485BPOS 1 guidestone-485bpos.htm

As filed with the Securities and Exchange Commission on June 26, 2009
    
Registration Nos. 333-53432
811-10263

                                                                                                                                                   

 

SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549

____________________________

FORM N-1A

REGISTRATION STATEMENT UNDER THE

 

SECURITIES ACT OF 1933

x
   

Pre-Effective Amendment No. _________

o 
   

Post-Effective Amendment No. ___25_____

x
   

and

 
   

REGISTRATION STATEMENT UNDER

x

THE INVESTMENT COMPANY ACT OF 1940

x
     

                    Amendment No.     27  

 

(Check appropriate box or boxes)

GUIDESTONE FUNDS
(Exact name of registrant as specified in charter)

2401 Cedar Springs Road

 

75201-1407

Dallas, TX

 

(Zip Code)

     

(Address of Principal Executive Offices)

   

Registrant’s Telephone Number, including Area Code: (214) 720-1171

Rodney R. Miller, Esq.

GuideStone Financial Resources of the Southern Baptist Convention
2401 Cedar Springs Road

Dallas, TX 75201-1407

   

(Name and Address of Agent for Service)

Copies to:

 

Donald W. Smith, Esq.

Eric S. Purple, Esq.

K&L Gates LLP

1601 K Street, N.W.
Washington, DC 200
06
Telephone: (202) 778-9
223

It is proposed that this filing will become effective
 

x

immediately upon filing pursuant to paragraph (b)

o

on _________pursuant to paragraph (b)

  o

60 days after filing pursuant to paragraph (a)(1)

 

o

on _____________ pursuant to paragraph (a)1

 

o

75 days after filing pursuant to paragraph (a)(2)

 

o

on ____________ pursuant to paragraph (a)(2) of Rule 485.

If appropriate, check the following box:

  o

This post-effective amendment designates a new effective date
for a previously filed post-effective amendment.

GUIDESTONE FUNDS

CONTENTS OF REGISTRATION STATEMENT

This registration document is comprised of the following:
 

 

Cover Sheet

 

  

 

Contents of Registration Statement

 

  

 

Part A – GuideStone Funds Prospectus-Inflation Protected Bond Fund. Incorporated by reference to Post-Effective Amendment No. 24 to the Registrant’s Registration Statement on Form N-1A (File Nos. 333-53432 and 811-10263) filed with the SEC on May 29, 2009 (“PEA No. 24”)

 

 

 

Part B – GuideStone Funds Statement of Additional Information. Incorporated by reference to PEA No. 24

 

  

 

Part C – Other Information

 

  

 

Signature Page

 

  

 

Exhibits

Table of Contents
 

GUIDESTONE FUNDS

N-1A

PART C: OTHER INFORMATION

 

Item 23. EXHIBITS:

 

  (a) Trust Instrument.

 

  1. Certificate of Trust, dated February 29, 2000, filed in the State of Delaware, is incorporated herein by reference to the Initial Registration Statement on Form N-1A (No. 333-53432) filed with the U.S. Securities and Exchange Commission (the “SEC”) on January 9, 2001.

 

  2. Trust Instrument, dated February 29, 2000, is incorporated herein by reference to the Initial Registration Statement on Form N-1A (No. 333-53432) filed with the SEC on January 9, 2001.

 

  3. Amended Certificate of Trust, dated March 12, 2001, filed in the State of Delaware, is incorporated herein by reference to Post-Effective Amendment No. 21 to the Registration Statement on Form N-1A (No. 333-53432) filed with the SEC on February 27, 2009 (PEA No. 21”).

 

  4. Amended and Restated Trust Instrument, dated June 15, 2004, is incorporated herein by reference to Post-Effective Amendment No. 9 to the Registration Statement on Form N-1A (No. 333-53432) filed with the SEC on November 2, 2004 (“PEA No. 9”).

 

  5. Amended and Restated Trust Instrument, dated August 5, 2005, is incorporated herein by reference to Post-Effective Amendment No. 12 to the Registration Statement on Form N-1A (No. 333-53432) filed with the SEC on April 25, 2006 (“PEA No. 12”).

 

  6. Amended Certificate of Trust, dated September 13, 2005, is incorporated herein by reference to Post-Effective Amendment No. 16 to the Registration Statement on Form N-1A (No. 333-53432) filed with the SEC on April 27, 2007 (“PEA No. 16”).

 

  7. Amended and Restated Trust Instrument, dated May 15, 2007, is incorporated by reference to Post-Effective Amendment No. 18 to the Registration Statement on Form N-1A (No. 333-53432) filed with the SEC on April 30, 2008 (“PEA No. 18”).

 

  (b) By-Laws.

By-Laws of the Registrant, dated September 13, 2005, are incorporated herein by reference to PEA No. 12.

 

  (c) Instruments Defining Rights of Security Holders.

None.

 

  (d) Investment Advisory Contracts.

 

  1. Form of Advisory Agreement with GuideStone Capital Management is incorporated herein by reference to Post-Effective Amendment No. 24 to the Registrant's Registration Statement on Form N-1A (Nos. 333-53432 and 811-10263)  filed with the SEC on May 29, 2009  ("PEA No. 24").

 

  2. Form of Sub-Advisory Agreement with Aronson+Johnson+Ortiz, LP is incorporated herein by reference to Pre-Effective Amendment No. 2.

 

  3. Form of Sub-Advisory Agreement with Barrow, Hanley, Mewhinney & Strauss, Inc. is incorporated herein by reference to Pre-Effective Amendment No. 2.


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  4. Form of Sub-Advisory Agreement with BlackRock Institutional Management Corporation is incorporated herein by reference to Post-Effective Amendment No. 15 to the Registration Statement on Form N-1A (No. 333-53432) filed with the SEC on March 22, 2007 (“PEA No. 15”).

 

  5. Form of Sub-Advisory Agreement with BlackRock Financial Management, Inc. is incorporated herein by reference to PEA No. 15.

 

  6. Form of Sub-Advisory Agreement with Mondrian Investment Partners Ltd. is incorporated herein by reference to PEA No. 21.

 

  7. Form of Sub-Advisory Agreement with Goldman Sachs Asset Management, L.P. is incorporated herein by reference to Pre-Effective Amendment No. 2.

 

  8. Form of Sub-Advisory Agreement with Loomis, Sayles & Company, L.P. is incorporated herein by reference to Pre-Effective Amendment No. 2.

 

  9. Form of Sub-Advisory Agreement with Northern Trust Investments, N.A. is incorporated herein by reference to PEA No. 24.

 

  10. Form of Sub-Advisory Agreement with Pacific Investment Management Company LLC is incorporated herein by reference to Pre-Effective Amendment No. 2.

 

  11. Form of Sub-Advisory Agreement with Payden & Rygel is incorporated herein by reference to Pre-Effective Amendment No. 2.

 

  12. Form of Sub-Advisory Agreement with Philadelphia International Advisors, L.P. is incorporated herein by reference to PEA No. 1.

 

  13. Form of Sub-Advisory Agreement with STW Fixed Income Management Ltd. is incorporated herein by reference to PEA No. 12.

 

  14. Form of Sub-Advisory Agreement with Western Asset Management Company is incorporated herein by reference to Pre-Effective Amendment No. 2.

 

  15. Form of Sub-Advisory Agreement with Northern Trust Investments, N.A. is incorporated herein by reference to Post-Effective Amendment No. 2 to the Registration Statement on Form N-1A (No. 333-53432) filed with the SEC on February 28, 2003 (“PEA No. 2”).

 

  16. Form of Sub-Advisory Agreement with TimesSquare Capital Management, LLC is incorporated herein by reference to PEA No. 9.

 

  17. Form of Sub-Advisory Agreement with Western Asset Management Company Limited is incorporated herein by reference to PEA No. 2.

 

  18. Form of Sub-Advisory Agreement with AllianceBernstein L.P. (formerly, Alliance Capital Management L.P.) is incorporated herein by reference to PEA No. 2.

 

  19. Form of Sub-Advisory Agreement with Marsico Capital Management, LLC is incorporated herein by reference to Post-Effective Amendment No. 17 to the Registration Statement on Form N-1A (No. 333-53432) filed with the SEC on February 29, 2008 (“PEA No. 17”).

 

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  20. Form of Sub-Advisory Agreement with Lord, Abbett & Co. LLC is incorporated herein by reference to Pre-Effective Amendment No. 11 to the Registration Statement on Form N-1A (No. 333-53432) filed with the SEC on April 25, 2005 (“PEA No. 11”).

 

  21. Form of Sub-Advisory Agreement with Genesis Asset Managers, LLP is incorporated herein by reference to PEA No. 17.

 

  22. Form of Sub-Advisory Agreement with Sands Capital Management, LLC is incorporated herein by reference to PEA No. 12.

 

  23. Form of Sub-Advisory Agreement with Aronson+Johnson+Ortiz, LP is incorporated herein by reference to Post-Effective Amendment No. 13 to the Registration Statement on Form N-1A (No. 333-53432) filed with the SEC on September 15, 2006 (“PEA No. 13”).

 

  24. Form of Sub-Advisory Agreement with TCW Investment Management Company is incorporated herein by reference to PEA No. 13.

 

  25. Form of Sub-Advisory Agreement with RREEF America L.L.C. is incorporated herein by reference to PEA No. 13.

 

  26. Form of Sub-Advisory Agreement with Western Asset Management Company is incorporated herein by reference to PEA No. 13.

 

  27. Form of Sub-Advisory Agreement with Western Asset Management Company Limited is incorporated herein by reference to PEA No. 13.

 

  28. Form of Sub-Advisory Agreement with Western Asset Management Company is incorporated herein by reference to PEA No. 17.

 

  29. Form of Sub-Advisory Agreement with Western Asset Management Company Limited is incorporated herein by reference to PEA No. 17.

 

  30. Form of Sub-Advisory Agreement with MFS Institutional Advisors, Inc. is incorporated herein by reference to PEA No. 17.

 

  31. Form of Sub-Advisory Agreement with UBS Global Asset Management (Americas) Inc. is incorporated herein by reference to PEA No. 17.

 

  32. Form of Sub-Advisory Agreement with Lazard Asset Management LLC is incorporated herein by reference to PEA No. 17.

 

  33. Form of Amended Sub-Advisory Agreement with AQR Capital Management, LLC is incorporated herein by reference to Post-Effective Amendment No. 20 to the Registration Statement on Form N-1A (No. 333-53432) as filed with the SEC on August 1, 2008 (“PEA No. 20”).

 

  34. Form of Sub-Advisory Agreement with Loomis, Sayles & Company, L.P. is incorporated herein by reference to Post-Effective Amendment No.19 to the Registration Statement on Form N-1A (No. 333-53432) as filed with the SEC on May 23, 2008 (“PEA No. 19”).

 

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35.

Form of Sub-Advisory Agreement with Rainier Investment Management, Inc.® is incorporated herein by reference to PEA No. 21.

 

  36. Form of Sub-Advisory Agreement with Columbus Circle Investors is incorporated herein by reference to PEA No. 21.

 

  37. Form of Sub-Advisory Agreement with McKinley Capital Management, LLC is incorporated herein by reference to PEA No. 21.

 

  38. Form of Sub-Advisory Agreement with Columbus Circle Investors is incorporated herein by reference to PEA No. 21.

 

  39. Form of Sub-Advisory Agreement with BlackRock Financial Management, Inc. is incorporated herein by reference to PEA No. 24. 

 

  (e) Underwriting Contracts.

 

  1. Form of Underwriting Agreement with PFPC Distributors, Inc. is incorporated herein by reference to Pre-Effective Amendment No. 2.

 

  2. Form of Exhibit A to Underwriting Agreement with PFPC Distributors, Inc. is incorporated herein by reference to PEA No. 24. 

 

  (f) Bonus or Profit Sharing Contracts.

Not Applicable.

 

  (g) Custodian Agreements.

 

  1. Form of Custody Agreement with The Northern Trust Company is incorporated by reference to Pre-Effective Amendment No. 2

 

  2. Amended Fee Schedule dated June 4, 2007 is incorporated herein by reference to PEA No. 18.

 

  (h) Other Material Contracts.

 

  1. Form of Administration and Accounting Services Agreement with PNC Global Investment Servicing (U.S.) Inc. (“PNC Global Investment Servicing”) (formerly, PFPC Inc.) is incorporated herein by reference to Pre-Effective Amendment No. 2.

 

  2. Form of Amendment to Administration and Accounting Services Agreement with PNC Global Investment Servicing is incorporated herein by reference to PEA No. 18.

 

  3. Form of Exhibit A to the Administration and Accounting Services Agreement with PNC Global Investment Servicing is incorporated herein by reference to PEA No. 24. 

 

  4. Form of Transfer Agency Services Agreement with PNC Global Investment Servicing (formerly, PFPC Inc.) is incorporated herein by reference to Pre-Effective Amendment No. 2.

 

  5. Form of Amendment to Transfer Agency Services Agreement with PNC Global Investment Servicing is incorporated herein by reference to PEA No. 21.

 

  6. Form of Exhibit A to the Transfer Agency Services Agreement with PNC Global Investment Servicing is is incorporated herein by reference to PEA No. 24. 

 

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  (i) Legal Opinion.

Opinion of K&L Gates LLP is filed herewith as Exhibit Ex-99(i). 

 

  (j) Other Opinions.

 

  1. Consent of Independent Registered Public Accounting Firm. Consent of PricewaterhouseCoopers LLP is filed herewith as Exhibit Ex-99(j)(1). 

 

  2. Power of Attorney.

Power of Attorney, dated May 15, 2001, is incorporated herein by reference to Pre-Effective Amendment No. 2.

 

  3. Power of Attorney.

Power of Attorney, dated April 22, 2002, is incorporated herein by reference to PEA No. 1.

 

  4. Power of Attorney.

Power of Attorney, dated September 16, 2004, is incorporated herein by reference to PEA No. 9.

 

  5. Power of Attorney.

Power of Attorney, dated February 23, 2006, is incorporated herein by reference to PEA No. 12.

 

  6. Power of Attorney

Power of Attorney dated February 23, 2007 is incorporated herein by reference to PEA No. 16.

 

  7. Power of Attorney

Power of Attorney with respect to the Trust for Julie P. Fry, dated September 14, 2007, is incorporated herein by reference to PEA No. 17.

 

  8. Power of Attorney

Power of Attorney with respect to the Trust for Peter Chamberlain, dated July 24, 2008, is incorporated herein by reference to PEA No. 20.

 

  (k) Omitted Financial Statements.

Not Applicable.

 

  (l) Initial Capital Agreements.

Letter Agreement with GuideStone Financial Resources of the Southern Baptist Convention (formerly, Annuity Board of the Southern Baptist Convention) is incorporated herein by reference to Pre-Effective Amendment No. 2.

 

  (m) Rule 12b-1 Plan.

None.

 

  (n) Rule 18f-3 Plan.

Amended and Restated Multiple Class Plan Pursuant to Rule 18f-3 is incorporated herein by reference to PEA No. 24.

  (p) Codes of Ethics.

 

  1. Code of Ethics of GuideStone Funds is incorporated herein by reference to PEA No. 18.

 

  2. Code of Ethics of GuideStone Capital Management is incorporated herein by reference to PEA No. 18.

 

  3. Code of Ethics of PFPC Distributors, Inc. is incorporated herein by reference to Pre-Effective Amendment No. 2.

 

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  4. Code of Ethics of Aronson+Johnson+Ortiz, LP is incorporated herein by reference to PEA No. 18.

 

  5. Code of Ethics of Barrow, Hanley, Mewhinney & Strauss, Inc. is incorporated herein by reference to PEA No. 15.

 

  6. Code of Ethics of BlackRock Financial Management, Inc. is incorporated herein by reference to PEA No. 12.

 

  7. Code of Ethics of Mondrian Investment Partners Ltd. is incorporated herein by reference to PEA No. 17.

 

 

  8. Code of Ethics of Goldman Sachs Asset Management, L.P. is incorporated herein by reference to PEA No. 17.

 

  9. Code of Ethics of Loomis, Sayles & Company L.P. is incorporated herein by reference to PEA No. 20.

 

  10. Code of Ethics of Northern Trust Investments, N.A. is incorporated herein by reference to PEA No. 15.

 

  11. Code of Ethics of Pacific Investment Management Company LLC is incorporated herein by reference to PEA No. 15.

 

  12. Code of Ethics of Payden & Rygel is incorporated herein by reference to PEA No. 12.

 

  13. Code of Ethics of Philadelphia International Advisors, L.P. is incorporated herein by reference to PEA No. 15.

 

  14. Code of Ethics of STW Fixed Income Management Ltd is incorporated herein by reference to PEA No. 20.

 

  15. Code of Ethics of TCW Investment Management Company is incorporated herein by reference to PEA No. 18.

 

  16. Code of Ethics of Western Asset Management Company is incorporated herein by reference to PEA No. 12.

 

  17. Code of Ethics of TimesSquare Capital Management, LLC is incorporated herein by reference to PEA No. 15.

 

  18. Code of Ethics of AllianceBernstein L.P. is incorporated herein by reference to PEA No. 17.

 

  19. Code of Ethics of Marsico Capital Management, LLC is incorporated herein by reference to PEA No. 21.

 

 

  20. Code of Ethics of RREEF America L.L.C. is incorporated herein by reference to PEA No. 13.

 

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  21. Code of Ethics of MFS Institutional Advisors, Inc. is incorporated herein by reference to PEA No. 19.

 

  22. Code of Ethics of UBS Global Asset Management (Americas) Inc. is incorporated herein by reference to PEA No. 18.

 

  23. Code of Ethics of McKinley Capital Management, LLC is incorporated herein by reference to PEA No. 18.

 

  24. Code of Ethics of Lazard Asset Management LLC is incorporated herein by reference to PEA No. 21.

 

  25. Code of Ethics of AQR Capital Management, LLC is incorporated herein by reference to PEA No. 18.

 

 

26.

Code of Ethics of Rainier Investment Management, Inc.® is incorporated herein by reference to PEA No. 21.

 

  27. Code of Ethics of Columbus Circle Investors is incorporated herein by reference to PEA No. 21.

 

  28. Code of Ethics of Genesis Asset Managers, LLP. is incorporated herein by reference to PEA No. 21.

 

  29. Code of Ethics of Sands Capital Management LLC is incorporated herein by reference to PEA No. 21.

 

  30. Code of Ethics of Lord, Abbett & Co. LLC is incorporated herein by reference to PEA No. 21.

 

Item 24. PERSONS CONTROLLED BY OR UNDER COMMON CONTROL OF THE FUND.

