485BXT 1 c62745_485bxt.htm

 

 

As filed with the Securities and Exchange Commission on September 13, 2010

 

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

FORM N-1A

 

REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933

Registration No. 033-02659

 

 

Pre-Effective Amendment No. 

 

 

 

Post-Effective Amendment No.

                    112

and/or

 

REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940

1940 Act File No. 811-04556


 

 

Amendment No.

                                               113

 

TRANSAMERICA FUNDS


 

(Exact Name of Registrant as Specified in Charter)

 

570 Carillon Parkway, St. Petersburg, Florida 33716


(Address of Principal Executive Offices) (Zip Code)

 

Registrant’s Telephone Number, including Area Code: (727) 299-1800

 

Dennis P. Gallagher, Esq., 570 Carillon Parkway, St. Petersburg, Florida 33716


(Name and Address of Agent for Service)

Approximate date of proposed public offering:

It is proposed that this filing will become effective:

 

 

o

60 days after filing pursuant to paragraph (a) (1) of Rule 485.

 

 

o

75 days after filing pursuant to paragraph (a) (2) of Rule 485.

 

 

o

On (Date) pursuant to paragraph (a) (1) of Rule 485.

 

 

o

On (Date) pursuant to paragraph (a) (2) of Rule 485.

 

 

o

Immediately upon filing pursuant to paragraph (b) of Rule 485.

 

 

x

On September 30, 2010 pursuant to paragraph (b) of Rule 485.

 

 

If appropriate, check the following box:

x

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



Part A (the Prospectus) and Part B (the Statement of Additional Information) filed in Post-Effective Amendment No. 109 to the Registration Statement of Transamerica Funds on behalf of Transamerica AQR Managed Futures Strategy and Transamerica Goldman Sachs Commodity Strategy as filed with the Securities and Exchange Commission pursuant to Rule 485(a) under the Securities Act of 1933 on June 4, 2010 (Accession Number 0000930413-10-003340), are herein incorporated by reference. This filing is being made pursuant to Rule 485(b)(1)(iii) under the Securities Act of 1933 to extend the effectiveness of the Registration Statement until September 30, 2010.

The prospectuses and statement of additional information for the other series of Transamerica Funds, as previously filed with the Securities and Exchange Commission, are incorporated herein by reference.

2


TRANSAMERICA FUNDS

OTHER INFORMATION
PART C

 

 

Item 28

Exhibits

List all exhibits filed as part of the Registration Statement.

 

 

 

 

 

 

(a)

Amended and Restated Declaration of Trust (23)

 

 

 

 

(b)

By-laws (23)

 

 

 

 

(c)

Not Applicable

 

 

 

 

(d)

(1)

Investment Advisory Agreements

 

 

 

(a)

Transamerica Flexible Income (23)

 

 

 

(b)

Transamerica Jennison Growth (15)

 

 

 

(c)

Transamerica AEGON High Yield Bond (15)

 

 

 

 

(i) Amendment dated 11/13/09 (31)

 

 

 

(d)

Transamerica Focus (formerly, Transamerica Legg Mason Partners All Cap) (20)

 

 

 

 

(i) Amendment dated 11/6/09 (31)

 

 

 

(e)

Transamerica Growth Opportunities and Transamerica WMC Diversified Growth (19)

 

 

 

 

(i) Amendment dated 11/13/09 (31)

 

 

 

 

(ii) Amendment dated 4/9/10 (34)

 

 

 

(f)

Transamerica MFS International Equity (24)

 

 

 

 

(i) Amendment dated 8/1/09 (31)

 

 

 

(g)

Transamerica Money Market, Transamerica PIMCO Total Return, Transamerica Asset Allocation – Conservative Portfolio, Transamerica Asset Allocation – Moderate Portfolio, Transamerica Asset Allocation – Growth Portfolio, Transamerica Asset Allocation – Moderate Growth Portfolio, and Transamerica Multi-Manager International Portfolio (20)

 

 

 

(h)

Transamerica Clarion Global Real Estate Securities and Transamerica PIMCO Real Return TIPS (15)

 

 

 

 

(i) Amendment dated 7/1/09 (31)

 

 

 

(i)

Transamerica Balanced (11)

 

 

 

 

(i) Amendment dated 11/13/09 (31)

