, profession, vocation or employment of a substantial nature other than the business of investment management.
Rexiter Capital Management Limited
Rexiter Capital Management Limited ("Rexiter") is a sub-adviser for the Registrant's Emerging Markets Equity and World Equity Ex-US Funds. The principal business address of Rexiter is 21 St. James's Square, London SWIY 4SS United Kingdom. Rexiter is an investment adviser registered under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Kenneth King Chairman and Chief Investment Officer |
— | — | |||||||||
Helena Coles Director—Senior Investment Manager |
— | — | |||||||||
Arzu Akkemik Director—Investment Manager |
— | — | |||||||||
Jamshed Desai Senior Investment Manager |
— | — | |||||||||
Adrian Cowell Director—Senior Investment Manager |
— | — | |||||||||
Murray Davey Managing Director— Global Emerging Markets Senior Investment Manager |
— | — | |||||||||
Christopher James Director—Senior Investment Manager |
— | — | |||||||||
Gavin MacLachlan Director—Chief Operating Officer and Company Secretary |
— | — | |||||||||
Nicholas Payne Director—Senior Investment Manager |
— | — | |||||||||
C-73
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Christopher Vale Managing Director and CIO Asia— Investment Manager |
— | — | |||||||||
Joe Lyons Non-Executive Director |
State Street Global Alliance (US) |
Senior Principal |
|||||||||
Jared Cahse Non-Executive Director |
State Street Global Alliance (US) | Chairman | |||||||||
Randy Carrigan Legal Counsel |
State Street Global Alliance (US) |
Legal Counsel |
|||||||||
Sam Stewart Chief Compliance Officer |
SSgA Limited (UK) |
Head of Compliance and Risk |
|||||||||
Christopher Peacock Head of Compliance and Risk |
SSgA Limited (UK) |
Deputy Head of Compliance and Risk |
|||||||||
Tanya Barvenik Compliance and Risk Associate |
SSgA Limited (UK) |
Compliance Assistant |
|||||||||
Ming Wong Compliance—Code of Ethics |
SSgA (US) |
Compliance—Code of Ethics |
|||||||||
Elizabeth Shea Compliance—Code of Ethics |
SSgA (US) |
Compliance—Code of Ethics |
|||||||||
Andrew Letts Proxy Voting |
SSgA (US) |
Proxy Voting |
|||||||||
Sylvana Billings Group Finance Manager |
— | — | |||||||||
Robeco Investment Management Inc.
Robeco Investment Management Inc. ("Robeco") is a sub-adviser for the Registrant's Small Cap Fund. The principal business address of Robeco is 909 Third Avenue, New York, New York 10022. Robeco is a registered investment adviser under the Advisers Act.
During the last two fiscal years, no partner of Robeco has engaged in any other business, profession, vocation or employment of a substantial nature other than the business of investment management.
Security Capital Research & Management Incorporated
Security Capital Research & Management Incorporated ("Security Capital") is a sub-adviser for the Registrant's Small Cap and Small/Mid Cap Equity Funds. The principal business address of Security Capital is 10 South Dearborn Street, Suite 1400, Chicago, Illinois 60603. Security Capital is a registered investment adviser under the Advisers Act.
During the last two fiscal years, no partner of Security Capital has engaged in any other business, profession, vocation or employment of a substantial nature other than the business of investment management.
C-74
SEI Investments Management Corporation
SEI Investments Management Corporation ("SIMC") is the adviser for the Registrant's Funds. The principal business address of SIMC is One Freedom Valley Drive, Oaks, Pennsylvania 19456. SIMC is an investment adviser registered under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Position With Other Company | |||||||||
Edward Loughlin Director & President |
SEI Investments Company SEI Investments Distribution Company SEI Investments Global Funds Services SEI Trust Company SEI Investments Canada Company |
Executive Vice President Director Senior Vice President Director Director |
|||||||||
Karl Dasher Director, Senior Vice President & Chief Investment Officer |
— | — | |||||||||
N. Jeffrey Klauder Director, Senior Vice President & Assistant Secretary |
SEI Investments Company SEI Insurance Group SIMC Holdings, LLC SEI Ventures Inc. SEI Investments Management Corporation Delaware, LLC SIMC Subsidiary LLC SEI Investments Development Inc. SEI Investments Global Funds Services SEI Funds Inc. SEI Investments Inc. SEI Investments Global Corp Inc. SEI Global Capital Investments Inc. SEI Investments Global, Limited SEI Investments—Global Fund Services Limited Larington Limited |