As provided for in the Agreement and Declaration of Trust and as disclosed in the prospectus, GuideStone Financial Resources of the Southern Baptist Convention (“GuideStone Financial Resources”) formerly, the Annuity Board of the Southern Baptist Convention (will, at all times, directly or indirectly, control the vote of at least 60% of the shares of each series of GuideStone Funds (the “Trust”). The Trust will refuse to accept any investment that would result in a change of such control. GuideStone Financial Resources is also the sole member of and therefore controls GuideStone Capital Management (the “Adviser”) formerly, SBC Financial Services, Inc., a Texas non-profit corporation, which serves as the Adviser to each series of the Trust and GuideStone Trust Services, formerly SBC Trust Services, Inc., a Texas corporation which serves as custodian of certain IRAs invested in series of the Trust. Thus, the Trust, the Adviser and GuideStone Trust Services are under the common control of GuideStone Financial Resources. GuideStone Financial Resources is a Texas non-profit corporation of which the Southern Baptist Convention, a Georgia nonprofit corporation, is the sole member.

 

Item 25. INDEMNIFICATION.

A Delaware statutory trust may provide in its governing instrument for indemnification of its officers and trustees from and against any and all claims and demands whatsoever. Article IX, Section 2 of the Trust Instrument provides that the Registrant shall indemnify any present or former trustee, officer, employee or agent of the Registrant (“Covered Person”) to the fullest extent permitted by law against liability and all expenses reasonably incurred or paid by him or her in connection with any claim, action, suit or proceeding (“Action”) in which he or she becomes involved as a party or otherwise by virtue of his or her being or having been a Covered Person and against amounts paid or incurred by him or her in settlement thereof.

 

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Indemnification will not be provided to a person adjudged by a court or other body to be liable to the Registrant or its shareholders by reason of “willful misfeasance, bad faith, gross negligence or reckless disregard of the duties involved in the conduct of his office” (“Disabling Conduct”), or not to have acted in good faith in the reasonable belief that his or her action was in the best interest of the Registrant. In the event of a settlement, no indemnification may be provided unless there has been a determination that the officer or trustee did not engage in Disabling Conduct (i) by the court or other body approving the settlement; (ii) by at least a majority of those trustees who are neither interested persons, as that term is defined in the Investment Company Act of 1940 (“1940 Act”), of the Registrant (“Independent Trustees”), nor parties to the matter based upon a review of readily available facts; or (iii) by written opinion of independent legal counsel based upon a review of readily available facts.

Pursuant to Article IX, Section 3 of the Trust Instrument, if any present or former shareholder of any series (“Series”) of the Registrant shall be held personally liable solely by reason of his or her being or having been a shareholder and not because of his or her acts or omissions or for some other reason, the present or former shareholder (or his or her heirs, executors, administrators or other legal representatives or in the case of any entity, its general successor) shall be entitled out of the assets belonging to the applicable Series to be held harmless from and indemnified against all loss and expense arising from such liability. The Registrant, on behalf of the affected Series, shall, upon request by such shareholder, assume the defense of any claim made against such shareholder for any act or obligation of the Series and satisfy any judgment thereon from the assets of the Series.

Section 12 of the Advisory Agreement between the Adviser and the Registrant provides that the Adviser shall not be liable for any loss due solely to a mistake of investment judgment, but shall be liable for any loss which is incurred by reason of an act or omission of its employee, partner, director or affiliate, if such act or omission involves willful misfeasance, bad faith or gross negligence, or breach of its duties or obligations thereunder, whether express or implied; provided, that this shall not be deemed a limitation or waiver of any obligation or duty that may not by law be limited or waived.

Section 5 of the Advisory Agreement between the Adviser and the Registrant provides that the Adviser shall indemnify the Registrant or any of its trustees, officers, employees or affiliates for all losses, damages, liabilities, costs and expenses (including legal) (“Losses”) incurred by the Registrant by reason of or arising out of any act or omission by the Adviser under the Agreement, or any breach of warranty, representation or agreement thereunder, except to the extent that such Losses arise as a result of the negligence, gross negligence, willful misfeasance or bad faith of the Registrant. Section 5 further provides that the Registrant shall indemnify the Adviser or any of its directors, officers, employees or affiliates for all Losses incurred by the Adviser by reason of or arising out of any act or omission by the Registrant under the Agreement, or any breach of warranty, representation or agreement thereunder, except to the extent that such Losses arise as a result of the negligence, gross negligence, willful misfeasance or bad faith of the Adviser or the Adviser’s breach of fiduciary duty to the Registrant.

Section 8 of the Sub-Advisory Agreements between the Registrant, the Adviser and each Sub-Adviser to one or more Series, provides that the Sub-Adviser shall not be liable for any loss due solely to a mistake of investment judgment, but shall be liable for any loss which is incurred by reason of an act or omission of its employee, partner, director or affiliate, if such act or omission involves willful misfeasance, bad faith or gross negligence, or breach of its duties or obligations thereunder, whether express or implied; provided, that this shall not be deemed a limitation or waiver of any obligation or duty that may not by law be limited or waived.

Section 9 of the Sub-Advisory Agreements between the Registrant, the Adviser and each Sub-Adviser to one or more Series provides that the Registrant and the Adviser shall indemnify the Sub-Adviser or any of its directors, officers, employees or affiliates for all losses, damages, liabilities, costs and expenses (including legal) (“Losses”) incurred by the Sub-Adviser by reason of

 

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or arising out of any act or omission by the Registrant and the Adviser under the Agreement, or any breach of warranty, representation or agreement thereunder, except to the extent that such Losses arise as a result of the negligence, gross negligence, willful misfeasance or bad faith of the Sub-Adviser or the Sub-Adviser’s breach of fiduciary duty to the Registrant and the Adviser.

Section 9 also provides that the Sub-Adviser shall indemnify the Registrant and the Adviser or any of their directors, officers, employees or affiliates for all Losses incurred by the Registrant and the Adviser by reason of or arising out of any act or omission by the Sub-Adviser under the Agreement if such act or omission involves the negligence, gross negligence, willful misfeasance, bad faith or breach of fiduciary duty of the Sub-Adviser, or any breach of warranty, representation or agreement thereunder, except to the extent that such Losses arise as a result of the negligence, gross negligence, willful misfeasance or bad faith of the Registrant and the Adviser or the Registrant’s and the Adviser’s breach of fiduciary duty to the Sub-Adviser.

Section 10 of the Distribution Agreement between the Registrant and PFPC Distributors, Inc. (“PFPC Distributors”) provides that the Registrant agrees to indemnify and hold harmless PFPC Distributors and its affiliates from all taxes, charges, expenses, assessments, claims and liabilities arising directly or indirectly from any action or omission to act which PFPC Distributors takes under the Agreement. Neither PFPC Distributors, nor any of its affiliates shall be indemnified against any liability caused by PFPC Distributors’ or its affiliates’ own willful misfeasance, bad faith, negligence, gross negligence or reckless disregard of its duties and obligations under the Agreement.

Section 20 of the Distribution Agreement between the Registrant and PFPC Distributors, Inc. provides that PFPC Distributors shall look only to the assets of a Series for the Registrant’s performance of the Agreement by the Registrant on behalf of such Series, and neither the Trustees nor any of the Registrant’s officers, employees or agents, whether past, present or future, shall be personally liable therefore.

Insofar as indemnification for liabilities arising under the Securities Act of 1933, as amended, (“1933 Act”) may be permitted to trustees, officers and controlling persons of the Registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been advised that in the opinion of the Securities and Exchange Commission, such indemnification is against public policy as expressed in the 1933 Act and is, therefore, 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 a trustee, officer or controlling person of the Registrant in the successful defense of any action, suit or proceeding) is asserted by such trustee, officer or controlling person, 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 1933 Act and will be governed by the final adjudication of such issue.

 

Item 26. BUSINESS AND OTHER CONNECTIONS OF THE INVESTMENT ADVISERS.

 

  1. GuideStone Capital Management:

GuideStone Capital Management (“GSCM”) is located at 2401 Cedar Springs Road, Dallas, Texas 75201. GSCM is a Texas non-profit corporation, is a registered investment adviser and offers investment management services to investment companies and other types of investors. Information as to the firm’s officers and directors is as follows:

 

Name and Position with Adviser

 

Other Company

 

Position with Other Company

William R. Delk

Director

  Retired Vice President, BellSouth Corp.   N/A

 

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Larry A. Standridge

Director

  None   N/A

Oliver Allred

Director

  Retired Bank Senior Vice President & Executive Trust Officer – Fiduciary Consultant   N/A

Truman Fallaw

Director

  Retired Bank Vice President   N/A

Harold D. Vick

Director

  Retired Chairman, Kimley-Horn and Associates   N/A

John R. Jones

President

  GuideStone Financial Resources   Executive Vice President/COO

Jeffrey P. Billinger

Vice President and Treasurer

  GuideStone Financial Resources   Chief Financial Officer, Treasurer and Executive Officer, Financial & Administrative Services

Rodric E. Cummins Sr.

Vice President and Chief Investment Officer

  GuideStone Financial Resources   Executive Officer, Investment Services

Rodney R. Miller

Vice President and Secretary

  GuideStone Financial Resources   Executive Officer, General Counsel & Secretary, Legal & Compliance Services

Matt L. Peden

Vice President and Investment Officer

  GuideStone Financial Resources   Portfolio Manager

Patrick Pattison

Financial Officer

  GuideStone Financial Resources   Department Head

Patricia A. Weiland

Senior Vice President and Chief Operating Officer

  GuideStone Financial Resources   Executive Officer, Financial Solutions and Services
 

GuideStone Financial Services;

GuideStone Advisors

  Chief Executive Officer and President

Arthur G. Merritt

Chief Compliance Officer

  GuideStone Financial Resources   Chief Compliance Officer

 

  2. AllianceBernstein L.P.:

AllianceBernstein L.P. (“AllianceBernstein”) is located at 1345 Avenue of the Americas, 35th Floor, New York, New York 10105 and is a master limited partnership organized under the State of Delaware. AllianceBernstein is a federally-registered investment adviser under the Investment Advisers Act of 1940, as amended. AllianceBernstein offers investment management services to investment companies and other types of investors. Information as to the firm’s officers and directors is as follows:

 

Name and Position with Adviser

  

Other Company

  

Position with Other Company

Dominique Carrel-Billiard

Director

   AXA    Senior Vice President

 

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Henri de Castries

Director

   AXA    Chairman, Management Board of AXA
   AELIC    Director
   AXF    Chairman of the Board

Christopher M. Condron

Director

   AXA Financial    Director, President and Chief Executive Officer
   AELIC    Chairman and Chief Executive Officer
   AXA    Member of Management Board

Denis Duverne

Director

   AXA    Chief Financial Officer
   AELIC    Director

Weston M. Hicks

Director

   Alleghany Corporation   

President and

Chief Executive Officer

W. Edwin Jarmain

Director

   Jarmain Group Inc.    President

Nicolas Moreau

Director

   AXA Investment Managers    Chief Executive Officer

Lorie Slutsky

Director

   The New York Community Trust   

President and

Chief Executive Officer

A. W. (Pete) Smith, Jr.

Director

   Smith Consulting    President

Peter J. Tobin

Director

   AXF    Director

Stanley B. Tulin

Director

  

AXF;

AELIC

  

Vice Chairman and

Chief Financial Officer

Sharon E. Fay

Executive Vice President

   Global Value Equities    Chief Investment Officer

Marilyn G. Fedak

Executive Vice President

   U.S. Value Equities    Co-Chief Investment Officer

Mark R. Gordon

Executive Vice President

   Global Quantitative Research    Director
   Global Diversified Funds    Chief Investment Officer

 

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Thomas S. Hexner

Executive Vice President

   Bernstein Investment Research and Management    President

Marc O. Mayer

Executive Vice President

   AllianceBernstein Investment Research and Management    Executive Managing Director

Douglas J. Peeles

Executive Vice President

   AllianceBernstein Fixed Income    Co-Chief Investment Officer

Jeffrey S. Phlegar

Executive Vice President

   AllianceBernstein Fixed Income    Co-Chief Investment Officer

Lisa Shalett

Executive Vice President

   Sanford C. Bernstein & Co., LLC   

Chairman and

Chief Executive Officer

David Steyn

Executive Vice President

   AllianceBernstein Institutional Investment    Executive Vice President and Global Head of Distribution

 

  3. Aronson+Johnson+Ortiz, LP:

The sole business activity of Aronson+Johnson+Ortiz, LP (“AJO”), 230 South Broad Street, 20th Floor, Philadelphia, Pennsylvania, 19102, is to serve as an investment adviser. AJO is registered with the SEC under the Investment Advisers Act of 1940, as amended. Information as to the directors, investment officers and/or partners during the past two fiscal years is as follows:

 

Name and Position with Adviser

 

Other Company

 

Position with Other Company

Stuart P. Kaye

Principal and Portfolio Manager

  INVESCO   Global Partner

 

  4. AQR Capital Management, LLC:

AQR Capital Management, LLC (“AQR”), Two Greenwich Plaza, Third Floor, Greenwich Connecticut 06830. AQR is a registered investment adviser under the Investment Advisers Act of 1940, as amended. AQR offers investment management services to investment companies and other types of investors. Information as to the principals and executive officers of AQR during the past two fiscal years is as follows:

 

Name and Position with Adviser

 

Other Company

 

Position with Other Company

John M. Liew, Ph.D.

Principal

  AQR Funds   Trustee

John B. Howard

Chief Operating Officer

  AQR Funds   Treasurer

 

  5. Barrow, Hanley, Mewhinney & Strauss, Inc.:

The sole business activity of Barrow, Hanley, Mewhinney & Strauss, Inc. (“BHMS”), 2200 Ross Avenue, 31st Floor, Dallas, Texas 75201 is to serve as an investment adviser. BHMS is registered under the Investment Advisers Act of 1940, as amended. Information as to the trustees and officers of BHMS during the past two fiscal years is as follows:

 

Name and Position with Adviser

 

Other Company

 

Position with Other Company

Thomas M. Turpin

Board Member

  Old Mutual (US) Holdings, Inc.   Chief Executive Officer

 

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  6. BlackRock Financial Management, Inc.:

BlackRock Financial Management, Inc.’s (“BFM”) principal business address is 40 East 52nd Street, New York, New York 10022. BFM is registered under the Investment Advisers Act of 1940, as amended, and serves as an investment adviser for registered investment companies. Information as to the directors and officers of BFM is as follows:

 

Name and Position with Adviser

 

Other Company

 

Position with Other Company

Ann Marie Petach

Chief Financial Officer and Managing Director

 

BAA Holdings, LLC;

BlackRock, Inc.;

BlackRockAdvisors, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.’

BlackRock Holdco 2, Inc.;

BlackRock Institutional Management Corporation;

BlackRock Institutional Holdings, Inc.;

BlackRock Investment Management, LLC;

BlackRock Lux Finco S.a.r.l.;

BlackRock Operations (Luxembourg) S.a.r.l.;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

BlackRock UK 1 LP;

BlackRock US Newco, Inc.;

State Street Research & Management Company;

SSRM Holdings, Inc.

  Chief Financial Officer and Managing Director

Robert P. Connolly

General Counsel, Managing Director and Secretary

 

BAA Holdings, LLC;

BlackRock, Inc.;

BlackRock Advisors, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Holdco 2, Inc.;

BlackRock International Holdings, Inc.;

BlackRock Investments, Inc.;

  General Counsel, Managing Director and Secretary

 

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BlackRock Investment Management, LLC;

BlackRock Lux Finco S.a.r.l.;

BlackRock Operations (Luxembourg) S.a.r.l.;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

BlackRock UK 1 LP;

BlackRock US Newco, Inc.;

BlackRock Institutional Management Corporation;

State Street Research & Management Company;

SSRM Holdings, Inc.

 
  Black Rock International, Ltd.   Officer

Laurence D. Fink

Chief Executive Officer and Director

 

BAA Holdings, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Holdco 2, Inc.;

BlackRock International Holdings, Inc.

  Chief Executive Officer and Director
 

BlackRock, Inc.;

State Street Research & Management Company;

SSRM Holdings, Inc.

  Chairman, Chief Executive Officer and Director
 

BlackRock Advisors, LLC;

BlackRock Funding, Inc.;

BlackRock Institutional Management Corporation

  Chief Executive Officer
 

BlackRock Advisors Singapore Pte. Ltd.;

BlackRock Capital Management, Inc.;

BlackRock Investment Management, LLC;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

BlackRock US Newco, Inc.

  Chairman and Chief Executive Officer
  BlackRock Capital Markets, LLC   Chairman

 

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BlackRock Equity – Bond Funds;

BlackRock HPB Management, LLC;

State Street Research Investment Services, Inc.

  Director
  BlackRock International, Ltd.   Officer
  BlackRock Investments, Inc.   Chairman and Director

Robert S. Kapito

President and Director

 

BAA Holdings, LLC;

BlackRock, Inc.;

BlackRock Advisors, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Holdco 2, Inc.;

BlackRock (Institutional) Canada Ltd.;

BlackRock Institutional Management Corporation; BlackRock International Holdings, Inc.;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

BlackRock US Newco, Inc.;

State Street Research & Management Company;

SSRM Holdings, Inc.

  President and Director
 

BlackRock Advisors Singapore Pte. Ltd.;

BlackRock Investment Management, LLC

  President
 

BlackRock Capital Markets, LLC;

BlackRock Investments, Inc.;

Carbon Capital III, Inc.;

State Street Research Investment Services, Inc.

  Director
  BlackRock International, Ltd.   Officer

 

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Paul Audet

Vice Chairman

 

BAA Holdings, LLC;

BlackRock Advisors, LLC;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Institutional Management Corporation;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

BlackRock US Newco, Inc.

  Vice Chairman and Director
 

BlackRock, Inc.;

BlackRock Advisors Holdings, Inc.;

BlackRock Holdco 2, Inc.;

BlackRock International Holdings, Inc.;

BlackRock Investment Management, LLC;

BlackRock Lux Finco S.a.r.l.;

BlackRock Operations (Luxembourg) S.a.r.l.;

BlackRock UK 1 LP;

State Street Research & Management Company;

SSRM Holdings, Inc.

  Vice Chairman
 

BlackRock Cayco Limited;

BlackRock Cayman Company;

BlackRock Cayman Newco Limited;

BlackRock Finco, LLC;

BlackRock Realty Advisors, Inc.;

BlackRock Finco UK, Ltd.;

BlackRock Holdco Limited

  Director

Charles Hallac

Vice Chairman

 

BlackRock, Inc.;

BlackRock Advisors, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Holdco 2, Inc.;

  Vice Chairman

 

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BlackRock Institutional Management Corporation;

BlackRock International Holdings, Inc.;

BlackRock Investment Management, LLC;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

BlackRock US Newco, Inc.;

State Street Research & Management Company;

SSRM Holdings, Inc.

 
  BlackRock India Private Ltd.   Director
  BlackRock International, Ltd.   Officer

Barbara Novick

Vice Chairman

 

BlackRock, Inc.;

BlackRock Advisors, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Holdco 2, Inc.;

BlackRock Institutional Management Corporation;

BlackRock International Holdings, Inc.;

BlackRock Investment Management, LLC;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

BlackRock US Newco, Inc.;

State Street Research & Management Company;

SSRM Holdings, Inc.