 

 

 

(j)

Transamerica JPMorgan Mid Cap Value, Transamerica BlackRock Large Cap Value, Transamerica Short-Term Bond, Transamerica UBS Large Cap Value, Transamerica Morgan Stanley Emerging Markets Debt and Transamerica Morgan Stanley Small Company Growth (23)

 

 

 

 

(i) Amendment dated 6/1/10 (34)

 

 

 

(k)

Transamerica AllianceBernstein International Value, Transamerica Neuberger Berman International, Transamerica Oppenheimer Developing Markets, Transamerica JPMorgan International Bond, Transamerica Federated Market Opportunity and Transamerica BlackRock Global Allocation (23)

 

 

 

(l)

Transamerica Morgan Stanley Mid-Cap Growth (20)

 

 

 

 

(i) Amendment dated 6/1/10 (34)

 

 

 

(m)

Transamerica Oppenheimer Small- & Mid-Cap Value (16)

 

 

 

(n)

Transamerica Loomis Sayles Bond, Transamerica BNY Mellon Market Neutral Strategy and Transamerica Multi-Manager Alternative Strategies Portfolio (19)

 

 

 

 

(i) Amendment dated 8/23/10 - Transamerica Goldman Sachs Commodity Strategy (to be filed by amendment)

 

 

 

(o)

Transamerica Schroders International Small Cap (23)

 

 

 

(p)

Transamerica Thornburg International Value and Transamerica WMC Emerging Markets (27)

 

 

 

(q)

Transamerica Managed Payout Portfolio (to be filed by amendment)

 

 

 

(r)

Transamerica JPMorgan Core Bond (29)

 

 

 

(s)

Transamerica Diversified Equity (31)

 

 

 

(t)

Transamerica First Quadrant Global Macro (31)

 

 

 

(u)

Transamerica AQR Managed Futures Strategy (to be filed by amendment)

3



 

 

 

 

 

 

 

(2)

Sub-Advisory Agreements

 

 

 

(a)

Transamerica Flexible Income (20)

 

 

 

(b)

Transamerica AEGON High Yield Bond (15)

 

 

 

 

(i) Amendment dated 11/13/09 (31)

 

 

 

(c)

Transamerica Focus (formerly, Transamerica Legg Mason Partners All Cap) (31)

 

 

 

 

(i) Amendment dated 11/6/09 (31)

 

 

 

(d)

Transamerica Growth Opportunities (19)

 

 

 

 

(i) Amendment dated 4/9/10 (34)

 

 

 

(e)

Transamerica Jennison Growth (20)

 

 

 

(f)

Transamerica Money Market (5)

 

 

 

(g)

Transamerica PIMCO Total Return (5)

 

 

 

 

(i) Amendment dated 7/1/09 (31)

 

 

 

(h)

Transamerica Clarion Global Real Estate Securities (15)

 

 

 

 

(i) Transamerica PIMCO Real Return TIPS (9)

 

 

 

 

(i) Amendment dated 7/1/09 (31)

 

 

 

(j)

Transamerica Small/Mid Cap Value (10)

 

 

 

(k)

Transamerica Balanced (11)

 

 

 

(l)

Transamerica JPMorgan Mid Cap Value (12)

 

 

 

(m)

Transamerica BlackRock Large Cap Value and Transamerica BlackRock Global Allocation (19)

 

 

 

 

(i) Amendment dated 8/23/10 (to be filed by amendment)

 

 

 

(n)

Transamerica Short-Term Bond (12)

 

 

 

(o)

Transamerica UBS Large Cap Value (20)

 

 

 

(p)

Transamerica Morgan Stanley Emerging Markets Debt, Transamerica Morgan Stanley Small Company Growth and Transamerica Morgan Stanley Mid-Cap Growth (20)

 

 

 

 

(i) Amendment dated 6/1/10 (34)

 

 

 

(q)

Transamerica AllianceBernstein International Value (15)

 

 

 

(r)

Transamerica Neuberger Berman International (29)

 

 

 

(s)

Transamerica Oppenheimer Developing Markets (23)

 

 

 

(t)

Transamerica JPMorgan International Bond (14)

 

 

 

(u)

Transamerica Federated Market Opportunity (23) (20)

 

 

 

(v)