General Counsel & Executive Vice President, Assistant Secretary Senior Vice President & Assistant Secretary Manager Senior Vice President & Secretary Senior Vice President & Assistant Secretary Manager Senior Vice President & Secretary Senior Vice President & Assistant Secretary Senior Vice President & Secretary Senior Vice President & Secretary Director, Senior Vice President & Secretary Senior Vice President & Secretary Director Director Director |
|||||||||
C-75
Name and Position With Investment Adviser |
Name of Other Company | Position With Other Company | |||||||||
SEI Advanced Capital Management Inc. SEI Primus Holding Corp SEI Global Services Inc. SEI Private Trust Company |
Director, Senior Vice President & Secretary Senior Vice President & Assistant Secretary Senior Vice President & Assistant Secretary Director |
||||||||||
Wayne Withrow Director & Senior Vice President |
SEI Investments Company SEI Investments Distribution Company SEI Investments Global Funds Services SEI Trust Company SEI Investments Global (Cayman) Limited SEI Global Holdings (Cayman) Inc. SEI Investments Global (Bermuda) Ltd SEI Global Services Inc. |
Executive Vice President Director Chief Executive Officer Director Director Chairman of the Board & Executive Chief Officer Director, President Director, Senior Vice President |
|||||||||
Joseph P. Ujobai Director & Senior Vice President |
SEI Investments Company SEI Inc. (Canada) SEI Capital Limited (Canada) SEI Global Investments Corp SEI Investments (Europe) Ltd SEI Investments—Unit Trust Management (UK) Limited SEI Global Nominee Ltd SEI Asset Korea SEI Investments (South Africa) Limited SEI Investments Global, Limited SEI Investments Canada Company SEI Global Services, Inc. |
Executive Vice President Director Director President Director Director Director Director Director Director Director Senior Vice President |
|||||||||
Chris Keogh Director & Senior Vice President |
— | — | |||||||||
Kathy Heilig Director & Senior Vice President |
SEI Investments Company SEI Insurance Group, Inc. |
Vice President, Controller & Chief Accounting Officer Vice President & Treasurer |
|||||||||
C-76
Name and Position With Investment Adviser |
Name of Other Company | Position With Other Company | |||||||||
SEI Ventures, Inc. SEI Investments Management Corporation Delaware, LLC SEI Investments Developments Inc. SEI Investments Global Funds Services SEI Funds Inc. SEI Investments, Inc. SEI Global Investments Corp SEI Global Capital Investments, Inc. SEI Investments Global Vice President & Treasurer SEI Investments Global Holdings (Cayman) Inc. SEI Advanced Capital Management, Inc. SEI Primus Holding Corp SEI Global Services, Inc. SEI Franchise Inc. |
Director, Vice President & Treasurer Manager, Vice President & Treasurer Director, Vice President & Treasurer Vice President & Treasurer Director, Vice President & Treasurer Director, Vice President & Treasurer Director, Vice President & Treasurer Director, Vice President & Treasurer Vice President & Treasurer Vice President, Assistant Secretary & Treasurer Director, Vice President & Treasurer Director, Vice President & Treasurer Treasurer Vice President & Treasurer |
||||||||||
Timothy D. Barto General Counsel, Vice President & Secretary |
SEI Investments Company SIMC Holdings, LLC SIMC Subsidiary LLC SEI Investments Global Funds Services SEI Funds Inc. SEI Investments Global (Bermuda) Ltd SEI Global Services Inc. SEI Franchise Inc. |
Vice President & Assistant Secretary Manager Manager General Counsel, Vice President & Secretary Vice President Vice President Vice President & Assistant Secretary Assistant Secretary |
|||||||||
Richard Deak Vice President & Assistant Secretary |
SEI Investments Company SEI Investments Global Funds Services SEI Global Services Inc. |
Vice President & Assistant Secretary Vice President & Assistant Secretary General Counsel, Vice President & Secretary |
|||||||||
C-77
Name and Position With Investment Adviser |
Name of Other Company | Position With Other Company | |||||||||
Lydia A. Gavalis Vice President & Assistant Secretary |
SEI Investments Company SEI Insurance Group SEI Global Services Inc. SEI Franchise Inc. |
Vice President & Assistant Secretary Vice President & Assistant Secretary Vice President & Assistant Secretary General Counsel, Vice President & Secretary |
|||||||||
James Ndiaye Vice President & Assistant Secretary |
SEI Investments Global Funds Services |