  Vice Chairman
  BlackRock International, Ltd.   Officer
  BlackRock Investments, Inc.   Chief Executive Officer

 

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Scott Amero

Vice Chairman

 

BlackRock, Inc.;

BlackRock Advisors, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Holdco 2, Inc.;

BlackRock Institutional Management Corporation;

BlackRock International Holdings, Inc.;

BlackRock Investment Management, LLC;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

BlackRock US Newco, Inc.;

State Street Research & Management Company;

SSRM Holdings, Inc.

  Vice Chairman
  BlackRock International, Ltd.   Officer
  Anthracite Capital Inc.   Director

Susan Wagner

Vice Chairman and Chief Operating Officer

  BAA Holdings, LLC   Vice Chairman, Chief Operating Officer and Director
 

BlackRock, Inc.;

BlackRock Advisors, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Holdco 2, Inc.;

BlackRock Institutional Management Corporation;

BlackRock International Holdings, Inc.;

BlackRock Investment Management, LLC;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

BlackRock US Newco, Inc.;

State Street Research & Management Company;

SSRM Holdings, Inc.

  Vice Chairman and Chief Operating Officer

 

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BlackRock Finco UK, Ltd.;

BlackRock Mortgage Ventures, LLC

  Director
  BlackRock International, Ltd.   Officer

Robert Doll

Vice Chairman

  BlackRock, Inc.   Vice Chairman and Director
 

BlackRock Advisors, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Holdco 2, Inc.;

BlackRock Institutional Management Corporation;

BlackRock International Holdings, Inc.;

BlackRock Investment Management, LLC;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

BlackRock US Newco, Inc.;

State Street Research & Management Company;

SSRM Holdings, Inc.

  Vice Chairman
  Portfolio Administration & Management Ltd.   Director

Robert Fairbairn

Vice Chairman

 

BlackRock, Inc.;

BlackRock Advisors, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Institutional Management Corporation;

BlackRock International Holdings, Inc.;

BlackRock Investment Management, LLC;

  Vice Chairman

 

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BlackRock Lux Finco S.a r.l.;

BlackRock Operations (Luxembourg) S.a r.l.;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC

BlackRock UK 1 LP;

BlackRock US Newco, Inc.;

State Street Research & Management Company;

SSRM Holdings, Inc.

 
 

BlackRock Asset Management U.K. Limited;

BlackRock Group Limited;

BlackRock International, Ltd.;

BlackRock Investment Management International Limited

  Chairman and Director
 

BlackRock Investment Management (Australia) Limited;

BlackRock Investment Management (UK) Limited;

BlackRock Japan Co., Ltd.;

BlackRock Securities Co, Ltd.;

Grosvenor Alternate Partner Limited;

Impact Investing Pty Ltd.;

PSN Pty Ltd.

  Director

Bennett Golub

Vice Chairman

 

BlackRock, Inc.;

BlackRock Advisors, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Institutional Management Corporation;

BlackRock International Holdings, Inc.;

BlackRock Investment Management, LLC;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

  Vice Chairman

 

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BlackRock US Newco, Inc.;

SSRM Holdings, Inc.;

State Street Research & Management Company

 

Richard Kushel

Vice Chairman

 

BlackRock, Inc.;

BlackRock Advisors, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Institutional Management Corporation;

BlackRock International Holdings, Inc.;

BlackRock Investment Management, LLC;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

BlackRock US Newco, Inc.;

SSRM Holdings, Inc.;

State Street Research & Management Company

  Vice Chairman
 

BlackRock Japan Co., Ltd;

BlackRock Securities Co., Ltd

  Director

 

  7. BlackRock Institutional Management Corporation:

BlackRock Institutional Management Corporation’s (“BIMC”) principal business address is 100 Bellevue Parkway, Wilmington, Delaware 19809. BIMC is registered under the Investment Advisers Act of 1940, as amended, and serves as an investment adviser for registered investment companies. Information as to the directors and officers of BIMC is as follows:

 

Name and Position with Adviser

 

Other Company

 

Position with Other Company

Ann Marie Petach

Chief Financial Officer and Managing Director

 

BAA Holdings, LLC;

BlackRock, Inc.;

BlackRock Advisors, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Holdco 2, Inc.;

BlackRock Institutional Management Corporation;

BlackRock International Holdings, Inc.;

  Chief Financial Officer and Managing Director

 

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BlackRock Investment Management, LLC;

BlackRock Lux Finco S.a r.l. ;

BlackRock Operations (Luxembourg) S.a r.l. ;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

BlackRock UK 1 LP;

BlackRock US Newco, Inc.;

State Street Research & Management Company;

SSRM Holdings, Inc.

 

Robert P. Connolly

General Counsel, Managing Director and Secretary

 

BAA Holdings, LLC;

BlackRock, Inc.;

BlackRock Advisors, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Holdco 2, Inc.;

BlackRock International Holdings, Inc.;

BlackRock Investments, Inc.;

BlackRock Investment

Management, LLC;

BlackRock Lux Finco S.a r.l.;

BlackRock Operations (Luxembourg) S.a r.l.;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC; BlackRock UK 1 LP;

BlackRock US Newco, Inc.;

BlackRock Institutional Management Corporation;

State Street Research & Management Company;

SSRM Holdings, Inc.

  General Counsel, Managing Director and Secretary
  BlackRock International, Ltd.   Officer

 

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Laurence D. Fink

Chief Executive Officer and Director

 

BAA Holdings, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Holdco 2, Inc.;

BlackRock International Holdings, Inc.

  Chief Executive Officer and Director
 

BlackRock, Inc.;

State Street Research & Management Company;

SSRM Holdings, Inc.,

  Chairman, Chief Executive Officer and Director
 

BlackRock Advisors, LLC;

BlackRock Funding, Inc.;

BlackRock Institutional Management Corporation

  Chief Executive Officer
 

BlackRock Advisors Singapore Pte. Ltd.;

BlackRock Capital Management, Inc.;

BlackRock Investment Management, LLC;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

BlackRock US Newco, Inc.

  Chairman and Chief Executive Officer
  BlackRock Capital Markets, LLC   Chairman
 

BlackRock Equity - Bond Funds;

BlackRock HPB Management, LLC;

State Street Research Investment Services, Inc.

  Director
  BlackRock International, Ltd.   Officer
  BlackRock Investments, Inc.   Chairman and Director

Robert S. Kapito

President and Director

 

BAA Holdings, LLC;

BlackRock, Inc.;

BlackRock Advisors, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

  President and Director

 

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BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Holdco 2, Inc.;

BlackRock (Institutional) Canada Ltd.;

BlackRock Institutional Management Corporation;

BlackRock International Holdings, Inc.;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

BlackRock US Newco, Inc.;

State Street Research & Management Company;

SSRM Holdings, Inc.

 
 

BlackRock Advisors Singapore Pte. Ltd.;

BlackRock Investment Management, LLC

  President
 

BlackRock Capital Markets, LLC;

BlackRock Investments, Inc.;

Carbon Capital III, Inc.;

State Street Research Investment Services, Inc.

  Director
  BlackRock International, Ltd.   Officer

Paul Audet

Vice Chairman

 

BAA Holdings, LLC;

BlackRock Advisors, LLC;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Institutional Management Corporation;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

BlackRock US Newco, Inc.

  Vice Chairman and Director
 

BlackRock, Inc.;

BlackRock Advisors Holdings, Inc.;

  Vice Chairman

 

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BlackRock Holdco 2, Inc.;

BlackRock International Holdings, Inc.;

BlackRock Investment Management, LLC;

BlackRock Lux Finco S.a r.l. ;

BlackRock Operations (Luxembourg) S.a r.l. ;

BlackRock UK 1 LP;

State Street Research & Management Company;

SSRM Holdings, Inc.

 
 

BlackRock Cayco Limited;

BlackRock Cayman Company;

BlackRock Cayman Newco Limited;

BlackRock Finco, LLC;

BlackRock Realty Advisors, Inc.

BlackRock Finco UK, Ltd.;

BlackRock Holdco Limited

  Director

Charles Hallac

Vice Chairman

 

BlackRock, Inc.;

BlackRock Advisors, LLC

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Holdco 2, Inc.;

BlackRock Institutional Management Corporation;

BlackRock International Holdings, Inc.;

BlackRock Investment Management, LLC;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

BlackRock US Newco, Inc.;

State Street Research & Management Company;

SSRM Holdings, Inc.

  Vice Chairman
  BlackRock India Private Ltd.   Director
  BlackRock International, Ltd.   Officer

 

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Barbara Novick

Vice Chairman

 

BlackRock, Inc.;

BlackRock Advisors, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Holdco 2, Inc.;

BlackRock Institutional Management Corporation;

BlackRock International Holdings, Inc.;

BlackRock Investment Management, LLC;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

BlackRock US Newco, Inc.;

State Street Research & Management Company;

SSRM Holdings, Inc.

  Vice Chairman
  BlackRock International, Ltd.   Officer
  BlackRock Investments, Inc.   Chief Executive Officer

Scott Amero

Vice Chairman

 

BlackRock, Inc.;

BlackRock Advisors, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Holdco 2, Inc.;

BlackRock Institutional Management Corporation;

BlackRock International Holdings, Inc.;

BlackRock Investment Management, LLC;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

  Vice Chairman

 

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BlackRock US Newco, Inc.;

State Street Research & Management Company;

SSRM Holdings, Inc.

 
  BlackRock International, Ltd.   Officer
  Anthracite Capital Inc.   Director

Susan Wagner

Vice Chairman and Chief Operating Officer

  BAA Holdings, LLC   Vice Chairman, Chief Operating Officer and Director
 

BlackRock, Inc.;

BlackRock Advisors, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Holdco 2, Inc.;

BlackRock Institutional Management Corporation;

BlackRock International Holdings, Inc.;

BlackRock Investment Management, LLC;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

BlackRock US Newco, Inc.;

State Street Research & Management Company;

SSRM Holdings, Inc.

  Vice Chairman and Chief Operating Officer
 

BlackRock Finco UK, Ltd.;

BlackRock Mortgage Ventures, LLC

  Director
  BlackRock International, Ltd.   Officer

Robert Doll

Vice Chairman

  BlackRock, Inc.   Vice Chairman and Director
 

BlackRock Advisors, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

  Vice Chairman

 

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BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Holdco 2, Inc.;

BlackRock Institutional Management Corporation;

BlackRock International Holdings, Inc.;

BlackRock Investment Management, LLC;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

BlackRock US Newco, Inc.;

State Street Research & Management Company;

SSRM Holdings, Inc.

 
  Portfolio Administration & Management Ltd.   Director

Robert Fairbairn

Vice Chairman

 

BlackRock, Inc.;

BlackRock Advisors, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Institutional Management Corporation;

BlackRock International Holdings, Inc.;

BlackRock Investment Management, LLC;

BlackRock Lux Finco S.a r.l. ;

BlackRock Operations (Luxembourg) S.a r.l. ;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC

BlackRock UK 1 LP;

BlackRock US Newco, Inc.;

State Street Research & Management Company;

SSRM Holdings, Inc.

  Vice Chairman
  BlackRock Asset Management U.K. Limited;   Chairman and Director

 

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BlackRock Group Limited;

BlackRock International, Ltd.;

BlackRock Investment Management International Limited

 
 

BlackRock Investment Management (Australia) Limited;

BlackRock Investment Management (UK) Limited;

BlackRock Japan Co., Ltd.;

BlackRock Securities Co, Ltd.;

Grosvenor Alternate Partner Limited;

Impact Investing Pty Ltd.;

PSN Pty Ltd.

  Director

Bennett Golub

Vice Chairman

 

BlackRock, Inc.;

BlackRock Advisors, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Funding International, Ltd.;

BlackRock Institutional Management Corporation;

BlackRock International Holdings, Inc.;

BlackRock Investment Management, LLC;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

BlackRock US Newco, Inc.;

SSRM Holdings, Inc.;

State Street Research & Management Company

  Vice Chairman

Richard Kushel

Vice Chairman

 

BlackRock, Inc.;

BlackRock Advisors, LLC;

BlackRock Advisors Holdings, Inc.;

BlackRock Capital Management, Inc.;

BlackRock Funding, Inc.;

BlackRock Institutional Management Corporation;

  Vice Chairman

 

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BlackRock International Holdings, Inc.;

BlackRock Investment Management, LLC;

BlackRock Portfolio Holdings, Inc.;

BlackRock Portfolio Investments, LLC;

BlackRock US Newco, Inc.;

SSRM Holdings, Inc.;

State Street Research & Management Company

 
 

BlackRock Japan Co., Ltd;

BlackRock Securities Co., Ltd

  Director

 

  8. Columbus Circle Investors:

Columbus Circle Investors (“CCI”) is located at Metro Center, One Station Place, 8th Floor, Stamford, Connecticut 06902 and manages assets for defined contribution and benefit plans, investment companies and other institutional investors. CCI is 30% owned by five active CCI employees. In January 2005, Principal Global Investors, LLC (“Principal”), a wholly-owned subsidiary of Principal Financial Group®, acquired a 70% ownership interest in CCI to make the firm’s capabilities available to Principal clients. CCI maintains full investment autonomy with no changes to the firm’s process, philosophy or team. The directors, officers and/or partners of CCI have not held any positions with other companies during the past two fiscal years.

 

  9. Genesis Asset Managers, LLP:

The sole business activity of Genesis Asset Managers, LLP (“Genesis”), P.O. Box 475 Barclays Court, Les Echelons, St. Peter Port, Guernsey, GYI 6 BA, Channel Islands, is to serve as an investment adviser. Genesis is registered under the Investment Advisers Act of 1940, as amended. Information as to the directors and officers of Genesis is as follows:

 

Name and Position with Adviser

 

Other Company

 

Position with Other Company

Jeremy Paulson-Ellis

Chairman/Principal/Guernsey

Operating Committee Member

 

Emerging Markets Value Realisation Limited;

Genesis Administration Limited;

Genesis Asset Managers International Limited;

Genesis Emerging Markets Fund Ltd.;

Genesis Emerging Markets Investment Company SICAV;

Genesis Emerging Markets Opportunities Fund Limited;

Genesis Emerging Markets Opportunities Fund Limited II;

Genesis Emerging Markets Opportunities Fund Limited III;

  Director

 

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Genesis Holdings International Limited;

Genesis India Investment Company Limited;

Genesis Kenya Investment Management Limited;

Genesis Smaller Companies Investment Company (SICAV);

GIL Private Trustees Limited;

GIML Limited;

GEMOF II RUSSIA Portfolio(Cyprus) Limited;

GEMOF RUSSIA Portfolio (Cyprus) Limited;

Goreau Arf Limited;

J.P. Morgan Japan Investment Trust plc;

Mekong Enterprise Fund II, Limited;

MCB Capital Markets Ltd

 
  Genesis Condor Fund Limited   Chairman/Director
  Genesis Taihei Investments, LLC   Chairman/Principal
  Genesis Investment Management, LLP   Principal/Chairman

Karen Yerburgh

Chief Executive Officer/ Managing Partner/Principal/ Guernsey Operating Committee Member

  Genesis Investment Management, LP   Principal/Chief Executive Officer/Managing Partner

Stephen Birkett

Guernsey Operating Committee Member

 

Collins Stewart Absolute Return Euro Plus Limited;

Collins Stewart Sterling Fixed Interest Limited;

Hirzel House Absolute Return Plus £ Hedged Fund Limited;

Hirzel House Global Bond Fund Sterling Limited;

Hirzel House International Balanced Fund Euro Limited;

Hirzel House International Balanced Fund Sterling Limited;

Hirzel House International Balanced Fund US$ Limited;

  Non-Executive Director

 

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Hirzel House International Growth($) Limited;

Hirzel House International Growth Fund Limited

 
 

Genesis Emerging Markets Opportunities Fund Limited;

Genesis Emerging Markets Opportunities Fund Limited II;

Genesis Emerging Markets Opportunities Fund Limited III;

Firecrest Limited

  Director

Mel Carville

Guernsey Operating Committee Member

 

BSI Generali Bank (CI) Limited;

Bailiwick Investments Limited;

BSI Generali UK No2 Limited;

Catholic National Mutual Limited;

Generali Investments SpA;

Generali Portfolio Managers (UK) Limited;

Generali France Assurances;

Generali Internacional Ltd;

Generali Verzekeringsgroep NV;

Generali(Schweiz) Holding AG;

Generali USA Life Reassurance Company Inc.;

Genirland Limited;

MND Limited;

Migdal Insurance Company Ltd;

PPF Partners 1 GP Limited;

PPF Partners Ltd;

Tapestry Investment Company PCC Limited;

Tenax Capital Limited

  Director
  Generali Worldwide Insurance Company Limited   Managing Director

John Hallam

Guernsey Operating Committee Member

  Barclay’s Insurance Guernsey PCC Ltd.;   Director

 

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Baring Coller Secondaries Fund II Ltd.;

Baring Coller Secondaries Fund Ltd.;

Bracken Partners Investments Channel Islands Ltd.;

BSkyB Guernsey Ltd;

BH Global Ltd;

Calabash House Ltd;

Ciel Bleu Ltd;

Cognetas European Fund (GP) Ltd;

Cognetas European Fund II (GP) Ltd;

Dexion Absolute Ltd.;

Develica Asia Pacific Ltd;

Develica Asia Pacific Real Estate Fund (GP) Ltd;

Develica Deutschland Ltd;

EFG Offshore Ltd;

Emperor Marine Ltd.;

Genesis Adminstration Limited;

Genesis Emerging Markets Opportunities Fund Limited;

Genesis Emerging Markets Opportunities Fund Limited II;

Genesis Emerging Markets Opportunities Fund Limited III;

Genesis Taihei Investments, LLC;

Harlequin Insurance PCC Ltd.;

HSBC Infrastructure Co Ltd;

Investec Emerging Markets Currency Alpha Fund Ltd;

Investec Expert Investment Funds PCC Ltd;

Investec Global Energy Long short Fund Ltd;

Investec Premier Funds PCC Ltd.;

LP PEP GP Ltd;

Lehman Brothers Private Equity Partners Ltd;

Lehman Brothers PEP Holdings Ltd;

Lehman Brothers PEP Holdings II Ltd;

Lehman Brothers PEP Investments Ltd;

 

 

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Lehman Brothers PEP Investments LP Ltd;

Les Grandes Moulins Ltd;

 
 

Mannequin Insurance PCC Ltd.;

New Star RBCHedge 250 Index Exchange Traded Securities;

PCC Ltd;

Olivant Ltd;

Partners Group Global Opportunities Ltd.;

Polygon Insurance PCC (Guernsey) Ltd;

Prodesse Investment Ltd.;

Septup Ltd.;

Sienna Investment Co. Ltd.’

Sienna Investment Co. Ltd. 2;

Sienna Investment Co. Ltd. 3;

Sienna Investment Co. Ltd. 4

 
 

Standard Life Investments Property Holdings Ltd;

Standard Life Investment Property Income Trust Led;

Stapleford Insurance Co Ltd;

Tapestry Investment Co; PCC Led;

Weightman Vizards Insurance Ltd

  Chairman
 

Cazenove Absolute Equity Ltd. – chair;

EFG Private Bank (Channel Islands) Ltd.;

M&G Recovery Investment Co., Ltd.;

Partners Group Prime Yield Sarl.