Transamerica Asset Allocation – Conservative Portfolio, Transamerica Asset Allocation – Moderate Portfolio, Transamerica Asset Allocation – Growth Portfolio, Transamerica Asset Allocation – Moderate Growth Portfolio, Transamerica Multi-Manager International Portfolio and Transamerica Multi-Manager Alternative Strategies Portfolio - Morningstar Asset Allocation Management Agreement Amendment (19)

 

 

 

 

(i) Transamerica Managed Payout Portoflio - Morningstar Asset Allocation Management Agreement Amendment (to be filed by amendment)

 

 

 

(w)

Transamerica Oppenheimer Small- & Mid-Cap Value (16)

 

 

 

(x)

Transamerica MFS International Equity (16)

 

 

 

 

(i) Amendment dated 8/1/09 (31)

 

 

 

(y)

Transamerica Loomis Sayles Bond (19)

 

 

 

(z)

Transamerica BNY Mellon Market Neutral Strategy (19)

 

 

 

(aa)

Transamerica Third Avenue Value (19)

 

 

 

(bb)

Transamerica Schroders International Small Cap (23)

 

 

 

(cc)

Transamerica Thornburg International Value (27)

 

 

 

 

(a) Amendment dated January 1, 2009 (28)

 

 

 

(dd)

Transamerica WMC Emerging Markets and Transamerica WMC Diversified Growth (27)

 

 

 

 

(i) Amendment dated 4/9/10 (34)

 

 

 

(ee)

Transamerica JPMorgan Core Bond (29)

 

 

 

(ff)

Transamerica Diversified Equity (31)

 

 

 

(gg)

Transamerica First Quadrant Global Macro (31)

 

 

 

(hh)

Transamerica AQR Managed Futures Strategy (to be filed by amendment)

 

 

 

(ii)

Transamerica Goldman Sachs Commodity Strategy (to be filed by amendment)

 

 

(e)

(1)

Underwriting Agreement (23)

 

 

 

(a)

Amended Schedule I dated March 1, 2010 (33)

 

 

 

(d)

Amended Schedule I (to be filed by amendment)

 

 

(2)

Dealer’s Sales Agreement (32)

4



 

 

 

 

 

 

 

(3)

Service Agreement (4)

 

 

(4)

Wholesaler’s Agreement (3)

 

 

 

 

 

 

(f)

Amended and Restated Board Members Deferred Compensation Plan dated January 1, 2010 (33)

 

 

 

 

 

 

(g)

Custody Agreement (7)

 

 

(1)

Amended Fee Schedule dated February 1, 2008 (28)

 

 

 

 

 

 

(h)

(1)

Transfer Agency Agreement (1)

 

 

 

(a) Amended Fee Schedule dated November 30, 2009 (to be filed amendment)

 

 

 

(b) Amended Fee Schedule dated July 1, 2010 (to be filed amendment)

 

 

(2)

Administrative Services Agreement dated July 15, 2010 (to be filed by amendment)

 

 

(3)

Expense Limitation Agreement (9)

 

 

 

(a)

 

 

 

(c) Amended Schedules A and B dated March 1, 2010 (33)

 

 

 

(d) Amended Schedules A and B (to be filed by amendment)

 

 

 

 

 

 

(i)

Opinion and Consent of Counsel (33)

 

 

 

 

(j)

n/a

 

 

 

 

(k)

n/a

 

 

 

 

 

 

(l)

Investment Letter from Sole Shareholder (2)

 

 

 

 

(m)

Amended and Restated Plan of Distribution of the Registrant under Rule 12b-1 (23)

 

 

(a)

Amended Schedule A dated March 1, 2010 (33)

 

 

(b)

Amended Schedule A (to be filed by amendment)

 

 

 

 

 

(n)

Amended and Restated Plan for Multiple Classes of Shares dated as of November 30, 2009 (to be filed by amendment)

 

 

(a)

Amended Schedule A (to be filed by amendment)

 

 

 

 

 

 

(o)

Reserved

 

 

 

 

(p)

Code of Ethics

 

 

(1)

Joint Transamerica Funds and Transamerica Asset Management, Inc. (23)


 

 

 

 

 

 

SUB-ADVISERS

 

 

(2)

AEGON USA Investment Management, LLC (26)

 

 

(3)