Vice President & Assistant Secretary |
|||||||||
Michael Pang Vice President & Assistant Secretary |
SEI Investments Global Funds Services SEI Investments Global (Cayman) Limited SEI Global Holdings (Cayman) Inc. SEI Global Services Inc. |
Vice President & Assistant Secretary Vice President & Secretary Vice President & Secretary Vice President & Assistant Secretary |
|||||||||
Sofia Rosala Vice President & Assistant Secretary |
SEI Investments Global Funds Services |
Vice President & Assistant Secretary |
|||||||||
Lauren Shank Vice President & Assistant Secretary |
SEI Global Services Inc. |
Vice President & Assistant Secretary |
|||||||||
Lori L. White Vice President & Assistant Secretary |
SEI Investments Company SEI Investments Distribution Company SEI Investments Global Funds Services |
Vice President & Assistant Secretary Vice President & Assistant Secretary Assistant Secretary |
|||||||||
Michael Brophy Chief Compliance Officer |
— | — | |||||||||
Kevin Barr Vice President |
SEI Investments Distribution Company SEI Global Services Inc. |
President & Chief Executive Officer Vice President |
|||||||||
Michael Cagnina Vice President |
— | — | |||||||||
David Campbell Vice President |
SEI Investments Global Funds Services SEI Global Services Inc. |
Vice President Vice President |
|||||||||
C-78
Name and Position With Investment Adviser |
Name of Other Company | Position With Other Company | |||||||||
Jim Combs Vice President |
SEI Global Services Inc. |
Vice President |
|||||||||
Michael Farrell Vice President |
SEI Investments Distribution Company SEI Franchise Inc. |
Vice President Vice President |
|||||||||
Greg Gettinger Vice President |
SEI Investments Management Corporation Delaware LLC SEI Investments Global Funds Services SEI Global Services Inc. |
Vice President Vice President Vice President |
|||||||||
Paul Klauder Vice President |
SEI Global Services Inc. | Vice President | |||||||||
James Martielli Vice President |
— | — | |||||||||
John J. McCue Vice President |
— | — | |||||||||
Dave McLaughliin Vice President |
— | — | |||||||||
Carolyn McLaurin Vice President |
— | — | |||||||||
Roger Messina Vice President |
|||||||||||
James Miceli Vice President |
— | — | |||||||||
Stephen Onofrio Vice President |
— | — | |||||||||
Debra Phillips Vice President |
— | — | |||||||||
Alison Saunders Vice President |
— | — | |||||||||
John Scarpato Vice President |
— | — | |||||||||
Brandon Sharrett Vice President |
SEI Global Services Inc. | Vice President | |||||||||
Sean Simko Vice President |
— | — | |||||||||
James Smigiel Vice President |
— | — | |||||||||
C-79
Name and Position With Investment Adviser |
Name of Other Company | Position With Other Company | |||||||||
Greg Stahl Vice President |
— | — | |||||||||
Raymond B. Webster Vice President |
SEI Global Services Inc. | Vice President | |||||||||
Smith Breeden Associates, Inc.
Smith Breeden Associates, Inc. ("Smith Breeden") is a sub-adviser for the Registrant's Large Cap Disciplined Equity, Large Cap Diversified Alpha, International Equity and World Equity Ex-US Funds. The principal business address of Smith Breeden is 100 Europa Drive, Suite 200, Chapel Hill, North Carolina 27157. Smith Breeden is a registered investment adviser under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Daniel C. Dektar, Chief Investment Officer |
— | — | |||||||||
Stephen A. Eason, CFA, Executive Vice President |
Eason Energy, Inc. | President | |||||||||
Eugene Flood, Jr., Ph.D., Chief Executive Officer |
College Retirement Equity Fund Duke University's Fuqua School of Business University of North Carolina at Chapel Hill M.I.T's Sloan School of Management M.I.T's Economics Department |
Trustee Member of Board of Visitors Member of Board of Visitors Member of Dean's Advisory Committee Member of Visiting Committee |
|||||||||
Michael J. Giarla, Chairman |
Wyandotte Community Corporation Harrington Bank, FSB Community First Financial Group Inc. Square 1 Financial Square 1 Bank Peninsula Banking Group Self Help Ventures Fund Duke University's Fuqua School of Business Durham Academy Roxbury Latin School The Hill Center |
Board member Chairman Director Vice Chairman Director Director Board member Member of Board of Visitors Chairman of the Board Trustee Trustee |
|||||||||
Stanley J. Kon, Ph.D., Director of Research |
Los Padres Savings Bank, FSB | Director | |||||||||
Marianthe S. Mewkill Chief Operating Officer |
— | — | |||||||||
C-80
SSgA Funds Management, Inc.