  Chairman

Mark Huntley

Guernsey Operating Committee Member

 

AAC Capital NEBO Carry GP Limited;

AAC Capital NEBO Feeder GP Limited;

Aile Limited;

Baring Coller Secondaries Fund II Limited;

Celadon management Limited;

  Director

 

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Channel Islands Stock Exchange LBG;

China Growth Opportunities Limited;

Collingwood holdings Limited;

Crystal Amber Asset Management (Guernsey) Limited;

Crystal Amber Fund Limited;

DCB Investments Limited;

Falcon Carry (GP) Limited;

Fund Capital Limited;

Genesis Administration Limited;

Genesis Taihei Investments, LLC;

Guernsey Sailing Trust;

Healthcare Investment Limited;

Heritage Corporate Services Limited;

Heritage Corporate Trustees Limited;

Heritage Group Limited;

Heritage International Fund Managers Limited;

Heritage Management Holdings Limited;

Heritage Partners GP Limited;

Heritage Partners Limited;

Hologram Holdings Limited;

Japan Leisure Fund Limited;

International Hospitals Network (GP) Limited;

Lehman Brothers Merchant Banking Europe Capital Partners Management Limited;

NEBO I Carry GP Limited;

NEBO I GP Limited;

P25 (GP) Limited;

P25 Investments Limited;

Pieterson Holdings Limited;

Plein Limited;

Stirling Mortimer (Channel Islands) Limited;

Stirling Mortimer (Guernsey) Limited;

 
  Stirling Mortimer Global Property Fund PCC Limited;  

 

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Stirling Mortimer Property Fund PCC Limited;

The Cortina Fund Limited

 

Paul Ballantyne

Principal

  Genesis Investment Management, LLP   Principal
 

Genesis Kenya Investment Management Limited;

Genesis Management Australia Limited

  Director

Andrew Elder

Principal

  Genesis Investment Management, LLP   Principal

Paul Greatbatch

Principal

  Genesis Investment Management, LLP   Principal

Evgeny Kuznetsov

Principal

  Genesis Investment Management, LLP   Principal

Catherine Vlasto

Principal

  Genesis Investment Management, LLP   Principal

Martyn Ryan

Principal/Chief Financial Officer/Chief Compliance Officer

  Genesis Investment Management, LLP   Principal/Chief Financial Officer/CCO
 

GIML Limited;

Genesis Asset Managers International Ltd.;

Goreau Arf Limited

  Director

 

  10. Goldman Sachs Asset Management, L.P.:

The principal business address of Goldman Sachs Asset Management, L.P. (“GSAM”) is 32 Old Slip, New York, New York 10005. GSAM is an investment adviser registered under the Investment Advisers Act of 1940, as amended. Information as to the directors and officers of GSAM is as follows:

 

Name and Position with Adviser

 

Other Company

 

Position with Other Company

Lloyd C. Blankfein

Managing Director

  The Goldman Sachs Group, Inc.   Chairman of the Board and Chief Executive Officer

Gary D. Cohn

Managing Director

  The Goldman Sachs Group, Inc.  

President and

Co-Chief Operating Officer

Jon Winkelried

Managing Director

  The Goldman Sachs Group, Inc.  

President and

Co-Chief Operating Officer

John S. Weinberg

Managing Director

  The Goldman Sachs Group, Inc.   Vice Chairman

David A. Viniar

Managing Director

  The Goldman Sachs Group, Inc.   Executive Vice President and Chief Financial Officer

 

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Gregory K. Palm

Managing Director

  The Goldman Sachs Group, Inc.  

Executive Vice President,

General Counsel and

Secretary of the Corporation

Esta E. Stecher

Managing Director

  The Goldman Sachs Group, Inc.  

Executive Vice President,

General Counsel and

Secretary of the Corporation

Kevin W. Kennedy

Managing Director

  The Goldman Sachs Group, Inc.   Executive Vice President-Human Capital Management

Alan M. Cohen

Managing Director

  The Goldman Sachs Group, Inc.   Executive Vice President and Global Head of Compliance

 

  11. Lazard Asset Management LLC,:

Lazard Asset Management LLC. (“Lazard”), is located at 30 Rockefeller Plaza, 59th Floor, New York, New York 10112 and is a Delaware limited liability company. Lazard is a subsidiary of Lazard Freres & Co. LLC, a New York limited liability company. The directors and officers of Lazard have not held any positions with other companies during the past two fiscal years.

 

  12. Loomis, Sayles & Company, L.P.:

Loomis, Sayles & Company, L.P. (“Loomis”), One Financial Center, Boston, Massachusetts 02111, provides investment advice to the ten series of Loomis Sayles Funds I, thirteen series of Loomis Sayles Funds II and to other affiliated and unaffiliated registered investment companies, organizations and individuals. The sole general partner of Loomis is Loomis, Sayles & Company, Incorporated. Information as to the directors and executive officers during the past two fiscal years is as follows:

 

Name and Position with Adviser

 

Other Company

 

Position with Other Company

Robert J. Blanding

Chairman, President and CEO

 

Loomis Sayles Funds I;

Loomis Sayles Funds II

  CEO, President and Trustee
  Loomis Sayles Distributors, Inc.   Director

Daniel J. Fuss

Vice Chairman and EVP

 

Loomis Sayles Funds I;

Loomis Sayles Funds II

  Executive Vice President

Pierre Servant

Director

  Natixis Global Asset Management   CEO and Member of the Executive Board

 

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John T. Hailer

Director

 

Natixis Asset Management Advisors, L.P.;

Natixis Global Asset Management, L.P.;

Natixis Funds Trust I;

Natixis Funds Trust II;

Natixis Funds Trust III;

Natixis Funds Trust IV;

Natixis Cash Management Trust;

Gateway Trust;

Hansberger International Series

  President and CEO
 

Loomis Sayles Funds I;

Loomis Sayles Funds II

  Executive Vice President and Trustee President

Kevin P. Charleston

EVP and CFO

  Loomis Sayles Trust Co., LLC   Manager and President

John F. Gallagher III

Executive Vice President

  Loomis Sayles Distributors, Inc.   President
  Loomis Sayles Trust Co., LLC   Manager

Lauriann Kloppenburg

Executive Vice President

  Loomis Sayles Trust Co., LLC   Manager

Jean S. Loewenberg

Executive Vice President,

General Counsel and Secretary

  Loomis Sayles Distributors, Inc.   Director
  Loomis Sayles Trust Co., LLC   Manager and Secretary

Mark E. Smith

Executive Vice President

  Loomis Sayles Distributors, Inc.   Vice President
  Loomis Sayles Trust Co., LLC   Manager

 

  13. Lord, Abbett & Co. LLC:

The sole business activity of Lord, Abbett & Co. LLC (“Lord Abbett”), located at 90 Hudson Street, Jersey City, New Jersey 07302, is to serve as an investment adviser. Lord Abbett is registered under the Investment Advisers Act of 1940, as amended. No partner of Lord Abbett has engaged in any other substantial business profession, vocation or employment of a substantial nature within the past two fiscal years.

 

  14. Marsico Capital Management, LLC:

The sole business activity of Marsico Capital Management, LLC (“Marsico”), 1200 17th Street, Suite 1600, Denver, Colorado 80202 is to serve as an investment adviser. Marsico is registered under the Investment Advisers Act of 1940, as amended. Information as to the directors and officers of Marsico during the past two fiscal years is as follows:

 

Name and Position with Adviser

 

Other Company

 

Position with Other Company

Neil L. Gloude

Executive Vice President, Chief Financial Officer and Treasurer

  PricewaterhouseCoopers LLP   Partner

 

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  15. McKinley Capital Management, LLC:

McKinley Capital Management, LLC (“McKinley Capital”) is located at 3301 C Street, Suite 500, Anchorage, Alaska 99503 and was founded in 1990 by Robert B. Gillam, who remains today the firm’s President and Chief Executive Officer. McKinley Capital is an independently owned limited liability company. No directors or executive officers of McKinley Capital have held any positions with other companies during the past two fiscal years.

 

  16. MFS Institutional Advisors, Inc.:

MFS Institutional Advisors, Inc. (“MFSI”), is located at 500 Boylston Street, Boston, Massachusetts 02116 and is the global institutional subsidiary of Massachusetts Financial Services Company (“MFS”). MFS is a direct subsidiary of Sun Life of Canada (U.S.) Financial Service Holdings, Inc., which in turn is an indirect majority-owned subsidiary of Sun Life Financial Inc. (a diversified financial services organization). Information as to the directors and officers is as follows:

 

Name and Position with Adviser

 

Other Company

 

Position with Other Company

Robert J. Manning

Chairman of the Board, Chief Investment Officer and Director

  Massachusetts Financial Services Company   Director, Chief Executive Officer, Chief Investment Officer, President

 

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Massachusetts Investors Trust;

Massachusetts Investors Growth Stock Fund;

MFS Series Trust I;

MFS Series Trust II;

MFS Series Trust III;

MFS Series Trust IV;

MFS Series Trust V;

MFS Series Trust VI;

MFS Series Trust VII;

MFS Series Trust VIII;

MFS Series Trust IX;

MFS Series Trust X;

MFS Series Trust XI;

MFS Series Trust XII;

MFS Series Trust XIII;

MFS Series Trust XIV;

MFS Series Trust XV;

MFS Municipal Series Trust;

MFS Variable Insurance Trust;

MFS Institutional Trust;

MFS Municipal Income Trust;

MFS Multimarket Income Trust;

MFS Government Markets Income Trust;

MFS Intermediate Income Trust;

MFS Charter Income Trust;

MFS Special Value Trust;

MFS California Insured

Municipal Trust;

MFS High Income Municipal Trust;

MFS High Yield Municipal Trust;

MFS InterMarket Income Trust I;

MFS Intermediate High Income Fund;

MFS Investment Grade Municipal Trust;

MFS Variable Insurance Trust II;

Compass Accounts

  Trustee
  MFS International Ltd.   Director, Vice President
  MFS Do Brazil Desenvolvimento O De Maraao LTDA   Advisory Board Member

 

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MFS Institutional Advisors (Australia) Ltd.;

MFS Fund Distributors, Inc.

  Director
  MFS Service Center, Inc.   Director, Chairman of the Board
  Sun Life of Canada (U.S.) Financial Services Holdings, Inc.   Director, Chairman of the Board, President
  Four Pillars Capital, Inc.   Director, President

Martin E. Beaulieu

Director

  Massachusetts Financial Services Company   Executive Vice President, Director of Global Distribution
 

MFS Floating Rate Income Fund (Cayman Islands Registered Fund);

MFS Meridian Funds, SICAV;

MFS Institutional Advisors (Australia) Ltd.

MFS Investment Management Company (LUX) S.A.

  Director
  MFS International Ltd.   Director, Chairman and President
  MFS Fund Distributors, Inc.   Director, Chairman of the Board

Carol W. Geremia

President

 

MFS International Ltd.;

MFS Investment Management K.K. (Japan)

  Director
  MFS International (U.K.) Ltd.   Vice President
 

MFS Institutional Advisors (Australia) Ltd.;

MFS Heritage Trust Company

  Director, President

Maria F. Dwyer

Chief Compliance Officer

  Massachusetts Financial Services Company   Executive Vice President, Chief Regulatory Officer, Chief Compliance Officer
 

MFS Variable Insurance Trust II;

The MFS Funds;

Compass Accounts

  President

 

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MFS Floating Rate Income Fund (Cayman Islands Registered Fund);

MFS Meridian Funds, SICAV

  Director
  MFS Heritage Trust Co.   Director, Chairman of the Board
  MFS Investment Management Company (LUX) S.A.   Director, President

Mark N. Polebaum

Secretary

  Massachusetts Financial Services Company  

Executive Vice President,

General Counsel, Secretary

 

The MFS Funds;

MFS Variable Insurance Trust II

  Secretary, Clerk
 

Compass Accounts;

MFS International (U.K.) Ltd.;

MFS Institutional Advisors (Australia) Ltd.;

MFS Fund Distributors, Inc.;

MFS Service Center, Inc.;

MFS Investment Management K.K. (Japan);

Sun Life of Canada (U.S.) Financial Services Holdings, Inc.;

MFS Investment Management Company (LUX) S.A.;

Four Pillars Capital, Inc.

  Secretary
  MFS International Ltd   Assistant Secretary

Beth Petipas

Treasurer

  Massachusetts Financial Services Company   Chief Financial Officer, Treasurer
 

MFS International Ltd.;

MFS Institutional Advisors (Australia) Ltd.;

MFS Fund Distributors, Inc.;

MFS Service Center, Inc.;

MFS Heritage Trust Co.;

Sun Life of Canada (U.S.) Financial Services Holdings, Inc.;

Four Pillars Capital, Inc.

  Treasurer

 

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MFS International (U.K.) Ltd.;

MFS Investment Management K.K. (Japan)

  Assistant Treasurer

 

  17. Mondrian Investment Partners Ltd.:

The sole business activity of Mondrian Investment Partners Ltd. (“Mondrian”), 10 Gresham, London, EC2V JD United Kingdom is to serve as an investment adviser. Mondrian is registered under the Investment Advisers Act of 1940, as amended. Information as to the directors and officers of Mondrian during the past two fiscal years is as follows:

 

Name and Position with Adviser

 

Other Company**

 

Position with Other Company

Elizabeth A. Desmond

Director/Chief Investment Officer, Developed Equity Markets

 

Atlantic Value General Partner Limited;

Atlantic Value Investment Fund GP Ltd.;

Mondrian Holdings Ltd.;

MIP Holdings Ltd.;

MIP Group Ltd.

  Director

John Emberson

Chief Operating Officer

 

Atlantic Value General Partner Limited;

Atlantic Value Investment Fund GP Ltd.;

Mondrian Holdings Ltd.;

MIP Holdings Ltd.

  Director
  MIP Group Ltd.   Director/Chief Operating Officer/Chief Financial Officer
  Mondrian Investment Partners (U.S.), Inc.   Chief Operating Officer/Chief Financial Officer

Clive A. Gillmore

Chief Executive Officer

 

Atlantic Value General Partner Limited;

Atlantic Value Investment Fund GP Ltd.;

Mondrian Holdings Ltd.;

MIP Holdings Ltd.

  Director
  Mondrian Investment Partners (U.S.), Inc.   Director/Non-Executive Chairman of the Board

John Kirk

Investment Director

 

Atlantic Value General Partner Limited;

Atlantic Value Investment Fund GP Ltd.;

Mondrian Holdings Ltd.;

MIP Holdings Ltd.;

MIP Group Ltd.

  Director

 

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Nigel G. May

Director and Chief Investment Officer-Global Developed Equity Markets

 

Atlantic Value General Partner Limited;

Atlantic Value Investment Fund GP Ltd.;

Mondrian Holdings Ltd.;

MIP Holdings Ltd.;

MIP Group Ltd.

  Director

Christopher A. Moth

Chief Investment Officer- Global Fixed Income & Currencies

 

Atlantic Value General Partner Limited;

Atlantic Value Investment Fund GP Ltd.;

Mondrian Holdings Ltd.;

MIP Holdings Ltd.;

MIP Group Ltd.

  Director

Hamish O. Parker

Investment Director

 

Atlantic Value General Partner Limited;

Mondrian Holdings Ltd.;

MIP Holdings Ltd.;

MIP Group Ltd.

  Director
  Atlantic Value Investment Fund GP Ltd.   Director/Chairman of the Board

David G. Tilles

Executive Chairman

 

Atlantic Value General Partner Limited;

Atlantic Value Investment Fund GP Ltd.;

Mondrian Holdings Ltd.;

MIP Holdings Ltd.

  Director
  MIP Group Ltd.   Director/Chief Executive Officer
  Mondrian International Holdings Limited   Executive Vice President

  ** All of these companies are group related affiliates of Mondrian Investment Partners Limited.

 

  18. Northern Trust Investments, N.A.:

Northern Trust Investments, N.A. (“NTI”) is located at 50 South LaSalle Street, Chicago, Illinois 60603 and is a wholly-owned subsidiary of The Northern Trust Company (“TNTC”), an Illinois state chartered bank. TNTC is a wholly-owned subsidiary of Northern Trust Corporation (“NTC”), a bank holding company. Most officers and directors of NTI hold comparable positions with TNTC (other than as director), as indicated below, and certain other officers of NTI hold comparable positions with Northern Trust Bank, N.A., a wholly-owned subsidiary of NTC. Information as to the directors and officers of NTI are as follows:

 

Name and Position with Adviser

 

Other Company

 

Position with Other Company

Walid T. Abdul Karim

Vice President

  The Northern Trust Company   Vice President

 

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Bradford S. Adams, Jr.

Senior Vice President

  The Northern Trust Company   Senior Vice President

James A. Aitcheson

Senior Vice President

  The Northern Trust Company   Senior Vice President

Darlene Allen

Vice President

  The Northern Trust Company   Vice President

Brayton B. Alley

Vice President

  The Northern Trust Company   Vice President

David M. Alongi

Vice President

  The Northern Trust Company   Vice President

Stephen G. Atkins

Vice President

  The Northern Trust Company   Vice President

Scott R. Ayres

Vice President

  The Northern Trust Company   Vice President

Frederick A. Azar

Vice President

  The Northern Trust Company   Vice President

Richard E. Balon, Jr.

Senior Vice President

  The Northern Trust Company   Senior Vice President

Walid S. Bandar

Vice President

  The Northern Trust Company   Vice President

Ellen G. Baras

Vice President

  The Northern Trust Company   Vice President

Andrea C. Barr

Vice President

  The Northern Trust Company   Vice President

Jeremy M. Baskin

Senior Vice President

  The Northern Trust Company   Senior Vice President

Belinda M. Basso

Vice President

  The Northern Trust Company   Vice President

Carl P. Beckman

Senior Vice President and Treasurer

  The Northern Trust Company   Senior Vice President

Gregory S. Behar

Vice President

  The Northern Trust Company   Vice President

Jacquelyn M. Benson

Vice President

  The Northern Trust Company   Vice President

Robert H. Bergson

Senior Vice President

  The Northern Trust Company   Senior Vice President

 

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Timothy P. Blair

Vice President

  The Northern Trust Company   Vice President

Ali K. Bleecker

Senior Vice President

  The Northern Trust Company   Senior Vice President

Eric Vonn Boeckmann

Vice President

  The Northern Trust Company   Vice President

Julia Bristow Briggs

Vice President

  The Northern Trust Company   Vice President

Steven Brodeur

Vice President

  The Northern Trust Company   Vice President

Kieran Browne

Vice President

  The Northern Trust Company   Vice President

Elizabeth J. Buerckholtz

Vice President

  The Northern Trust Company   Vice President

Martin B. Bukoll

Senior Vice President

  The Northern Trust Company   Senior Vice President

Richard C. Campbell, Jr.