Federated Equity Management Company of Pennsylvania (33)

 

 

(4)

Transamerica Investment Management, LLC (15)

 

 

(5)

Jennison Associates LLC (15)

 

 

(6)

Pacific Investment Management Company LLC (33)

 

 

(7)

ING Clarion Real Estate Securities (15)

 

 

(8)

J.P. Morgan Investment Management Inc. (15)

 

 

(9)

UBS Global Asset Management (Americas) Inc. (33)

 

 

(10)

Morgan Stanley Investment Management Inc. (15)

 

 

(11)

AllianceBernstein L.P. (33)

 

 

(12)

Neuberger Berman Management LLC (15)

 

 

(13)

Oppenheimer Funds, Inc. LP (15)

 

 

(14)

Morningstar Associates, LLC (15)

 

 

(15)

Loomis, Sayles & Company, L.P. (17)

 

 

(16)

BlackRock Investment Management, LLC (17)

 

 

(17)

Franklin Portfolio Associates, LLC (19)

 

 

(18)

Third Avenue Management LLC (17)

 

 

(19)

MFS Investment Management (18)

 

 

(20)

Schroder Investment Management North America Inc. (23)

 

 

(21)

Thornburg Investment Management, Inc. (33)

 

 

(22)

Wellington Management Company, LLP (33)

5



 

 

 

 

 

 

(23)

First Quadrant, L.P. (31)

 

 

(24)

AQR Capital Management, LLC (to be filed by amendment)

 

 

(25)

Goldman Sachs Asset Management, L.P. (to be filed by amendment))

 

 

 

 

 

(q)(1)

Powers of Attorney (22)

 

(q)(2)

Power of Attorney for Sandra N. Bane (25)

 

(q)(3)

Power of Attorney for David W. Jennings (30)

All exhibits filed previously are herein incorporated by reference

 

 

(1)

Filed previously with Post-Effective Amendment No. 20 to Registration Statement filed on November 16, 1995 (File No. 033-02659).

(2)

Filed previously with Post-Effective Amendment No. 24 to Registration Statement filed on November 15, 1996 (File No. 033-02659).

(3)

Filed previously with Post-Effective Amendment No. 25 to Registration Statement filed on January 31, 1997 (File No. 033-02659).

(4)

Filed previously with Post-Effective Amendment No. 31 to Registration Statement filed on September 2, 1999 (File No. 033-02659).

(5)

Filed previously with Post-Effective Amendment No. 43 to Registration Statement on December 17, 2001 (File No. 033-02659).

(6)

Filed previously with Post-Effective Amendment No. 47 to Registration Statement on March 29, 2002 (File No. 033-02659).

(7)

Filed previously with Post-Effective Amendment No. 49 to Registration Statement on September 12, 2002 (File No. 033-02659).

(8)

Filed previously with Post-Effective Amendment No. 50 to Registration Statement on November 12, 2002 (File No. 033-02659).

(9)

Filed previously with Post-Effective Amendment No. 51 to Registration Statement on December 13, 2002 (File No. 033-02659).

(10)

Filed previously with Post-Effective Amendment No. 56 to Registration Statement on March 1, 2004 (File No. 033-02659).

(11)

Filed previously with Post-Effective Amendment No. 61 to Registration Statement on October 1, 2004 (File No. 033-02659).

(12)

Filed previously with Post-Effective Amendment No. 63 to Registration Statement on November 2, 2004 (File No. 033-02659).

(13)

Filed previously with Post-Effective Amendment No. 67 to Registration Statement on February 25, 2005 (File No. 033-02659).

(14)

Filed previously with Post-Effective Amendment No. 72 to Registration Statement on November 8, 2005 (File No. 033-02659).

(15)

Filed previously with Post-Effective Amendment No. 77 to Registration Statement on March 1, 2006 (File No. 033-02659).

(16)

Filed previously with Post-Effective Amendment No. 79 to Registration Statement on August 1, 2006 (File No. 033-02659).

(17)

Filed previously with Post-Effective Amendment No. 81 to Registration Statement on October 13, 2006 (File No. 033-02659).

(18)

Filed previously with Transamerica Series Trust Post-Effective Amendment No. 66 to Registration Statement on April 28, 2006, and incorporated herein by reference (File No. 811-04419).