SSgA Funds Management, Inc. ("SSgA FM") is a sub-adviser for the Registrant's Large Cap Index Fund. The principal business address of SSgA FM is One Lincoln St. Boston, Massachusetts 02111. SSgA FM is a registered investment adviser under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
James Edward Ross President & Director |
State Street Global Advisors a division of State Street Bank and Trust Company |
Senior Managing Director | |||||||||
Mitchell H. Shames Director |
State Street Global Advisors |
Senior Managing Director and General Counsel |
|||||||||
Mark J. Duggan Chief Legal Officer |
State Street Global Advisors |
Senior Managing Director and Deputy General Counsel |
|||||||||
Peter A. Ambrosini Chief Compliance Officer |
State Street Global Advisors |
Senior Managing Director and Chief Compliance and Risk Management Officer |
|||||||||
Thomas P. Kelly Treasurer |
State Street Global Advisors |
Senior Managing Director |
|||||||||
Peter G. Leahy Director |
State Street Corporation State Street Global Advisors |
Executive Vice President Chief Product Officer and Senior Managing Director |
|||||||||
Stone Harbor Investment Partners LP
Stone Harbor Investment Partners LP ("Stone Harbor") is a sub-adviser for the Registrant's Emerging Markets Debt Fund. The principal business address of Stone Harbor is 31 West 52nd Street, 16th Floor, New York, New York 10019. Stone Harbor is a registered investment adviser under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Peter J. Wilby Chief Investment Officer/ Managing Member of General Partner |
Legg Mason, Inc. Salomon Brothers Asset Management Inc |
Managing Director and Chief Investment Officer-Fixed Income |
|||||||||
Thomas W. Brock Chief Executive Officer |
Columbia Management Multi-Strategy Hedge Fund LLC BACAP Alternative Multi- Strategy Fund LLC Liberty All-Star Fund Liberty Growth Fund |
Director Director Director Director |
|||||||||
James J. Dooley Chief Financial Officer |
Legg Mason, Inc. Salomon Brothers Asset Management Inc |
Managing Director |
|||||||||
C-81
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Jeffrey S. Scott Chief Compliance Officer |
New York Life Insurance Company Salomon Brothers Asset Management Inc |
Chief Compliance Officer | |||||||||
Adam J. Shapiro General Counsel |
Legg Mason, Inc. Salomon Brothers Asset Management Inc |
Director | |||||||||
Wellington Management Company, LLP
Wellington Management Company, LLP ("Wellington Management") is a sub-adviser to the Registrant's Small Cap, Enhanced Income and Small/Mid Cap Equity Funds. The principal business address of Wellington Management is 75 State Street, Boston, Massachusetts 02109. Wellington Management is an investment adviser registered under the Advisers Act.
During the last two fiscal years, no partner of Wellington Management has engaged in any other business, profession, vocation or employment of a substantial nature other than that of the business of investment management.
Wells Capital Management, Inc.
Wells Capital Management, Inc. ("Wells Capital") is a sub-adviser for the Registrant's Core Fixed Income Fund. The principal business address of Wells Capital is 525 Market Street, 10th Floor, San Francisco, California 94105. Wells Capital is a registered investment adviser under the Advisers Act.
During the last two fiscal years, no partner of Wells Capital has engaged in any other business, profession, vocation or employment of a substantial nature other than the business of investment management.
Western Asset Management Company
Western Asset Management Company ("Western Asset") is a sub-adviser for the Core Fixed Income Fund. The principal business address of Western Asset is 385 East Colorado Boulevard, Pasadena, California 91101. Western Asset is an investment adviser registered under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Bruce D. Alberts Chief Investment Officer |
None | None | |||||||||
Peter L. Bain Director |
Western Asset Management Company Ltd Legg Mason, Inc. Legg Mason Funds Management, Inc. Brandywine Asset Management, LLC Nova Scotia Company BMML, Inc. Legg Mason Capital Management, Inc. Barrett Associates, Inc. |
Director Senior Executive Vice President Director Director/Manager Director Vice President and Director Director Director |
|||||||||
C-82
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Bartlett and Co. Berkshire Asset Management, Inc. Legg Mason Focus Capital, Inc. Gray, Seifert and Company, LLC Howard Weil Incorporated Legg Mason Real Estate Services, Inc. Legg Mason Commercial Real Estate Services, Inc. Legg Mason Funding, Inc. Legg Mason Limited Legg Mason Properties, Inc. Legg Mason Realty Group, Inc. LM Tower, Inc. PCM Holdings, Inc. PCM Holdings II, LLC Royce & Associates, Inc. Permal |
Director Director Director Director Director Director Director Director Director Director Director Director Director Director Manager Director |
||||||||||
James W. Hirschmann III CEO |
Western Asset Management Company Ltd. |
Director | |||||||||
Gavin L. James Director of Global Client Services |
None |
None |
|||||||||
S. Kenneth Leech Chief Investment Officer |
None | None | |||||||||
Edward A. Taber III Director |
Western Asset Management Company, Ltd. Legg Mason, Inc Legg Mason Fund Adviser, Inc. Batterymarch Financial Management, Inc. Brandywine Asset Management, LLC Legg Mason Real Estate Investors, Inc. Nova Scotia Company Legg Mason Asset Management (Asia) Pte Ltd Legg Mason Real Estate Securities Advisors, Inc. LM Holdings, Inc. |
Director Executive Vice President Director Director Manager Director Vice President and Director Director Director Director |
|||||||||
Stephen A. Walsh Deputy Chief Investment Officer |
None | None | |||||||||
C-83
Western Asset Management Company Limited
Western Asset Management Company Limited ("Western Asset Limited") is a sub-adviser for the Core Fixed Income Fund. The principal business address of Western Asset Limited is 155 Bishopsgate, London EC2M 3XG United Kingdom. Western Asset Limited is an investment adviser registered under the Advisers Act.