Senior Vice President

  The Northern Trust Company   Senior Vice President

Craig R. Carberry

Secretary

  The Northern Trust Company   Senior Attorney

Christopher W. Carlson

Senior Vice President

  The Northern Trust Company   Senior Vice President

Mark D. Carlson

Senior Vice President

  The Northern Trust Company   Senior Vice President

Robert A. Carlson

Vice President

  The Northern Trust Company   Vice President

Lisa R. Carriere

Vice President

  The Northern Trust Company   Vice President

Keith D. Carroll

Vice President

  The Northern Trust Company   Vice President

Clinton S. Cary

Vice President

  The Northern Trust Company   Vice President

Edward J. Casey

Vice President

  The Northern Trust Company   Vice President

Michael R. Chico

Vice President

  The Northern Trust Company   Vice President

Richard L. Clark

Vice President

  The Northern Trust Company   Vice President

 

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John Sterling Cole II

Senior Vice President

  The Northern Trust Company    Senior Vice President

Kevin Anthony Connellan

Senior Vice President

  The Northern Trust Company    Senior Vice President

David A. Corris

Vice President

  The Northern Trust Company    Vice President

Joseph H. Costello

Vice President

  The Northern Trust Company    Vice President

Stephen J. Cousins

Vice President

  The Northern Trust Company    Vice President

John P. Cristello

Vice President

  The Northern Trust Company    Vice President

Alain Cubeles

Senior Vice President

  The Northern Trust Company    Senior Vice President

Susan C. Czochara

Vice President

  The Northern Trust Company    Vice President

Louis R. D’Arienzo

Vice President

  Northern Trust Bank, N.A.    Vice President

James Danaher

Vice President

  The Northern Trust Company    Vice President

Jordan D. Dekhayser

Vice President

  The Northern Trust Company    Vice President

William Dennehy II

Vice President

  The Northern Trust Company    Vice President

Michael C. Dering

Vice President

  The Northern Trust Company    Vice President

Philip S. DeSantis

Vice President

  The Northern Trust Company    Vice President

Timothy J. Detroy

Vice President

  The Northern Trust Company    Vice President

Caroline E. Devlin

Vice President

  The Northern Trust Company    Vice President

Joseph R. Diehl, Jr.

Senior Vice President

  The Northern Trust Company    Senior Vice President

John C. Doell

Vice President

  The Northern Trust Company    Vice President

 

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Anna Dvinsky Domb

Vice President

  The Northern Trust Company   Vice President

Michael T. Doyle

Vice President

  The Northern Trust Company   Vice President

Peter John Driscoll

Vice President

  The Northern Trust Company   Vice President

Michael J. Drucker

Vice President

  The Northern Trust Company   Vice President

Orie Leslie Dudley, Jr.

Director, Executive Vice President

and Chief Investment Officer

 

The Northern Trust Company and

Northern Trust Corporation

 

Executive Vice President and

Chief Investment Officer

Margret Eva Duvall

Vice President

  The Northern Trust Company   Vice President

Patrick E. Dwyer

Vice President

  The Northern Trust Company   Vice President

Benjamin Easow

Vice President

  The Northern Trust Company   Vice President

Craig Steven Edwards

Vice President

  The Northern Trust Company   Vice President

Michael P. Egizio

Vice President

  The Northern Trust Company   Vice President

Shannon L. Eidson

Vice President

  The Northern Trust Company   Vice President

Deborah S. English

Vice President

  The Northern Trust Company   Vice President

Steven R. Everett

Senior Vice President

  The Northern Trust Company   Senior Vice President

Peter K. Ewing

Senior Vice President

  The Northern Trust Company   Senior Vice President

Rosa E. Fausto

Vice President

  The Northern Trust Company   Vice President

Gregory Fink

Senior Vice President

  The Northern Trust Company   Senior Vice President

David B. Fitchett

Vice President

  The Northern Trust Company   Vice President

Peter J. Flood

Senior Vice President

  The Northern Trust Company   Senior Vice President

 

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Joseph J. Flowers

Vice President

  The Northern Trust Company   Vice President

Carolyn D. Franklin

Vice President

  The Northern Trust Company   Vice President

Lee R. Freitag

Vice President

  The Northern Trust Company   Vice President

Christopher A. Fronk

Senior Vice President

  The Northern Trust Company   Senior Vice President

Sophia S. Gellen

Vice President

  The Northern Trust Company   Vice President

Stephanie L. Geller

Senior Vice President

  The Northern Trust Company   Senior Vice President

Kim Marie Geraghty

Vice President

  The Northern Trust Company   Former Vice President

Jennifer Ann Gerlach

Vice President

  The Northern Trust Company   Vice President

Donna Gingras

Senior Vice President and Controller

  Northern Trust Securities, Inc.   Senior Vice President

Izabella Goldenberg

Vice President

  The Northern Trust Company   Vice President

Mark C. Gossett

Director, Senior Vice President

and Chief Operating Officer

  The Northern Trust Company   Senior Vice President

Katherine D. Graham

Senior Vice President

  The Northern Trust Company   Senior Vice President

Robert S. Gray

Senior Vice President

  The Northern Trust Company   Senior Vice President

Laura Jean Gregg

Vice President

  The Northern Trust Company   Vice President

Michelle D. Griffin

Vice President

  The Northern Trust Company   Vice President

Ann M. Halter

Vice President

  The Northern Trust Company   Vice President

Alice S. Hammer

Vice President

  The Northern Trust Company   Vice President

Scott A. Hammond

Vice President

  The Northern Trust Company   Vice President

 

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Geoffrey M. Hance

Senior Vice President

  The Northern Trust Company   Senior Vice President

William A. Hare

Vice President

  The Northern Trust Company   Vice President

Alec R. Harrell

Vice President

  The Northern Trust Company   Vice President

Nora J. Harris

Vice President

  The Northern Trust Company   Vice President

Philip Dale Hausken

Senior Vice President

  The Northern Trust Company   Senior Vice President

Sheri Barker Hawkins

Senior Vice President

  The Northern Trust Company   Senior Vice President

Jennifer A. Heckler

Vice President

  The Northern Trust Company   Vice President

Robert G. Heppell

Vice President

  The Northern Trust Company   Vice President

Stefanie Jaron Hest

Vice President

  The Northern Trust Company   Vice President

Kent C. Hiemenz

Senior Vice President

  The Northern Trust Company   Senior Vice President

Susan Hill

Senior Vice President

  The Northern Trust Company   Senior Vice President

Jackson L. Hockley

Senior Vice President

  The Northern Trust Company   Senior Vice President

Jean-Pierre Holland

Vice President

  The Northern Trust Company   Vice President

Bruce S. Honig

Vice President

  The Northern Trust Company   Vice President

Ylondia M. Hudson

Vice President

  The Northern Trust Company   Vice President

William E. Hyatt

Vice President

  The Northern Trust Company   Vice President

Daniel T. Hynes

Vice President

  The Northern Trust Company   Vice President

Richard J. Inzunza

Vice President

  The Northern Trust Company   Vice President

John W. Iwanicki

Senior Vice President

  The Northern Trust Company   Senior Vice President

 

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Tamara L. Jackson

Senior Vice President

  The Northern Trust Company   Senior Vice President

Peter M. Jacobs

Senior Vice President

  The Northern Trust Company   Senior Vice President

Chrisopher J. Jaeger

Vice President

  The Northern Trust Company   Vice President

Amy L. Johnson

Vice President

  The Northern Trust Company   Vice President

Barbara M. Johnston

Vice President

  The Northern Trust Company   Vice President

Lucia A. Johnston

Vice President

  The Northern Trust Company   Vice President

Evangeline Mendoza Joves

Vice President

  The Northern Trust Company   Vice President

David P. Kalis

Senior Vice President

  The Northern Trust Company   Senior Vice President

Kathleen Kalp

Senior Vice President

  The Northern Trust Company   Senior Vice President

Ann F. Kanter

Vice President

  The Northern Trust Company   Vice President

Kendall Lee Kay

Senior Vice President

  The Northern Trust Company   Senior Vice President

Archibald E. King III

Senior Vice President

  The Northern Trust Company   Senior Vice President

Deborah L. Koch

Vice President

  The Northern Trust Company   Vice President

John A. Konstantos

Vice President

  The Northern Trust Company   Vice President

Konstantinos S. Kordalis

Vice President

  The Northern Trust Company   Vice President

Donald H. Korytowski

Vice President

  The Northern Trust Company   Vice President

Nikolas Kotsogiannis

Vice President

  The Northern Trust Company   Vice President

Michael R. Kovacs

Vice President

  The Northern Trust Company   Vice President

 

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Michael L. Krauter

Vice President

  The Northern Trust Company   Vice President

Kevin R. Kresnicka

Vice President

  The Northern Trust Company   Vice President

John L. Krieg

Senior Vice President

  The Northern Trust Company   Senior Vice President

David Lamb

Vice President

  The Northern Trust Company   Vice President

Heather M. Letts

Vice President

  The Northern Trust Company   Vice President

Dustin A. Lewellyn

Vice President

  The Northern Trust Company   Vice President

Julie M. Loftus

Vice President

  The Northern Trust Company   Vice President

Lyle Logan

Director and

Executive Vice President

  The Northern Trust Company   Executive Vice President

Jeanne M. Ludwig

Vice President

  The Northern Trust Company   Vice President

Mary Lukic

Vice President

  The Northern Trust Company   Vice President

Lisa Ann Lupi

Vice President

  The Northern Trust Company   Vice President

Cary J. Lyne

Senior Vice President

  The Northern Trust Company   Senior Vice President

William A. Lyons

Vice President

  The Northern Trust Company   Vice President

Stella Mancusi

Vice President

  The Northern Trust Company   Vice President

George P. Maris

Senior Vice President

  The Northern Trust Company   Senior Vice President

Daniel James Marshe

Vice President

  The Northern Trust Company   Vice President

Deborah A. Mastuantuono

Vice President

  The Northern Trust Company   Vice President

Peter L. Matteucci

Vice President

  The Northern Trust Company   Vice President

 

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Mary Jane McCart

Senior Vice President

  The Northern Trust Company   Senior Vice President

James D. McDonald

Senior Vice President

  The Northern Trust Company   Senior Vice President

Lisa M. McDougal

Vice President

  The Northern Trust Company   Vice President

Douglas J. McEldowney

Vice President

  The Northern Trust Company   Vice President

Timothy T. McGregor

Senior Vice President

  The Northern Trust Company   Senior Vice President

David K. McHugh

Senior Vice President

  The Northern Trust Company   Senior Vice President

Melinda S. Mecca

Senior Vice President

  The Northern Trust Company   Senior Vice President

Ashish R. Mehta

Vice President

  The Northern Trust Company   Vice President

Marilyn J. Meservey

Vice President and

Assistant Treasurer

  The Northern Trust Company   Vice President

Peter M. Michaels

Vice President

  The Northern Trust Company   Vice President

John P. Mirante

Vice President

  The Northern Trust Company   Vice President

Tomothy A. Misik

Vice President

  The Northern Trust Company   Vice President

James L. Mitchell

Vice President

  The Northern Trust Company   Vice President

Scott O. Muench

Vice President

  Northern Trust Bank, N.A.   Vice President

Shaun D. Murphy

Senior Vice President

  The Northern Trust Company   Senior Vice President

Matthew L. Myre

Vice President

  The Northern Trust Company   Vice President

Curtis A. Nass

Vice President

  The Northern Trust Company   Vice President

Charles J. Nellans

Vice President

  The Northern Trust Company   Vice President

 

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Daniel J. Nelson

Vice President

  The Northern Trust Company   Vice President

Eric D. Nelson

Vice President

  The Northern Trust Company   Vice President

Greg M. Newman

Vice President

  The Northern Trust Company   Vice President

William M. Nickey III

Vice President

  The Northern Trust Company   Vice President

Thomas E. O’Brien

Vice President

  The Northern Trust Company   Vice President

Eileen M. O’Connor

Vice President

  The Northern Trust Company   Vice President

Kevin J. O’Shaughnessy

Vice President

  The Northern Trust Company   Vice President

Matthew Peron

Senior Vice President

  The Northern Trust Company   Senior Vice President

Daniel J. Personette

Vice President

  The Northern Trust Company   Vice President

Daniel J. Phelan

Vice President

  The Northern Trust Company   Vice President

Jonathan S. Pincus

Vice President

  The Northern Trust Company   Vice President

Donald R. Pollak

Senior Vice President

  The Northern Trust Company   Senior Vice President

Ofelia M. Potter

Vice President

  The Northern Trust Company   Vice President

Stephen N. Potter

Director

  The Northern Trust Company   Director

Nancy Prezioso Babich

Vice President

  The Northern Trust Company   Vice President

Katie D. Pries

Senior Vice President

  The Northern Trust Company   Senior Vice President

Patrick D. Quinn

Vice President

  The Northern Trust Company   Vice President

Andrew F. Rakowski

Vice President

  The Northern Trust Company   Vice President

Chad M. Rakvin

Senior Vice President

  The Northern Trust Company   Senior Vice President

 

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Brent D. Reeder

Senior Vice President

  The Northern Trust Company   Senior Vice President

Jacqueline R. Reller

Vice President

  The Northern Trust Company   Vice President

Donna Lee Renaud

Vice President

  The Northern Trust Company   Vice President

Kristina Anne Richardson

Vice President

  The Northern Trust Company   Vice President

Alan W. Robertson

Director and

Senior Vice President

  The Northern Trust Company   Senior Vice President

Colin A. Robertson

Senior Vice President

  The Northern Trust Company   Senior Vice President

Heather Parkes Rocha

Vice President

  The Northern Trust Company   Vice President

Duane Scott Rocheleau

Senior Vice President

  The Northern Trust Company   Senior Vice President

Theresa M. Rowohlt

Vice President

  The Northern Trust Company   Vice President

Lori Rae Runquist

Senior Vice President

  The Northern Trust Company   Senior Vice President

John D. Ryan

Vice President

  The Northern Trust Company   Vice President

Alexander D. Ryer

Vice President

  The Northern Trust Company   Vice President

Joyce St. Clair

Director

  The Northern Trust Company   Executive Vice President

Steven J. Santiccioli

Vice President

  The Northern Trust Company   Vice President

Steven A. Schoenfeld

Senior Vice President

  The Northern Trust Company   Senior Vice President

Eric K. Schweitzer

Senior Vice President

  The Northern Trust Company   Senior Vice President

Guy J. Sclafani

Vice President

  The Northern Trust Company   Vice President

Richard Raymond Seward

Senior Vice President

  The Northern Trust Company   Senior Vice President

 

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Vernessa Sewell

Vice President

  The Northern Trust Company   Vice President

Christopher D. Shipley

Vice President

  The Northern Trust Company   Vice President

John D. Skjervem

Senior Vice President

  The Northern Trust Company   Senior Vice President

Stephen P. Sliney

Vice President

  The Northern Trust Company   Vice President

Mark C. Sodergren

Vice President

  The Northern Trust Company   Vice President

Theodore T. Southworth

Senior Vice President

  The Northern Trust Company   Senior Vice President

Carol J. Spartz

Vice President

  The Northern Trust Company   Vice President

Allison Walpole Stewart

Vice President

  The Northern Trust Company   Vice President

Colin S. Stewart

Vice President

  Northern Trust Securities, Inc.   Vice President

Kurt S. Stoeber

Vice President

  The Northern Trust Company   Vice President

Peter C. Stournaras

Senior Vice President

  The Northern Trust Company   Senior Vice President

Robert N. Streed

Senior Vice President

  The Northern Trust Company   Senior Vice President

Carol H. Sullivan

Senior Vice President

  The Northern Trust Company   Senior Vice President

Kevin P. Sullivan

Vice President

  The Northern Trust Company   Vice President

Carolyn B. Szaflik

Vice President

  Northern Trust Bank, N.A.   Vice President

Jon E. Szostak II

Vice President

  The Northern Trust Company   Vice President

Frank D. Szymanek

Senior Vice President

  The Northern Trust Company   Senior Vice President

Brad L. Taylor

Vice President

  The Northern Trust Company   Vice President

James C. Taylor

Vice President

  The Northern Trust Company   Vice President

 

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Sunitha C. Thomas

Vice President

  The Northern Trust Company   Vice President

Jane W. Thompson

Senior Vice President

  The Northern Trust Company   Senior Vice President

Jennifer Kamp Trethaway

Executive Vice President

  The Northern Trust Company   Executive Vice President

Betsy Licht Turner

Senior Vice President

  The Northern Trust Company   Senior Vice President

Matthew R. Tushman

Senior Vice President

  The Northern Trust Company   Senior Vice President

David J. Unger

Vice President

  The Northern Trust Company   Vice President

Christopher W. Van Alstyne

Vice President

  The Northern Trust Company   Vice President

Brett A. Varchetto

Vice President

  The Northern Trust Company   Vice President

Michael A. Vardas

Director and Senior Vice President

  The Northern Trust Company   Senior Vice President

Richard Allan Vigsnes II

Senior Vice President

  The Northern Trust Company   Senior Vice President

Jens A. Vinje

Vice President

  The Northern Trust Company   Vice President

Frederick H. Waddell

Director, President and Chief Executive Officer

  The Northern Trust Company   President – Corporate and Institutional Services

Sharon M. Walker

Vice President

  Northern Trust Bank, N.A.   Vice President

Jeff M. Warland

Vice President

  The Northern Trust Company   Vice President

Scott B. Warner

Vice President

  The Northern Trust Company   Vice President

Lloyd A. Wennlund

Director and Executive Vice President

  The Northern Trust Company   Executive Vice President
  Northern Trust Securities, Inc.   President

Anthony E. Wilkins

Senior Vice President

  The Northern Trust Company   Senior Vice President

 

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Thomas C. Williams

Vice President

  The Northern Trust Company   Vice President

Marie C. Winters

Vice President

  The Northern Trust Company   Vice President

Joseph E. Wolfe

Vice President

  The Northern Trust Company   Vice President

Kai Yee Wong

Vice President

  Northern Trust Bank, N.A.   Vice President

Mary Kay Wright

Vice President

  The Northern Trust Company   Vice President

Matthew C. Wruck

Vice President

  The Northern Trust Company   Vice President

 

  19. Payden & Rygel:

Payden & Rygel is located at 333 South Grand Avenue, 32nd Floor, Los Angeles, California 90071 and engages principally in the business of providing investment services to institutional clients. Information as to the directors and officers of Payden & Rygel is as follows:

 

Name and Position with Adviser

 

Other Company

 

Position with Other Company

Robin Creswell

Managing Principal

  Payden & Rygel Global Ltd.   Managing Director

Scott J. Weiner, Ph.D.

Managing Principal

  Metzler/Payden LLC   President

Alverne Bolitho

Principal

  Payden & Rygel Global Ltd.   Director

Mark Morris, CFA

Principal

  Payden & Rygel Global Ltd.   Director

 

  20. Pacific Investment Management Company LLC:

Pacific Investment Management Company LLC (“PIMCO”) is located at 840 Newport Center Drive, Newport Beach, California 92260. PIMCO, an institutional money management firm, was founded in 1971 to provide specialty management of fixed-income portfolios. PIMCO is a majority-owned subsidiary of Allianz Global Investors of America L.P. (“AGI LP”). Allianz SE is the indirect majority owner of AGI LP and is a European-based, multinational insurance and financial services holding company. The directors and officers of PIMCO and their business and other connections are as follows:

 

Name and Position with Adviser

 

Other Company

 

Position with Other Company

Tammie J. Arnold

Managing Director

  Pacific Investment Mgt Co. LLC   Head, Global Retail Distr

Brian P. Baker

Managing Director

  PIMCO Asia Ltd.   Account Manager

 

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William R. Benz II

Managing Director

  PIMCO Europe Limited   Head of Acct Mgmt-Europe

Vineer Bhansali

Managing Director

  Pacific Investment Mgt Co. LLC   Portfolio Manager

Wendy W. Cupps

Managing Director

  Pacific Investment Mgt Co. LLC   Head, Product Management

Craig A. Dawson

Managing Director

  Pacific Investment Mgt Co. LLC   Head, Prod Mgmt-Europe

Chris P. Dialynas

Managing Director

  Pacific Investment Mgt Co. LLC   Portfolio Manager

Mohamed A. El-Erian

Managing Director

  Pacific Investment Mgt Co. LLC   Co-CEO Co-CIO

William H. Gross

Managing Director

  Pacific Investment Mgt Co. LLC   Founder, CIO-Sr Port Mgr

Douglas M. Hodge

Managing Director

  PIMCO Japan Limited   Director, Asia Pacific

Brent L. Holden

Managing Director

  Pacific Investment Mgt Co. LLC   Co-Hd of US Acct Mgmt

Daniel J. Ivascyn

Managing Director

  Pacific Investment Mgt Co. LLC   Portfolio Manager

Lew W. Jacobs IV

Managing Director

  Pacific Investment Mgt Co. LLC   Head of Talent Management

David C. Lown

Managing Director

  Pacific Investment Mgt Co. LLC   Technology & Operations

Scott A. Mather

Managing Director

  Pacific Investment Mgt Co. LLC   Head, PM Global Desk

Paul A. McCulley

Managing Director

  Pacific Investment Mgt Co. LLC   Portfolio Manager

Joseph V. McDevitt

Managing Director

  PIMCO Europe Limited   Head, PIMCO Europe

Curtis A. Mewbourne

Managing Director

  Pacific Investment Mgt Co. LLC   Portfolio Manager

James Frederic Muzzy

Managing Director

  Pacific Investment Mgt Co. LLC   Founder, Head, Bus Dev US

Thomas J. Otterbein

Managing Director

  Pacific Investment Mgt Co. LLC   Co-Hd of US Acct Mgmt

William C. Powers

Managing Director

  Pacific Investment Mgt Co. LLC   Portfolio Manager

 

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Emanuele Ravano

Managing Director

  PIMCO Europe Limited   Head Portfolio Mgt London

Ernest L. Schmider

Managing Director

  Pacific Investment Mgt Co. LLC   Head of Funds Admin

W. Scott Simon

Managing Director

  Pacific Investment Mgt Co. LLC   Portfolio Manager

Makoto Takano

Managing Director

  PIMCO Japan Limited   President of PIMCO Japan

William S. Thompson

Managing Director

  Pacific Investment Mgt Co. LLC   Chief Executive Officer

Richard M. Weil

Managing Director

  Pacific Investment Mgt Co. LLC   Chief Operating Officer

Changhong Zhu

Managing Director

  Pacific Investment Mgt Co. LLC   Portfolio Manager

Mike Amey

Executive VP

  PIMCO Europe Limited   Portfolio Manager

Joshua M. Anderson

Executive VP

  Pacific Investment Mgt Co. LLC   Portfolio Manager

David S. Andrews

Executive VP

  Pacific Investment Mgt Co. LLC   Credit Analyst

Andrew Thomas Balls

Executive VP

  Pacific Investment Mgt Co. LLC   Head, Euro Portfolio Mgmt

Stephen B. Beaumont

Executive VP

  Pacific Investment Mgt Co. LLC   Account Manager

Gregory A. Bishop

Executive VP

  Pacific Investment Mgt Co. LLC   Financial Inter Group

Volker Blau

Executive VP

  PIMCO Europe Ltd. Munich Branch   Head Insurance

Andrew Bosomworth

Executive VP

  PIMCO Europe Ltd. Munich Branch   Co-Head Munich Port Mgmt

Jennifer S. Bridwell

Executive VP

  Pacific Investment Mgt Co. LLC   Mortgage Product Manager

WH Bruce Brittain

Executive VP

  Pacific Investment Mgt Co. LLC   Structured Product Mgr

Sabrina C. Callin

Executive VP

  Pacific Investment Mgt Co. LLC   StocksPLUS Product Mgr

 

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Richard H. Clarida

Executive VP

  Pacific Investment Mgt Co. LLC   Global Strategic Advisor

Cyrille R. Conseil

Executive VP

  Pacific Investment Mgt Co. LLC   Portfolio Manager

John B. Cummings

Executive VP

  Pacific Investment Mgt Co. LLC   Portfolio Manager

Suhail H. Dada

Executive VP

  PIMCO Europe Limited   Head, Middle East Bus Dev

William G. De Leon

Executive VP

  Pacific Investment Mgt Co. LLC   EVP, Portfolio Manager

Edward Devlin

Executive VP

  Pacific Investment Mgt Co. LLC   Portfolio Manager

David N. Fisher III

Executive VP

  Pacific Investment Mgt Co. LLC   Global Product Manager

David C. Flattum

Executive VP

  Pacific Investment Mgt Co. LLC   General Counsel

Hock Meng Foong

Executive VP

  PIMCO Asia Pte Ltd   Acct Mgr / Office Head

Dorothee J. Fuhrmann

Executive VP

  PIMCO Europe Limited   Product Manager

Richard F. Fulford III

Executive VP

  PIMCO Europe Limited   Account Manager

George Steven Gleason

Executive VP

  Pacific Investment Mgt Co. LLC   Account Manager

Michael A. Gomez

Executive VP

  Pacific Investment Mgt Co. LLC   Emerging Market Port Mgr

Stuart Thomson Graham

Executive VP

  PIMCO Canada   Head, PIMCO Canada

Robert J. Greer

Executive VP

  Pacific Investment Mgt Co. LLC   Real Return Product Mgr

Gordon C. Hally

Executive VP

  Pacific Investment Mgt Co. LLC   Account Manager

John P. Hardaway

Executive VP

  Pacific Investment Mgt Co. LLC   Mgr, Mut Funds Operations

Kazunori Harumi

Executive VP

  PIMCO Japan Limited   Client Svcs - Pension

Dwight F. Holloway Jr.

Executive VP

  PIMCO Europe Limited   Account Manager

 

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Mark T. Hudoff

Executive VP

   Pacific Investment Mgt Co. LLC    Portfolio Manager

Mark R. Kiesel

Executive VP

   Pacific Investment Mgt Co. LLC    Portfolio Manager

Stephanie Lorraine King

Executive VP

   Pacific Investment Mgt Co. LLC    Account Manager

Bruno Joseph Lettich

Executive VP

   Pacific Investment Mgt Co. LLC    Portfolio Manager

Matthieu Louanges

Executive VP

   PIMCO Europe Ltd. Munich Branch    Co-Head Munich Port Mgmt

Tomoya Masanao

Executive VP

   PIMCO Japan Limited    Portfolio Manager

Mark V. McCray

Executive VP

   Pacific Investment Mgt Co. LLC    Portfolio Manager

Robert Mead

Executive VP

   PIMCO Australia Pty. Ltd.    Portfolio Manager

John M. Miller

Executive VP

   Pacific Investment Mgt Co. LLC    Account Manager

Scott A. Millimet

Executive VP

   Pacific Investment Mgt Co. LLC    Account Manager

Haruki Minaki

Executive VP

   PIMCO Japan Limited    COO & Head Legal,Japan

Kristen S. Monson

Executive VP

   Pacific Investment Mgt Co. LLC    Account Manager

James F. Moore

Executive VP

   Pacific Investment Mgt Co. LLC    Product Mgr, Pension Spec

Douglas J. Ongaro

Executive VP

   Pacific Investment Mgt Co. LLC    Head, Fin Inter Group

Koyo Ozeki

Executive VP

   PIMCO Japan Limited    Hd, Asian Credit Research

Saumil H. Parikh

Executive VP

   Pacific Investment Mgt Co. LLC    Portfolio Manager

Jung Park

Executive VP

   PIMCO Asia Ltd.    Business Development

Bradley W. Paulson

Executive VP

   Pacific Investment Mgt Co. LLC    Head Global Legal/Compl.

 

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Elizabeth M. Philipp

Executive VP

   Pacific Investment Mgt Co. LLC    Account Manager

Mark J. Porterfield

Executive VP

   Pacific Investment Mgt Co. LLC    Media & Public Relations

Brigitte Posch

Executive VP

   Pacific Investment Mgt Co. LLC    Portfolio Manager, EM

Stephen A. Rodosky

Executive VP

   Pacific Investment Mgt Co. LLC    Portfolio Manager

Scott L. Roney

Executive VP

   Pacific Investment Mgt Co. LLC    Account Manager

Seth R. Ruthen

Executive VP

   Pacific Investment Mgt Co. LLC    Account Manager

Jeffrey M. Sargent

Executive VP

   Pacific Investment Mgt Co. LLC    Head-Ops & IT Munich

Jerome M. Schneider

Executive VP

   Pacific Investment Mgt Co. LLC    Portfolio Manager

Jonathan D. Short

Executive VP

   Pacific Investment Mgt Co. LLC    Head, Inst Bus Dev

Thibault C. Stracke

Executive VP

   Pacific Investment Mgt Co. LLC    Co-Head - Credit Research

Thomas F. Streiff

Executive VP

   Pacific Investment Mgt Co. LLC    Product Mgr, Retirement

Peter G. Strelow

Executive VP

   Pacific Investment Mgt Co. LLC    Mgr, Mutual Funds Admin

Mark A. Taborsky

Executive VP

   Pacific Investment Mgt Co. LLC    Product Manager, AA

Daniel I. Tarman

Executive VP

   Pacific Investment Mgt Co. LLC    Head of Mktg Communctns

Rami Toloui-Tehrani

Executive VP

   Pacific Investment Mgt Co. LLC    Portfolio Manager

Eve Anne Celine Tournier

Executive VP

   Pacific Investment Mgt Co. LLC    Portfolio Manager

Richard E. Tyson

Executive VP

   Pacific Investment Mgt Co. LLC    Senior Operations Manager

Marc van Heel

Executive VP

   PIMCO Europe Limited    Head, Bus Dev NLD/BEL

Jim Ward

Executive VP

   Pacific Investment Mgt Co. LLC    Head of Human Resources

 

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John F. Wilson

Executive VP

   PIMCO Australia Pty. Ltd.    Head, Bus Dev Australia

Susan L. Wilson

Executive VP

   Pacific Investment Mgt Co. LLC    Account Manager

George H. Wood

Executive VP

   Pacific Investment Mgt Co. LLC    Account Manager

Mihir P. Worah

Executive VP

   Pacific Investment Mgt Co. LLC    Portfolio Manager

Robert O. Young

Executive VP

   Pacific Investment Mgt Co. LLC    Account Manager

Cheng-Yuan Yu

Executive VP

   Pacific Investment Mgt Co. LLC    Financial Engineer

Laura A. Ahto

Sr. Vice President

   PIMCO Europe Limited    Head-Ops,Admin,Euro Funds

Daniel Baburek

Sr. Vice President

   PIMCO Japan Limited    Portfolio Manager

Lee Davison Beck

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Account Manager

Andreas Berndt

Sr. Vice President

   PIMCO Europe Ltd. Munich Branch    Portfolio Manager

David James Blair

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Credit Analyst

Felix Blomenkamp

Sr. Vice President

   PIMCO Europe Ltd. Munich Branch    Head ABS

Philippe Bodereau

Sr. Vice President

   PIMCO Europe Limited    Credit Analyst

Kevin M. Broadwater

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Attorney

Erik C. Brown

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Tax Manager

Giang H. Bui

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Structured Credit Analyst

Michael A. Burns

Sr. Vice President

   PIMCO Europe Limited    Account Manager

Robert Scott Carnachan

Sr. Vice President

   PIMCO Asia Ltd.    Asia Ex-Jpn Legal Counsel

 

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John R. Cavalieri

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Product Mgr, Real Return

Eugene Maynard Colter, Jr.

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Head, Messaging & Content

Jonathan B. Cressy

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Account Manager

Kumaran K Damodaran

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Portfolio Manager

James Darling

Sr. Vice President

   PIMCO Canada    Account Manager

David J. Dorff

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Financial Engineer

Peter G. Dorrian

Sr. Vice President

   PIMCO Australia Pty. Ltd.    Head, Remarketing

Jennifer E. Durham

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Chief Compliance Officer

Ben Emons

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Portfolio Manager

Steven Ellis Ferber

Sr. Vice President

   Pacific Investment Mgt Co. LLC    DC Channel, Business Dev.

Robert A. Fields

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Muni Product Manager

Marcellus M. Fisher

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Manager, Trade Support

Joseph A. Fournier

Sr. Vice President

   PIMCO Europe Limited    Account Manager

Julian Foxall

Sr. Vice President

   PIMCO Australia Pty. Ltd.    Portfolio Manager

Ursula T. Frisch

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Account Manager

Alessandro Gandolfi

Sr. Vice President

   PIMCO Europe Limited    Head, Bus Dev Italy

Yuri P. Garbuzov

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Portfolio Manager

Christopher T. Getter

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Product Manager, EM

Gian Luca Giurlani

Sr. Vice President

   PIMCO Europe Limited    European Re-Marketing

 

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Gregory S. Grabar

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Account Manager

John Lawrence Griffiths

Sr. Vice President

   PIMCO Europe Limited    Head of Business Dev - UK

Jared B. Gross

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Product Manager, LDI

Sachin Gupta

Sr. Vice President

   PIMCO Europe Limited    Portfolio Manager

Shailesh Gupta

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Financial Engineer

Tamotsu Hasegawa

Sr. Vice President

   PIMCO Japan Limited    Account Manager

Arthur J. Hastings

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Compliance Manager

Ray C. Hayes

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Account Manager

Ilan Heimann

Sr. Vice President

   PIMCO Europe Limited    Product Manager

Jeffrey Helsing

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Portfolio Manager

Gang Hu

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Portfolio Manager, TIPS

Mark Alan Hughes

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Credit Analyst

Daniel Herbert Hyman

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Portfolio Mgr, ABS-MBS

Juergen Jann

Sr. Vice President

   PIMCO Europe Ltd. Munich Branch    Co-Head Munich Gbl Desk

Ulrich Katz

Sr. Vice President

   PIMCO Europe Ltd. Munich Branch    Portfolio Manager

Andreas Keck

Sr. Vice President

   PIMCO Europe Ltd. Munich Branch    Portfolio Manager

John Stephen King, Jr.

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Attorney

Steven P. Kirkbaumer

Sr. Vice President

   Pacific Investment Mgt Co. LLC    Account Manager

 

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Mitsuaki Komatsu

Sr. Vice President

  PIMCO Japan Limited   Head of Compliance

Thomas Kressin

Sr. Vice President

  PIMCO Europe Ltd. Munich Branch   Co-Head Munich Gbl Desk

Kevin D. Kuhner

Sr. Vice President

  PIMCO Europe Limited   Co-Head, Euro Remarketing

Warren M. Lackey

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Director, Communications

Henrik P. Larsen

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Mgr Fund Administration

Yanay Lehavi

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Senior Developer

Gordon F. Linke

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Rafael A. Lopez

Sr. Vice President

  PIMCO Japan Limited   Operations Manager

Steven Charles Ludwig

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Senior Compliance Officer

Richard Mak

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Portfolio Manager

Scott W. Martin

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Julie Ann Meggers

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Cynthia Louise Meyn

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Senior Operations Manager

Kendall P. Miller, Jr.

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Portfolio Manager

Davida J. Milo

Sr. Vice President

  Pacific Investment Mgt Co. LLC   CRM Platform Manager

Gail Mitchell

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Eric J. Mogelof

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Robert Morena

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Head, Inst Bus Dev NY

Raja Mukherji

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Credit Analyst

 

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Alfred T. Murata

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Portfolio Manager

Ramakrishnan S. Nambimadom

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Financial Engineer

Steven B. Nicholls

Sr. Vice President

  PIMCO Europe Limited   Account Manager

Roger O. Nieves

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Gillian O’Connell

Sr. Vice President

  PIMCO Europe Limited   Manager of Operations

Shigeki Okamura

Sr. Vice President

  PIMCO Japan Limited   Account Manager

Eric Alan Okun

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Senior Manager

Arthur Y.D. Ong

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Attorney

Guillermo Ariel Osses

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Emerging Market Analyst

Lorenzo P. Pagani

Sr. Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

Keith Perez

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Senior Developer

Rudolph Pimentel

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Product Manager

David J. Pittman

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Axel Potthof

Sr. Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

Krishna Prasad

Sr. Vice President

  PIMCO Europe Limited   Portfolio Manager, ABS

Vladyslav Putyatin

Sr. Vice President

  PIMCO Europe Limited   Portfolio Manager

Wendong Qu

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Financial Engineer

Ronald M. Reimer

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Financial Engineer

 

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Paul W. Reisz

Sr. Vice President

  Pacific Investment Mgt Co. LLC   ST/Stable Value Prod Mgr

Yiannis Repoulis

Sr. Vice President

  PIMCO Europe Ltd. Munich Branch   Account Manager

Thomas Edmund Rice

Sr. Vice President

  PIMCO Europe Limited   European Legal Counsel

Melody Rollins

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Mark A. Romano

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Stacy Leigh Schaus

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Stephen O. Schulist

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Financial Engineer

Verena Senne

Sr. Vice President

  PIMCO Europe Ltd. Munich Branch   L&C Officer

Ivan Skobtsov

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Portfolio Manager

Kenton Todd Smith

Sr. Vice President

  Pacific Investment Mgt Co. LLC   ABS/MBS Analyst

Michael Sonner

Sr. Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

Luke Drago Spajic

Sr. Vice President

  PIMCO Europe Limited   Head - Pan Euro Credit PM

Scott M. Spalding

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Jeffrey Springer

Sr. Vice President

  PIMCO Australia Pty. Ltd.   Account Manager

Christian Martin Staub

Sr. Vice President

  PIMCO Switzerland LLC   Head, PIMCO Switzerland

Scott Patrick Steele

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Joel Edward Strauch

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Junji Tabata

Sr. Vice President

  PIMCO Japan Limited   Legal

Kyle J. Theodore

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

 