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Bruce D. Alberts Chief Financial Officer |
None | None | |||||||||
Peter L. Bain Director |
Western Asset Management Company Ltd. Legg Mason, Inc. Legg Mason Funds Management, Inc. Brandywine Asset Management, LLC Nova Scotia Company BMML, Inc. Legg Mason Capital Management, Inc. Barrett Associates, Inc. Bartlett and Co. Berkshire Asset Management, Inc. Legg Mason Focus Capital, Inc. Gray, Seifert and Company, LLC Howard Weil Incorporated Legg Mason Real Estate Services, Inc. Legg Mason Commercial Real Estate Services, Inc. Legg Mason Funding, Inc. Legg Mason Limited Legg Mason Properties, Inc. Legg Mason Realty Group, Inc. LM Tower, Inc. PCM Holdings, Inc. PCM Holdings II, LLC Royce & Associates, Inc. Permal |
Director Senior Executive Vice President Director Director/Manager Director Vice President and Director Director Director Director Director Director Director Director Director Director Director Director Director Director Director Manager Director |
|||||||||
James W. Hirschmann III CEO |
Western Asset Management Company Ltd. |
Director | |||||||||
Gavin L. James Director of Global Client Services |
None | None | |||||||||
S. Kenneth Leech Chief Investment Officer |
None | None | |||||||||
Charles A. Ruyz de Perez |
Western Asset Management Company Ltd. |
Secretary, General Counsel and Head of Legal and Compliance |
|||||||||
Edward A. Taber III Director |
Western Asset Management Company, Ltd. Legg Mason, Inc |
Director Executive Vice President |
|||||||||
C-84
Name and Position With Investment Adviser |
Name of Other Company | Connection With Other Company | |||||||||
Legg Mason Fund Adviser, Inc. Batterymarch Financial Management, Inc. Brandywine Asset Management, LLC Legg Mason Real Estate Investors, Inc. Nova Scotia Company Legg Mason Asset Management (Asia) Pte Ltd Legg Mason Real Estate Securities Advisors, Inc. LM Holdings, Inc. |
Director Director Manager Director Vice President and Director Director Director Director |
||||||||||
Stephen A. Walsh Deputy Chief Investment Officer |
None | None | |||||||||
Item 27. Principal Underwriters:
(a) Furnish the name of each investment company (other than the Registrant) for which each principal underwriter currently distributing the securities of the Registrant also acts as a principal underwriter, distributor or investment adviser.
Registrant's distributor, SEI Investments Distribution Co. (the "Distributor"), acts as distributor for:
SEI Daily Income Trust | July 15, 1982 | ||||||
SEI Liquid Asset Trust | November 29, 1982 | ||||||
SEI Tax Exempt Trust | December 3, 1982 | ||||||
SEI Index Funds | July 10, 1985 | ||||||
SEI Institutional Managed Trust | January 22, 1987 | ||||||
SEI Institutional International Trust | August 30, 1988 | ||||||
The Advisors' Inner Circle Fund | November 14, 1991 | ||||||
The Advisors' Inner Circle Fund II | January 28, 1993 | ||||||
Bishop Street Funds | January 27, 1995 | ||||||
SEI Asset Allocation Trust | April 1, 1996 | ||||||
HighMark Funds | February 15, 1997 | ||||||
Oak Associates Funds | February 27, 1998 | ||||||
CNI Charter Funds | April 1, 1999 | ||||||
iShares Inc. | January 28, 2000 | ||||||
iShares Trust | April 25, 2000 | ||||||
JohnsonFamily Funds, Inc. | November 1, 2000 | ||||||
Causeway Capital Management Trust | September 20, 2001 | ||||||
The Japan Fund, Inc. | October 7, 2002 | ||||||
Barclay's Global Investors Funds | March 31, 2003 | ||||||
SEI Opportunity Fund, LP | October 1, 2003 | ||||||
The Arbitrage Funds | May 17, 2005 | ||||||
The Turner Funds | January 1, 2006 | ||||||
ProShares Trust | November 14, 2005 | ||||||
Community Reinvestment Act Qualified Investment Fund | January 8, 2007 | ||||||
Accessor Funds | March 1, 2007 | ||||||
TD Asset Management USA Funds | July 25, 2007 |
C-85
The Distributor provides numerous financial services to investment managers, pension plan sponsors, and bank trust departments. These services include portfolio evaluation, performance measurement and consulting services ("Funds Evaluation") and automated execution, clearing and settlement of securities transactions ("MarketLink").
(b) Furnish the Information required by the following table with respect to each director, officer or partner of each principal underwriter named in the answer to Item 20 of Part B. Unless otherwise noted, the business address of each director or officer is One Freedom Valley Drive, Oaks, Pennsylvania 19456.