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Michael Frazier Thompson

Sr. Vice President

  PIMCO Europe Limited   Co-Head, Euro Remarketing

Powell C. Thurston

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Structured Product Mgr

Natalie Trevithick

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Invest Grade Corp Trader

Shiro Tsubota

Sr. Vice President

  PIMCO Japan Limited   Client Servicing

Maria-Theresa F. Vallarta-Jordal

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Attorney

Marco van Akkeren

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Portfolio Manager ABS-MBS

Jeroen T. S. van Bezooijen

Sr. Vice President

  PIMCO Europe Limited   Product Manager, LDI

Henk Jan van Zoelen

Sr. Vice President

  PIMCO Europe Limited   Account Mgr

David Viana

Sr. Vice President

  PIMCO Europe Limited   Int’l Compliance Officer

Hiromi Wada

Sr. Vice President

  PIMCO Japan Limited   Account Manager

Trent W. Walker

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Financial Reporting Mgr

Michael C. Watchorn

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Credit Analyst

Timothy C. White

Sr. Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Bransby M. Whitton

Sr. Vice President

  PIMCO Asia Pte Ltd   Account Manager

Christian Wild

Sr. Vice President

  PIMCO Europe Ltd. Munich Branch   Credit Research Analyst

Mitchell W. Wilner

Sr. Vice President

  Pacific Investment Mgt Co. LLC   High Yield Trader

Frank Witt

Sr. Vice President

  PIMCO Europe Ltd. Munich Branch   Head, Bus Dev DEU/AUT

Shinichi Yamamoto

Sr. Vice President

  PIMCO Japan Limited   Account Manager

 

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Tamerlan Abdikeev

Vice President

  PIMCO Europe Ltd. Munich Branch   Manager, Bus Dev

Mark Saied Afrasiabi

Vice President

  Pacific Investment Mgt Co. LLC   Credit Analyst

Carlos Agredano

Vice President

  Pacific Investment Mgt Co. LLC   Financial Engineer

Georgios Allamanis

Vice President

  PIMCO Europe Limited   Account Manager

Michael Althof

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

Mangala V. Ananthanarayanan

Vice President

  PIMCO Europe Limited   Account Manager

Stacie D. Anctil

Vice President

  Pacific Investment Mgt Co. LLC   Pricing Manager

Kwame A. Anochie

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Susan Asay

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Joerg Avancini

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

Gita Bal

Vice President

  PIMCO Europe Limited   Credit Analyst

Sharad Bansal

Vice President

  Pacific Investment Mgt Co. LLC   Portfolio Manager

Donna E. Barnes

Vice President

  Pacific Investment Mgt Co. LLC   FINRA Prin & Compl Mgr

Sandra M. Benson

Vice President

  Pacific Investment Mgt Co. LLC   Sr. Corporate Paralegal

Kfir Naftali Ben-Zvi

Vice President

  Pacific Investment Mgt Co. LLC   Portfolio Pricing Analyst

Matteo Bertolo

Vice President

  PIMCO Europe Limited   Account Manager

Dave H. Bierman

Vice President

  Pacific Investment Mgt Co. LLC   Software Developer

Ryan Patrick Blute

Vice President

  PIMCO Europe Limited   Product Manager

Timo Boehm

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

 

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Laurence Edwin Bolton

Vice President

  Pacific Investment Mgt Co. LLC   Attorney

C. Robert Boyd

Vice President

  Pacific Investment Mgt Co. LLC   Senior Structure Analyst

Myles E.C. Bradshaw

Vice President

  PIMCO Europe Limited   Portfolio Manager

Matthew H. Brenner

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Jelle Brons

Vice President

  PIMCO Europe Limited   Trading Associate

Christopher P. Brune

Vice President

  Pacific Investment Mgt Co. LLC   Risk Oversight Analyst

Robert Burns

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Jeffrey Alan Byer

Vice President

  Pacific Investment Mgt Co. LLC   Fund Development

Christopher Caltagirone

Vice President

  Pacific Investment Mgt Co. LLC   Product Manager

Wing-Harn Chen

Vice President

  Pacific Investment Mgt Co. LLC   Credit Analyst

Audrey Lee Cheng

Vice President

  Pacific Investment Mgt Co. LLC   Attorney

Tracy Chin

Vice President

  PIMCO Australia Pty. Ltd.   Credit Analyst

William Chipp

Vice President

  Pacific Investment Mgt Co. LLC   Global Service Liaison

Amit Chopra

Vice President

  Pacific Investment Mgt Co. LLC   Portfolio Manager

Raymond Matthew Clark

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

James Robert Clarke

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Anthony H. Cooke

Vice President

  Pacific Investment Mgt Co. LLC   Software Developer

Darryl Paul Cornelius

Vice President

  PIMCO Europe Limited   Product Specialist

 

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Ana Cortes Gonzalez

Vice President

  PIMCO Europe Limited   Portfolio Manager, ABS

William Sylvester Cumby III

Vice President

  Pacific Investment Mgt Co. LLC   Portfolio Manager ABS-MBS

Juergen Dahlhoff

Vice President

  PIMCO Europe Ltd. Munich Branch   Credit Research Analyst

Birgitte Danielsen

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Mary De Bellis

Vice President

  Pacific Investment Mgt Co. LLC   Dom Trade Asst Supervisor

Nicola A. De Lorenzo

Vice President

  PIMCO Europe Limited   Business Mgt Associate

Burcin Dilek

Vice President

  PIMCO Europe Ltd. Munich Branch   Head Trade Support

Anton Dombrovsky

Vice President

  PIMCO Europe Ltd. Munich Branch   Product Manager

Matthew P. Dorsten

Vice President

  Pacific Investment Mgt Co. LLC   Financial Engineer

Travis J. Dugan

Vice President

  Pacific Investment Mgt Co. LLC   Money Market Specialist

Manish Dutta

Vice President

  Pacific Investment Mgt Co. LLC   Senior Software Developer

Vernon Edler

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Ben Matthew Edwards

Vice President

  PIMCO Europe Limited   Account Manager

Linda Eedes

Vice President

  PIMCO Europe Limited   Account Manager

Edward L. Ellis

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Antoinette Eltz

Vice President

  PIMCO Europe Limited   Product Manager

Jason S. England

Vice President

  Pacific Investment Mgt Co. LLC   Portfolio Manager

Bret W. Estep

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Stefanie D. Evans

Vice President

  Pacific Investment Mgt Co. LLC   Sr Mortgage Credit Anlyst

 

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Martin E. Feeny

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Melissa A. Fejdasz

Vice President

  Pacific Investment Mgt Co. LLC   Contracts Admin Manager

Thomas Finkenzeller

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

Andrew C. Forsyth

Vice President

  PIMCO Canada   Head, Bus Dev Canada

Ellen Fowler

Vice President

  Pacific Investment Mgt Co. LLC   Executive Assistant

Frank Froehlich

Vice President

  PIMCO Europe Ltd. Munich Branch   Compliance Officer

Hiroaki Furusho

Vice President

  PIMCO Japan Limited   Account Manager

Leandro Jose Galli

Vice President

  PIMCO Europe Limited   Trading Associate

Andrew David Garnett

Vice President

  PIMCO Europe Limited   Regulatory Compliance Mgr

Sharad Ghosh

Vice President

  PIMCO Asia Pte Ltd   Account Manager

Thomas C. Gibson

Vice President

  Pacific Investment Mgt Co. LLC   AIMR Compl Audit Spec

Robert M. Gingrich

Vice President

  Pacific Investment Mgt Co. LLC   Financial Engineer

Linda J. Gould

Vice President

  Pacific Investment Mgt Co. LLC   Fee Analyst

Myrrha H. Grady

Vice President

  Pacific Investment Mgt Co. LLC   Manager

Zoya Schoenholtz Graves

Vice President

  Pacific Investment Mgt Co. LLC   Global Strategic Mktg&Ad

Stuart Paul Griffiths

Vice President

  PIMCO Europe Limited   Risk & Compliance Officer

Kristin Lynn Gruben

Vice President

  Pacific Investment Mgt Co. LLC   Compliance Officer

Marco Grzesik

Vice President

  PIMCO Europe Ltd. Munich Branch   Head, Bus Dev France

 

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Haidi Gu

Vice President

  Pacific Investment Mgt Co. LLC   Portfolio Manager

Tim Haaf

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

Tanja Haeckl

Vice President

  PIMCO Europe Ltd. Munich Branch   VP, Head Cash Desk

William Robert Hagmeier

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Matthew Richard Hauschild

Vice President

  Pacific Investment Mgt Co. LLC   Senior Developer

Kaveh Christian Heravi

Vice President

  Pacific Investment Mgt Co. LLC   Technology Manager

Hans Joerg Herlan

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

Thomas R. Hockswender

Vice President

  Pacific Investment Mgt Co. LLC   Senior Developer

Jonathan Lane Horne

Vice President

  Pacific Investment Mgt Co. LLC   Portfolio Manager

Hwa-Ming Hsiang

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Michael Huxhorn

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

Terrence Liu Ing

Vice President

  Pacific Investment Mgt Co. LLC   Credit Analyst

Eric D. Johnson

Vice President

  Pacific Investment Mgt Co. LLC   Mutual Fund Admin

Kelly Johnson

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Nicholas J. Johnson

Vice President

  Pacific Investment Mgt Co. LLC   Commodity Analyst

Jeff Jones

Vice President

  Pacific Investment Mgt Co. LLC   Learning/Ldrshp Dvlpment

Steven L. Jones

Vice President

  Pacific Investment Mgt Co. LLC   Product Manager

Daniel V. Jordan

Vice President

  Pacific Investment Mgt Co. LLC   Fin Business Analyst

Tadashi Kakuchi

Vice President

  PIMCO Japan Limited   Portfolio Manager

 

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Natalie Karpov

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Constance Kavafyan

Vice President

  PIMCO Europe Limited   Acct Manager

Philipp Kellerhals

Vice President

  PIMCO Europe Ltd. Munich Branch   Head Quant Strategies

Benjamin Marcus Kelly

Vice President

  PIMCO Australia Pty. Ltd.   Account Manager

Alec Kersman

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Jason M. Kezelman

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

John Jeffrey Kirkowski

Vice President

  Pacific Investment Mgt Co. LLC   Product Manager

Yayoi Kishimoto

Vice President

  PIMCO Japan Limited   Account Manager

Chisato Kohari

Vice President

  PIMCO Japan Limited   Credit Analyst

Kimberley Grace Korinke

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Ryan Patrick Korinke

Vice President

  Pacific Investment Mgt Co. LLC   Product Manager

Stefan Kuehne

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

Mukund Kumar

Vice President

  Pacific Investment Mgt Co. LLC   Sr Developer/Fin Engineer

Richard R. LeBrun Jr.

Vice President

  Pacific Investment Mgt Co. LLC   Attorney

Alvin Lip Sin Lee

Vice President

  PIMCO Asia Pte Ltd   Mgr, Compliance & Acctg

Robert Ru-Bor Lee

Vice President

  Pacific Investment Mgt Co. LLC   Senior Software Developer

Chon-Ian Leong

Vice President

  PIMCO Europe Limited   Alternatives

Li Li

Vice President

  PIMCO Asia Ltd.   Account Manager

 

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Chia Liang Lian

Vice President

  PIMCO Asia Pte Ltd   EM Portfolio Manager

Astrid Linder

Vice President

  PIMCO Europe Ltd. Munich Branch   Product Manager

Michael V. Liwski

Vice President

  Pacific Investment Mgt Co. LLC   Mgr, Client Report & Pres

Christopher F. Lofdahl

Vice President

  Pacific Investment Mgt Co. LLC   Executive Office Team

John J. Loh

Vice President

  Pacific Investment Mgt Co. LLC   Mgr, Risk Operations

Hui Long

Vice President

  Pacific Investment Mgt Co. LLC   Financial Engineer

Joy Lynn Lopez

Vice President

  Pacific Investment Mgt Co. LLC   Tax Manager

Matthieu Hubert Felix Loriferne

Vice President

  PIMCO Europe Limited   Credit Analyst

David Bernard Love

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Erika Hayflick Lowe

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Alain Mandy

Vice President

  PIMCO Europe Limited   Mgr, Cust, Acct & Fin Rep

Chantal M.H. Manseau Guerdat

Vice President

  PIMCO Canada Mgmt   Account Manager

Rene Martel

Vice President

  Pacific Investment Mgt Co. LLC   Product Manager

Nadege Martini

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

Veronika Mayershofer

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Associate

Bettina E.F. Mazzocchi

Vice President

  PIMCO Europe Limited   Re Marketing Account Mgr

Patrick Murphy McCann

Vice President

  Pacific Investment Mgt Co. LLC   Global Operations

Frederic Merz

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

Mark E. Metsch

Vice President

  Pacific Investment Mgt Co. LLC   Financial Engineer

 

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Carlo Micali

Vice President

  PIMCO Europe Ltd. Munich Branch   Account Manager

Kristion T. Mierau

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

Roland Mieth

Vice President

  PIMCO Asia Pte Ltd   Portfolio Manager, EM

Lanny H. Moeljanto

Vice President

  Pacific Investment Mgt Co. LLC   Manager

Carol Molloy

Vice President

  PIMCO Australia Pty. Ltd.   Account Manager

John Edward Morrison

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Jeffrey Charles Muehlethaler

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Matthew J. Mulcahy

Vice President

  PIMCO Australia Pty. Ltd.   Portfolio Manager

Yuko Murano

Vice President

  PIMCO Japan Limited   HR Manager

Robin Nabors

Vice President

  Pacific Investment Mgt Co. LLC   Sr. HR Generalist

Matthew J. Nest

Vice President

  PIMCO Asia Ltd.   Account Manager

Albert K. Ng

Vice President

  Pacific Investment Mgt Co. LLC   Senior Programmer

Tommy D. Nguyen

Vice President

  PIMCO Europe Limited   Account Manager

Sachiko Nojima

Vice President

  PIMCO Japan Limited   Manager, Operations

John F. Norris

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Sachiko Okuma

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Joshua A. Olazabal

Vice President

  Pacific Investment Mgt Co. LLC   Executive Office Team

Jennifer Lynn Oliva

Vice President

  Pacific Investment Mgt Co. LLC   Manager

 

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Simon Timothy Osborne

Vice President

  Pacific Investment Mgt Co. LLC   Trade Compliance

Marie S. Otterbein

Vice President

  Pacific Investment Mgt Co. LLC   Spvsr Producer Group

Iohan Perez

Vice President

  Pacific Investment Mgt Co. LLC   Portfolio Associate

Daniel Phillipson

Vice President

  PIMCO Europe Ltd. Munich Branch   Product Manager

Jesse L. Pricer

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Ying Qiu

Vice President

  Pacific Investment Mgt Co. LLC   Portfolio Manager,ABS-MBS

Pierre-Yves Rahari

Vice President

  PIMCO Europe Limited   Manager, Shareholder Svcs

Lupin Rahman

Vice President

  Pacific Investment Mgt Co. LLC   Portfolio Manager

Joshua D. Ratner

Vice President

  Pacific Investment Mgt Co. LLC   Attorney

Danelle J. Reimer

Vice President

  Pacific Investment Mgt Co. LLC   Trading Floor Manager

Kevin Riendeau

Vice President

  PIMCO Japan Limited   Business Manager

William A. Rogers

Vice President

  Pacific Investment Mgt Co. LLC   Structured Products Serv

Stephen Ronnie

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

Cathy T. Rowe

Vice President

  Pacific Investment Mgt Co. LLC   Administrative Port Mgr

Lynn Rudolph

Vice President

  Pacific Investment Mgt Co. LLC   Sr. HR Generalist

Yoshiyuki Sakane

Vice President

  PIMCO Japan Limited   Account Manager

Deepa A. Salastekar

Vice President

  Pacific Investment Mgt Co. LLC   ABS/MBS Product Manager

Marion Scherzinger

Vice President

  PIMCO Europe Ltd. Munich Branch   Credit Research Analyst

Monika Schnatterer

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Associate

 

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Patricia Ann Schuetz

Vice President

  PIMCO Europe Limited   Account Manager

Adrian O. Schultes

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Gerlinde Schwab

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

Stephen D. Schwab

Vice President

  Pacific Investment Mgt Co. LLC   Head of DC Sales Support

Myckola Schwetz

Vice President

  Pacific Investment Mgt Co. LLC   Financial Engineer

Iwona E. Scibisz

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Ian Scorah

Vice President

  PIMCO Europe Limited   Legal Counsel

Toru Sejima

Vice President

  PIMCO Japan Limited   Acct Mgr, Clnt Svcs-Pens

Rahul M. Seksaria

Vice President

  Pacific Investment Mgt Co. LLC   Portfolio Manager

Therenah Sesay

Vice President

  Pacific Investment Mgt Co. LLC   Mgr Account Associate

Matthew D. Shaw

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Erica H. Sheehy

Vice President

  Pacific Investment Mgt Co. LLC   Compliance

Julie M. Shepherd

Vice President

  Pacific Investment Mgt Co. LLC   Manager, AM Support

Taro Shiroyama

Vice President

  PIMCO Japan Limited   Account Manager

Aylin Somersan-Coqui

Vice President

  PIMCO Europe Ltd. Munich Branch   Account Manager

Alyssa Michele Soto

Vice President

  Pacific Investment Mgt Co. LLC   Manager

Tobias Spandri

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

Jennifer N. Spicijaric

Vice President

  Pacific Investment Mgt Co. LLC   Cash Manager

 

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Candice Elizabeth Stack

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Christina Stauffer

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Richard Stravato

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Alexandru Struc

Vice President

  PIMCO Europe Limited   Portfolio Manager

Hao Sun

Vice President

  PIMCO Asia Ltd.   Account Manager

Yuanyuan Suo

Vice President

  Pacific Investment Mgt Co. LLC   Portfolio Manager

Donald W. Suskind

Vice President

  Pacific Investment Mgt Co. LLC   Product Manager

Ichiro Takeuchi

Vice President

  PIMCO Japan Limited   Account Manager

Hikaru Takizuka

Vice President

  PIMCO Japan Limited   Compliance Manager

Joe Tam

Vice President

  Pacific Investment Mgt Co. LLC   Manager

Christine M. Telish

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Michael A. Terry

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Dominique Tersin

Vice President

  PIMCO Europe Limited   Trade Assistant

Brian Tomlinson

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

Eva-Maria Traber

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Associate

Loc Khanh Tran

Vice President

  Pacific Investment Mgt Co. LLC   Sr Database Administrator

Michael J. Trovato

Vice President

  PIMCO Europe Limited   Account Mgr., Middle East

Koonnang Colin Tse

Vice President

  PIMCO Europe Limited   Account Manager

Yael Gayle Tzemach

Vice President

  Pacific Investment Mgt Co. LLC   EM Product Manager

 

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Peter A. Van De Zilver

Vice President

  Pacific Investment Mgt Co. LLC   Financial Engineer

Christine Ann Velasco

Vice President

  Pacific Investment Mgt Co. LLC   Manager

Erik A. Velicer

Vice President

  PIMCO Europe Limited   Manager

Greg von der Linden

Vice President

  Pacific Investment Mgt Co. LLC   VP Staffing

Mark Walenbergh

Vice President

  PIMCO Europe Limited   Account Manager

Kasten Walther

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

Hansford B. Warner IV

Vice President

  Pacific Investment Mgt Co. LLC   Credit Structure Analyst

Charles Watford

Vice President

  PIMCO Europe Limited   Credit Research Analyst

Michele Deborah Weinberger

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Paul Frederick Wendler IV

Vice President

  Pacific Investment Mgt Co. LLC   Middle Office Manager

Keith Adam Werber

Vice President

  Pacific Investment Mgt Co. LLC   Cash Desk Supervisor

Paul T. Wildermuth

Vice President

  Pacific Investment Mgt Co. LLC   Manager

Kai Wildforster

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

Charles A. Williams III

Vice President

  Pacific Investment Mgt Co. LLC   Office Services & Support

Jason A. Williams

Vice President

  Pacific Investment Mgt Co. LLC   Trader

Kevin Michael Winters

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Andrew T. Wittkop

Vice President

  Pacific Investment Mgt Co. LLC   Portfolio Manager

Greggory S. Wolf

Vice President

  Pacific Investment Mgt Co. LLC   Shareholder Svcs Manager

 

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Tammy Nguyen Wong

Vice President

  Pacific Investment Mgt Co. LLC   CRM Functional Lead

Jianghua Xu

Vice President

  Pacific Investment Mgt Co. LLC   Senior Software Developer

Jing Yang

Vice President

  Pacific Investment Mgt Co. LLC   Structured Credit Assoc

Vadim Igorevich Yasnov

Vice President

  Pacific Investment Mgt Co. LLC   Financial Engr/Developer

Sadettin Yildiz

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

Anna W. Yu

Vice President

  Pacific Investment Mgt Co. LLC   Account Manager

Walter Yu

Vice President

  Pacific Investment Mgt Co. LLC   Senior Software Developer

Mary Alice Zerner

Vice President

  PIMCO Europe Limited   Head of Mktg Comm

Ji Sheng Zhang

Vice President

  PIMCO Europe Ltd. Munich Branch   Portfolio Manager

 

  21. Philadelphia International Advisors, L.P.:

The sole business activity of Philadelphia International Advisors, L.P. (“PIA”), One Liberty Place, 1650 Market Street, Suite 1400, Philadelphia, Pennsylvania 19103 is to serve as an investment adviser. PIA is registered under the Investment Advisers Act of 1940, as amended. Information as to the partners of PIA is as follows:

 

Name and Position with Adviser

 

Other Company

 

Position with Other Company

Andrew Williams,

Chief Investment Officer and Portfolio Manager

  Germantown Friends School   Treasurer

 

 

22.