Name |
Position and Office With Underwriter |
Positions and Offices With Registrant |
|||||||||
William M. Doran | Director | Trustee | |||||||||
Kevin Barr | President & Chief Executive Officer | — | |||||||||
Maxine Chou | Chief Financial Officer & Treasurer | — | |||||||||
John Munch | General Counsel & Secretary | — | |||||||||
Edward D. Loughlin | Director | — | |||||||||
Wayne M. Withrow | Director | — | |||||||||
Michael Farrell | Vice President | — | |||||||||
Mark J. Held | Senior Vice President | — | |||||||||
Thomas Rodman | Chief Operations Officer | — | |||||||||
Karen LaTourette |
Chief Compliance Officer, Anti-Money Laundering Officer and Assistant Secretary |
— | |||||||||
Lori L. White | Vice President and Assistant Secretary | — | |||||||||
Robert Silvestri | Vice President | — | |||||||||
John Coary | Vice President & Assistant Secretary | — | |||||||||
Mark McManus | Vice President | — | |||||||||
John Cronin | Vice President | — | |||||||||
Robert McCarthy | Vice President | — | |||||||||
Item 28. Location of Accounts and Records:
Books or other documents required to be maintained by Section 31(a) of the Investment Company Act of 1940, and the rules promulgated thereunder, are maintained as follows:
(a) With respect to Rules 31a-1(a); 31a-1(b)(1); (2)(a) and (b); (3); (6); (8); (12); and 31a-1(d), the required books and records are maintained at the offices of Registrant's Custodians:
U.S. Bank National Association
425 Walnut Street
Cincinnati, Ohio 45202
Brown Brothers Harriman & Co.
40 Water Street
Boston, Massachusetts 02109-3661
C-86
(b)/(c) With respect to Rules 31a-1(a); 31a-1(b)(1),(4); (2)(C) and (D); (4); (5); (6); (8); (9); (10); (11); and 31a-1(f), the required books and records are maintained at the offices of Registrant's Administrator:
SEI Investments Global Funds Services
One Freedom Valley Drive
Oaks, Pennsylvania 19456
(c) With respect to Rules 31a-1(b)(5),(6),(9), (10) and (11) and 31a-1(f), the required books and records are maintained at the principal offices of the Registrant's Money Managers:
Acadian Asset Management Inc.
One Post Office Square
Boston, Massachusetts 02109
AllianceBernstein L.P.
1345 Avenue of the Americas
New York, New York 10105
Alphasimplex Group LLC
One Cambridge Center
Cambridge, Massachusetts 02142
Analytic Investors Inc.
500 South Grand Avenue
23rd Floor
Los Angeles, California 90071
Ares Management LLC
1999 Avenue of the Stars
19th Floor
Los Angeles, California 90067
Aronson+Johnson+Ortiz, LP
230 South Broad Street
Twentieth Floor
Philadelphia, Pennsylvania 19102
Artisan Partners Limited Partnership
875 E. Wisconsin Avenue, Suite 800
Milwaukee, Wisconsin 53202
Ashmore Investment Management Limited
20 Bedfordbury
London, United Kingdom WCZN 4BL
AXA Rosenberg Investment Management LLC
4 Orinda Way
Building E
Orinda, California 94563
BlackRock Advisors, Inc.
40 East 52nd Street
New York, New York 10022
The Boston Company Asset Management
One Boston Place
Boston, Massachusetts 02108
C-87
Capital Guardian Trust Company
333 South Hope Street
55th Floor
Los Angeles, California 90071
David J. Greene & Company, LLC
599 Lexington Avenue
New York, New York 10022
Delaware Management Company
One Commerce Square
2005 Market Street
Philadelphia, Pennsylvania 19103
Deutsche Investment Management Americas Inc.
345 Park Avenue
New York, New York 10154
Emerging Markets Management, L.L.C.
1001 Nineteenth Street North
17th Floor
Arlington, Virginia 22209-1722
Enhanced Investment Technologies, LLC
2401 P.G.A. Boulevard
Suite 100
Palm Beach Gardens, Florida 33410
Fuller & Thaler Asset Management, Inc.
411 Borel Avenue
Suite 300
San Mateo, California 94402
Goldman Sachs Asset Management
32 Old Slip
New York, New York 10005
Highland Capital Management, L.P.
13455 Noel Road
Suite 1300
Dallas, Texas 75240
ING Investment Management Co.
230 Park Avenue, 13th Floor
New York, New York 10169
Integrity Asset Management, LLC
401 West Main Street
Suite 2100
Louisville, Kentucky 40202
Janus Capital Management
151 Detroit Street
Denver, Colorado 80206
C-88
J.P. Morgan Investment Management, Inc.
522 Fifth Avenue
New York, New York 10036
Lee Munder Investments, Ltd.
200 Clarendon Street, 28th Floor
Boston, Massachusetts 02116
Los Angeles Capital Management and Equity Research
11150 Santa Monica Blvd.
Suite 200
Los Angeles, California 90025
LSV Asset Management
1 N. Wacker Drive
Chicago, Illinois 60606
Martingale Asset Management, L.P.
222 Berkeley Street
Boston, Massachusetts 02116
Mazama Capital Management, Inc.
One Southwest Columbia Street
Suite 1500
Portland, Oregon 97258
McKinley Capital Management Inc.
3301 C Street
Suite 500
Anchorage, Alaska 99503
Metropolitan West Asset Management LLC
11766 Wilshire Boulevard, Suite 1580
Los Angeles, California 90025
Montag & Caldwell, Inc.
3455 Peachtree Road, NE Suite 1200
Atlanta, Georgia 30326-3248
Nomura Corporate Research and Asset Management Inc.
2 World Financial Center
Building B
New York, New York 10281-1198
PanAgora Asset Management Inc.
260 Franklin Street
22nd Floor
Boston, MA 02110
Quantitative Management Associates LLC
Gateway Center 2
McCarter Highway & Market Street
Newark, New Jersey 07102
C-89
Record Currency Management Limited
1st Floor Morgan House
Madeira Walk
Windsor, Berkshire SL4 1EP.
Rexiter Capital Management Limited
21 St. James's Square
London SWIY 4SS United Kingdom
Robeco Investment Management, Inc.
909 Third Avenue
New York, New York 10022
Security Capital Research &
Management Incorporated
10 South Dearborn Street, Suite 1400
Chicago, Illinois 60603
SEI Investments Management Corporation
One Freedom Valley Drive
Oaks, Pennsylvania 19456
Smith Breeden Associates, Inc.
100 Europa Drive, Suite 200
Chapel Hill, North Carolina 27157
SSgA Funds Management, Inc.
1 Lincoln Street
Boston, Massachusetts 02111
Stone Harbor Investment Partners LP
31 West 52nd Street
New York, New York 10019.
Wellington Management Company, LLP
75 State Street
Boston, Massachusetts 02109
Wells Capital Management, Inc.
525 Market Street, 10th Floor
San Francisco, California 94105
Western Asset Management Company
385 East Colorado Boulevard, 6th Floor
Pasadena, California 91101
Western Asset Management Company Limited
10 Exchange Square
Primrose Street
London EC2A ZEN
United Kingdom
Item 29. Management Services:
None.
C-90
Item 30. Undertakings:
None.
NOTICE
A copy of the Agreement and Declaration of Trust of SEI Institutional Investments Trust is on file with the Secretary of State of The Commonwealth of Massachusetts and notice is hereby given that this Registration Statement has been executed on behalf of the Trust by an officer of the Trust as an officer and by its Trustees as trustees and not individually and the obligations of or arising out of this Registration Statement are not binding upon any of the Trustees, Officers, or Shareholders individually but are binding only upon the assets and property of the Trust.
C-91
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, and the Investment Company Act of 1940, as amended, the Registrant certifies that it meets all of the requirements for effectiveness of this Registration Statement pursuant to rule 485(b) under the Securities Act of 1933 and has duly caused this Post-Effective Amendment No. 35 to Registration Statement No. 033-58041 to be signed on its behalf by the undersigned, duly authorized, in the City of Oaks, Commonwealth of Pennsylvania on the 20th day of November, 2007.
SEI INSTITUTIONAL INVESTMENTS TRUST
BY: /S/ ROBERT A. NESHER
President & Chief Executive Officer
Pursuant to the requirements of the Securities Act of 1933, this Amendment to the Registration Statement has been signed below by the following persons in the capacity on the date(s) indicated.