Rainier Investment Management, Inc.®:

Rainier Investment Management, Inc.® (“Rainier”) is located at 601 Union Street, Suite 2801, Seattle, Washington 98101 and manages assets for defined contribution and benefit plans, investment companies and other institutional investors. Rainier is 100% owned and operated by the firm’s investment professionals. The directors, officers and/or partners of Rainier have not held any positions with other companies during the past two fiscal years.

 

  23. RREEF America L.L.C.:

RREEF America L.L.C. (“RREEF”) is located at 875 North Michigan Avenue, 41st Floor, Chicago, Illinois, 60611, and the firm’s sole business activity is to serve as an investment advisor. RREEF is registered under the Investment Advisers Act of 1940, as amended. The directors and officers of RREEF have not held any positions with other companies during the past two fiscal years.

 

  24. Sands Capital Management, LLC:

Sands Capital Management, LLC (“Sands”) is located at 1101 Wilson Boulevard., Suite 2300, Arlington, Virginia 22209. The directors, officers and/or partners of Sands have not held any positions with other companies during the past two fiscal years.

 

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  25. STW Fixed Income Management Ltd.:

STW Fixed Income Management Ltd. (“STW”) has been a specialty bond manager since 1977. Investment grade fixed-income management is the firm’s only business. STW is a registered investment advisor under the Investment Advisers Act of 1940, as amended. STW has two wholly-owned subsidiaries, STW Fixed Interest Management Ltd. and STW International Ltd. STW Fixed Interest Management Ltd. is authorized and regulated by the Financial Services Authority in the United Kingdom. Information as to the directors and officers of STW is as follows:

 

Name and Position with Adviser

  

Other Company

  

Position with Other Company

William H. Williams

Principal, Chief Executive Officer and Chief Investment Officer

  

STW Fixed Interest Management Ltd.;

STW International Ltd.

   Principal, Chief Executive Officer and Chief Investment Officer

Edward H. Jewett

Principal and Portfolio Manager

  

STW Fixed Interest Management Ltd.;

STW International Ltd.

   Principal and Portfolio Manager

Maryellen D. McEachen

Principal and Chief Operating Officer

  

STW Fixed Interest Management Ltd.;

STW International Ltd.

   Principal and Chief Operating Officer

Anton Plasil

Principal and Head of Systems and Technology

  

STW Fixed Interest Management Ltd.;

STW International Ltd.

   Principal and Head of Systems and Technology

Erin K. Chrislock

Principal, Chief Compliance Officer and General Counsel

  

STW Fixed Interest Management Ltd.;

STW International Ltd.

   Principal, Chief Compliance Officer and General Counsel

 

  26. TCW Investment Management Company:

The TCW Group, Inc., 865 South Figueroa Street, Los Angeles, California 90017 is a wholly-owned subsidiary of Société Générale Asset Management, S.A. (“SGAM”). SGAM is a wholly-owned subsidiary of Société Générale, S.A, a publicly held financial firm headquartered in Paris, France. The TCW Group principally includes the parent company, The TCW Group, Inc.; Trust Company of the West, an independent trust company chartered by the State of California; TCW Asset Management Company; and TCW Investment Management Company. Information as to the directors and officers of the Adviser is as follows:

 

Name and Position with Adviser

  

Other Company

  

Position with Other Company

Robert D. Beyer

President and Chief Executive Officer

   The Kroger Co.; The Allstate Corporation; MLA Sports, LLC    Director

Patrick R. Pagni

Executive Vice President

   Aedian (formerly: Sys-Com Group); SGAM Inc.    Director

Michael E. Cahill

Executive Vice President and General Counsel

   Constitutional Rights Foundation; Southwestern University School of Law    Director

 

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David S. DeVito

Executive Vice President and Chief Administrative Officer

  

Archdiocese of Los Angeles;

Loyola High School;

YMCA of Metropolitan L.A.

   Director

Robert A. Day

Chairman

  

Claremont McKenna College;

WM Keck Foundation;

Willametta K. Day Foundation;

Foley Timber & Land Co.;

Freeport McMoran Copper/Gold;

McMoRan Exploration Co.;

Societe Generale;

Syntroleum Corporation;

Turbine Air Systems

   Director

Marc I. Stern

Vice Chairman

   California Institute of Technology; DataDirect Networks, Inc.; Qualcomm, Incorporated    Director

 

  27. TimesSquare Capital Management, LLC:

The business activity of TimesSquare Capital Management, LLC (“TSCM”), 1177 Avenue of the Americas, 39th Floor, New York, New York 10036-9998 is to serve as an investment adviser and assist in the selection of investment advisers. TSCM is registered under the Investment Advisers Act of 1940, as amended. The directors and officers of TSCM have not held any positions with other companies during the past two fiscal years.

 

  28. UBS Global Asset Management (Americas) Inc.:

UBS Global Asset Management (Americas) Inc. (“UBS Global AM”) is located at One North Wacker Drive, Chicago, Illinois 60606. UBS Global AM is an indirect wholly-owned asset management subsidiary of UBS AG. Information as to UBS Global AM’s directors and principal officers is as follows:

 

Name and Position with Adviser

  

Other Company

  

Position with Other Company

Kai R. Sotorp

President, Head of Americas and Member of Board of Directors

   UBS AG    Member of the UBS Group Managing Board
   UBS Global Asset Management Trust Company    President and Member of Board of Directors
   UBS Global Asset Management (US) Inc.    Vice President and Member of Board of Directors

Mark F. Kemper

Managing Director and Head of Legal – Americas

  

UBS Global Asset Management Trust Company;

UBS Global Asset Management (US) Inc.

   Secretary

 

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John Moore

Managing Director, Treasurer and Member of Board of Directors

   UBS Global Asset Management Trust Company    Treasurer
   UBS Global Asset Management (US) Inc.    Managing Director, Treasurer and Member of Board of Directors

Barry M. Mandinach

Managing Director, Head of Distribution, Vice President and Member of Board of Directors

   UBS Global Asset Management (US) Inc.    President and Member of Board of Directors

Joseph M. McGill

Managing Director and Chief Compliance Officer

   UBS Global Asset Management Trust Company    Chief Compliance Officer
   UBS Global Asset Management (US) Inc.   

Managing Director and

Chief Compliance Officer

 

  29. Western Asset Management Company:

Western Asset Management Company (“Western”) is located at 385 East Colorado Boulevard, Pasadena, California 91101, and the sole business activity of Western is to serve as an investment adviser. Western is registered under the Investment Advisers Act of 1940, as amended. Information as to the directors and officers of Western is as follows:

 

Name and Position with Adviser

  

Other Company

  

Position with Other Company

Peter L. Bain

Director

  

Legg Mason Capital Management, Inc.;

Batterymarch Financial Management, Inc.;

Brandywine Global Investment Management (Asia) Pte Ltd.;

Clearbridge Asset Management, Inc.;

Barrett Associates, Inc.;

Bartlett & Co.;

Legg Mason Fund Adviser, Inc.;

Legg Mason Canada Holdings Ltd.;

Legg Mason Funding Corp.;

Legg Mason Real Estate Investors, Inc.;

Legg Mason Real Estate Securities Advisors, Inc.;

PCM Holdings I, Inc.;

PCM Holdings II, LLC;

Permal Asset Management, Inc.;

Western Asset Management Company Limited;

   Director

 

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Western Asset Management
Company Ltd.;

Western Asset Management
Company Pty Ltd;

Western Asset Management (UK)
Holdings Limited;

Western Asset Management
Company Pte, Ltd

    
  

Brandywine Global Investment Management, LLC;

Clearbridge Advisors, LLC;

Global Currents Investment Management, LLC;

Legg Mason Global Asset Allocation, LLC;

Legg Mason Investment Counsel, LLC;

Legg Mason Partners Fund Advisor, LLC;

Royce & Associates, LLC

   Manager
   Legg Mason, Inc.    Senior Executive Vice President
  

Legg Mason Realty Capital, Inc.;

Legg Mason Realty Group, Inc.;

Legg Mason Realty Partners, Inc.;

Legg Mason Tower, Inc.;

LMRC II, Inc.;

LMRC Properties, Inc.

   President and Director

D. Daniel Fleet

President

  

Western Asset Management Company Limited;

Western Asset Management Company Ltd.;

Western Asset Management Company Pty Ltd;

Western Asset Management (UK) Holdings Limited;

Western Asset Management Company Pte, Ltd

   Director

 

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Jeffrey A. Nattans

Director

   Legg Mason, Inc.    Vice President
   Legg Mason International Holdings, LLC    Manager and Vice President
  

Western Asset Management Company Limited;

Western Asset Management Company Ltd.;

Western Asset Management Company Pty Ltd;

Western Asset Management (UK) Holdings Limited;

Western Asset Management Company Pte, Ltd

   Director

James W. Hirschmann III

Chief Executive Officer and Director

   Western Asset Management Company Limited    Director

 

  30. Western Asset Management Company Limited:

The sole business activity of Western Asset Management Company Limited (“WAMCL”) is to serve as an investment adviser. WAMCL is located at 155 Bishopsgate, London, EC 2M3XG, United Kingdom and is registered under the Investment Advisers Act of 1940, as amended. Information as to the directors and officers of WAMCL is as follows:

 

Name and Position with Adviser

  

Other Company

  

Position with Other Company

Peter L. Bain

Director

  

Legg Mason Capital Management, Inc.;

Batterymarch Financial Management, Inc.;

Brandywine Global Investment Management (Asia) Pte Ltd.;

Clearbridge Asset Management, Inc.;

Barrett Associates, Inc.;

Bartlett & Co.;

Legg Mason Fund Adviser, Inc.;

Legg Mason Canada Holdings Ltd.;

Legg Mason Funding Corp.;

Legg Mason Real Estate Investors, Inc.;

   Director

 

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   Legg Mason Real Estate Securities Advisors, Inc.;   
  

PCM Holdings I, Inc.;

PCM Holdings II, LLC;

Permal Asset Management, Inc.;

Western Asset Management Company Ltd.;

Western Asset Management Company;

Western Asset Management Company Pty Ltd;

Western Asset Management (UK) Holdings Limited;

Western Asset Management Company Pte, Ltd

  
  

Brandywine Global Investment Management, LLC;

Clearbridge Advisors, LLC;

Global Currents Investment Management, LLC;

Legg Mason Global Asset Allocation, LLC;

Legg Mason Investment Counsel, LLC;

Legg Mason Partners Fund Advisor, LLC;

Royce & Associates, LLC

   Manager
   Legg Mason, Inc.    Senior Executive Vice President
  

Legg Mason Realty Capital, Inc.;

Legg Mason Realty Group, Inc.;

Legg Mason Realty Partners, Inc.;

Legg Mason Tower, Inc.;

LMRC II, Inc.;

LMRC Properties, Inc.

   President and Director

D. Daniel Fleet

President and Director

  

Western Asset Management Company Pty Ltd;

Western Asset Management (UK) Holdings Limited;

   Director

 

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   Western Asset Management Company Pte, Ltd   
   Western Asset Management Company    President

Jeffrey A. Nattans

Director

   Legg Mason, Inc.    Vice President
   Legg Mason International Holdings, LLC    Manager and Vice President
  

Western Asset Management Company;

Western Asset Management Company Ltd.;

Western Asset Management Company Pty Ltd;

Western Asset Management (UK) Holdings Limited;

Western Asset Management Company Pte, Ltd

   Director

James W. Hirschmann III

Managing Director and Director

   Western Asset Management Company    Director

 

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Item 27. PRINCIPAL UNDERWRITERS.

 

  (a) PFPC Distributors, Inc. (“the Distributor”) is registered with the Securities and Exchange Commission as a broker-dealer and is a member of the FINRA. As of April 5, 2009, the Distributor acted as principal underwriter for the following investment companies:

AFBA 5 Star Funds, Inc.

Aston Funds

Atlantic Whitehall Funds Trust

BHR Institutional Funds

CRM Mutual Fund Trust

E.I.I. Realty Securities Trust

Fairholme Funds, Inc.

FundVantage Trust

GuideStone Funds

Highland Floating Rate Fund

Highland Floating Rate Advantage Fund

Highland Funds I

IndexIQ Trust

Kalmar Pooled Investment Trust

Matthews International Funds, dba Matthews Asia Funds

The Metropolitan West Funds

New Alternatives Fund

Old Westbury Funds

The RBB Fund, Inc.

Stratton Multi-Cap Fund

Stratton Monthly Dividend REIT Shares, Inc.

The Stratton Funds, Inc.

The Torray Fund

 

  b) The Distributor is a Massachusetts corporation located at 760 Moore Road, King of Prussia, PA 19406. The Distributor is a wholly-owned subsidiary of PNC Global Investment Servicing an indirect wholly-owned subsidiary of The PNC Financial Services Group, Inc., a publicly traded company.

The following is a list of the directors and executive officers of the Distributor:

 

   Board of Directors   
    

Name

  

Position

  

Effective Date

   Nicholas M. Marsini, Jr.    Director    April 26, 2007
   Michael DeNofrio    Director    April 26, 2007
   Steven Turowski    Director    August 30, 2007
   T. Thomas Deck    Director    January 3, 2008
   Dennis T. Westley    Director    March 4, 2008

 

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  Officers   
    

Name

  

Position

  

Effective Date

  T. Thomas Deck    President and Chief Executive Officer    January 3, 2008
  Bruno DiStefano    Vice President    April 11, 2007
  Susan K. Moscaritolo    Vice President, Secretary and Clerk   

VP - April 11, 2007

Secretary and Clerk – May 29, 2007

  Matthew O. Tierney    Treasurer and Financial Operations Principal, Chief Financial Officer    August 19, 2008
  Rita G. Adler    Chief Compliance Officer    April 11, 2007
  Jodi L. Jamison    Chief Legal Officer    April 11, 2007
  Maria C. Schaffer    Controller and Assistant Treasurer    April 11, 2007
  John Munera    Anti-Money Laundering Officer    April 11, 2007
  Ronald Berge    Assistant Vice President    April 11, 2007
  Scott A. Thornton    Assistant Secretary and Assistant Clerk    May 20, 2008
  Dianna A. Stone    Assistant Secretary and Assistant Clerk    November 27, 2007
  Mark Pinocci    Vice President    December 2, 2008

 

Item 28. LOCATION OF ACCOUNTS AND RECORDS.

The books and other documents required by paragraph (b)(4) of Rule 31a-1 under the Investment Company Act of 1940, as amended are maintained in the physical possession of GuideStone Capital Management, the Registrant’s investment adviser, 2401 Cedar Springs Road, Dallas, TX 75201. Other accounts, books and documents required by Rule 31a-1 are maintained in the physical possession of the Registrant’s transfer agent, PNC Global Investment Servicing, 760 Moore Road, King of Prussia, PA 19406; administration agent, PNC Global Investment Servicing, 99 High Street, Boston, MA 02110; and accounting agent, PNC Global Investment Servicing, 301 Bellevue Parkway, Wilmington, DE 19809 and the Registrant’s sub-advisers at their respective locations shown in the Statement of Additional Information.

 

Item 29. MANAGEMENT SERVICES.

Not Applicable.

 

Item 30. UNDERTAKINGS.

Not Applicable.

 

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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 the Amendment to the Registration Statement on Form N-1A, pursuant to Rule 485(b) under the 1933 Act, and has duly caused this Registration Statement on Form N-1A to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Washington, District of Columbia, on the 26th day of June, 2009.

 

GUIDESTONE FUNDS
By:  

/s/ Donald W. Smith

  Donald W. Smith
  Attorney-in-Fact

Pursuant to the requirements of the Securities Act of 1933, the following persons in the capacities and on the dates indicated have signed this Registration Statement below.

 

/s/ Joseph A. Mack*

    Trustee, Chairman of the Board     June 26, 2009
Joseph A. Mack        

/s/ Gerald B. Jones*

    Trustee     June 26, 2009
Gerald B. Jones        

/s/ Barry Dale Hartis*

    Trustee     June 26, 2009
Barry Dale Hartis        

/s/ Peter L. Chamberlain, Ph.D.*

    Trustee     June 26, 2009
Peter L. Chamberlain Ph.D.        

/s/ Michael R. Buster*

    Trustee     June 26, 2009
Michael R. Buster        

/s/ Julie P. Fry*

    Trustee     June 26, 2009
Julie P. Fry        

/s/ Franklin Raymond Morgan*

    Trustee     June 26, 2009
Franklin Raymond Morgan        

/s/ William Craig George*

    Trustee     June 26, 2009
William Craig George        
*By:  

/s/ Donald W. Smith

    Attorney-in-Fact     June 26, 2009
  Donald W. Smith        

 

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GUIDESTONE FUNDS

N-1A

EXHIBIT INDEX

 

EXHIBIT NO.

 

DESCRIPTION

EX-99(i)   Opinion and Consent of K&L Gates LLP.
EX-99(j)(1)   Consent of PricewaterhouseCoopers LLP
 
 
 
 
 

 

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