* Rosemarie B. Greco |
Trustee |
November 20, 2007 |
|||||||||
* William M. Doran |
Trustee |
November 20, 2007 |
|||||||||
* F. Wendell Gooch |
Trustee |
November 20, 2007 |
|||||||||
* George J. Sullivan, Jr. |
Trustee |
November 20, 2007 |
|||||||||
* James M. Storey |
Trustee |
November 20, 2007 |
|||||||||
/S/ Robert A. Nesher Robert A. Nesher |
Trustee |
November 20, 2007 |
|||||||||
* Nina Lesavoy |
Trustee |
November 20, 2007 |
|||||||||
* James M. Williams |
Trustee |
November 20, 2007 |
|||||||||
* Mitchell A. Johnson |
Trustee |
November 20, 2007 |
|||||||||
/S/ ROBERT A. NESHER Robert A. Nesher |
President & Chief Executive Officer |
November 20, 2007 |
|||||||||
/S/ STEPHEN F. PANNER Stephen F. Panner |
Controller & Chief Financial Officer |
November 20, 2007 |
|||||||||
*By: /S/ ROBERT A. NESHER Robert A. Nesher Attorney-in-Fact |
|
|
C-92
Exhibit Number | Description | ||||||
EX-99.B (d)(16) | Interim Investment Sub-Advisory Agreement dated October 17, 2007 between SIMC and Montag & Caldwell Inc. with respect to the Large Cap Fund is filed herewith. | ||||||
EX-99.B (d)(110) | Investment Sub-Advisory Agreement dated October 10, 2007 between SIMC and ING Investment Management Advisors, B.V. with respect to the Emerging Markets Debt Fund is filed herewith. | ||||||
EX-99.B (p)(51) | The Code of Ethics for ING Investment Management Advisors, B.V. is filed herewith. | ||||||
This ‘485BXT’ Filing | Date | Other Filings | ||
---|---|---|---|---|
12/11/07 | 485BPOS | |||
Filed on: | 11/20/07 | |||
10/17/07 | ||||
10/10/07 | ||||
9/30/07 | 485BPOS | |||
9/28/07 | 485BPOS | |||
9/10/07 | 485APOS | |||
8/22/07 | ||||
8/1/07 | 485APOS | |||
7/25/07 | ||||
7/13/07 | ||||
6/30/07 | N-PX | |||
6/13/07 | ||||
5/15/07 | ||||
5/10/07 | ||||
5/4/07 | ||||
5/1/07 | ||||
3/30/07 | ||||
3/1/07 | ||||
2/19/07 | ||||
2/2/07 | ||||
1/23/07 | ||||
1/8/07 | ||||
1/1/07 | ||||
12/15/06 | 497 | |||
12/13/06 | ||||
12/8/06 | 485BPOS | |||
12/4/06 | ||||
11/4/06 | ||||
9/28/06 | 485BPOS | |||
9/15/06 | ||||
8/16/06 | ||||
7/28/06 | 485APOS | |||
7/25/06 | ||||
7/14/06 | 485APOS | |||
7/4/06 | ||||
6/30/06 | N-PX | |||
6/8/06 | ||||
6/2/06 | ||||
5/31/06 | 24F-2NT, N-CSR, N-CSRS, NSAR-B | |||
5/4/06 | ||||
4/10/06 | ||||
3/17/06 | ||||
3/9/06 | ||||
2/17/06 | ||||
2/2/06 | N-CSRS | |||
1/1/06 | ||||
12/30/05 | ||||
11/14/05 | ||||
10/28/05 | 485BPOS | |||
10/11/05 | 497 | |||
10/3/05 | ||||
9/29/05 | 485BPOS | |||
9/28/05 | ||||
8/8/05 | N-CSR | |||
8/1/05 | 485APOS | |||
6/30/05 | N-PX | |||
6/29/05 | ||||
6/15/05 | ||||
5/17/05 | ||||
4/27/05 | ||||
2/7/05 | ||||
2/1/05 | ||||
9/23/04 | 485BPOS | |||
9/16/04 | ||||
7/15/04 | ||||
7/9/04 | 485APOS | |||
6/17/04 | ||||
5/18/04 | ||||
3/31/04 | ||||
2/5/04 | 485BPOS | |||
12/15/03 | ||||
12/10/03 | ||||
11/14/03 | 485APOS | |||
11/7/03 | ||||
11/5/03 | ||||
10/1/03 | ||||
9/30/03 | 485BPOS | |||
8/28/03 | ||||
7/29/03 | 485BPOS | |||
7/1/03 | ||||
5/16/03 | 485APOS | |||
3/31/03 | NSAR-A | |||
3/28/03 | ||||
3/11/03 | ||||
1/24/03 | ||||
12/9/02 | ||||
10/7/02 | ||||
9/30/02 | 485BPOS | |||
9/16/02 | ||||
6/26/02 | ||||
3/29/02 | 485BPOS | |||
3/14/02 | ||||
3/12/02 | ||||
11/14/01 | ||||
9/28/01 | 485BPOS | |||
9/20/01 | 497 | |||
8/14/01 | 24F-2NT | |||
11/1/00 | ||||
10/2/00 | ||||
9/28/00 | 485BPOS | |||
9/18/00 | ||||
7/14/00 | ||||
4/25/00 | ||||
1/28/00 | ||||
12/13/99 | ||||
9/28/99 | 485BPOS | |||
9/22/99 | ||||
7/16/99 | 485APOS | |||
6/22/99 | ||||
4/1/99 | ||||
9/25/98 | 485BPOS | |||
2/27/98 | ||||
9/29/97 | 485BPOS | |||
2/15/97 | ||||
1/1/97 | ||||
6/14/96 | 497 | |||
6/7/96 | N-1A/A | |||
4/26/96 | N-1A/A | |||
4/1/96 | ||||
3/10/95 | N-1A, N-8A | |||
3/1/95 | ||||
1/27/95 | ||||
1/28/93 | ||||
List all Filings |