(19)

Filed previously with Post-Effective Amendment No. 83 to Registration Statement on December 21, 2006 (File No. 033-02659).

(20)

Filed previously with Post-Effective Amendment No. 85 to Registration Statement on March 1, 2007 (File No. 033-02659).

(21)

Filed previously with Post-Effective Amendment No. 87 to Registration Statement on October 26, 2007 (File No. 033 02659).

(22)

Filed previously with Post-Effective Amendment No. 88 to Registration Statement on December 11, 2007 (File No. 033-02659).

(23)

Filed previously with Post-Effective Amendment No. 89 to Registration Statement on February 28, 2008 (File No. 033-02659).

(24)

Filed previously with Post-Effective Amendment No. 41 to Registration Statement on December 15, 2000 (File No. 033-02659).

(25)

Filed previously with Post-Effective Amendment No. 91 to Registration Statement on June 10, 2008 (File No. 033-02659).

6



 

 

(26)

Filed previously with Post-Effective Amendment No. 92 to Registration Statement on June 12, 2008 (File No. 033-02659).

(27)

Filed previously with Post-Effective Amendment No. 93 to Registration Statement on September 15, 2008 (File No. 033-02659).

(28)

Filed previously with Post-Effective Amendment No. 95 to Registration Statement on February 27, 2009 (File No. 033-02659).

(29)

Filed previously with Post-Effective Amendment No. 97 to Registration Statement on July 1, 2009 (File No. 033-02659).

(30)

Filed previously with Post-Effective Amendment No. 98 to Registration Statement on August 7, 2009 (File No. 033-02659).

(31)

Filed previously with Post-Effective Amendment No. 105 to Registration Statement on November 13, 2009 (File No. 033-02659).

(32)

Filed previously with Post-Effective Amendment No. 106 to Registration Statement on November 30, 2009 (File No. 033-02659).

(33)

Filed previously with Post-Effective Amendment No. 108 to Registration Statement on February 26, 2010 (File No. 033-02659).

(34)

Filed previously with Post-Effective Amendment No. 109 to Registration Statement on June 4, 2010 (File No. 033-02659).


 

 

Item 29

Persons Controlled by or under Common Control with the Fund

          To the knowledge of the Registrant, neither the Registrant nor any Series thereof is controlled by or under common control with any other person. The Registrant has no subsidiaries.

 

 

Item 30

Indemnification

          Provisions relating to indemnification of the Registrant’s Trustees and employees are included in Registrant’s Restatement of Declaration of Trust and Bylaws which are incorporated herein by reference.

          Insofar as indemnification for liability arising under the Securities Act of 1933 may be permitted to Trustees, officers and controlling persons, or otherwise, Registrant has been advised that in the opinion of the Commission such indemnification may be against public policy as expressed in the Act and may be, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by Registrant of expenses incurred or paid by a Trustee, officer or controlling person of Registrant in the successful defense of any action, suit or proceeding) is asserted by such Trustee, officer or controlling person in connection with the securities being registered, Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Act and will be governed by the final adjudication of such issue.

 

 

Item 31

Business and Other Connections of Investment Advisers


 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of each Director, Officer or
Partner
of the Adviser

 

Any other Business,
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
each director, officer or
partner of the adviser
thereof) within the Last Two
Fiscal Years


 


 


 


AEGON USA Investment
Management, LLC
(“AUIM”)
4333 Edgewood Road NE
Cedar Rapids, IA 52499

 

Sub-Adviser to Transamerica AEGON High Yield Bond

 

Eric B. Goodman, President & Chief Investment Officer

 

N/A

 

 

 

 

 

 

 



Bradley J. Beman, Executive Vice President – Head of Fixed Income
David L. Blankenship, Executive Vice President and Head of Fixed Income and Distribution

 



N/A

N/A

 

 

 



Kirk W. Buese, Executive Vice President – Private and Structured Finance

 

 

7



 

 

 

 

 

 

 

 

 

 

 

David M. Carney, Executive Vice President and Chief Operating Officer

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Joel L. Coleman, Executive Vice President – Portfolio Management

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Frank E. Collecchia, Executive Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Daniel P. Fox, Executive Vice President – Risk Management

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Garry E. Creed, Senior Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Mark E. Dunn, Senior Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Robert Fitzsimmons, Senior Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Michael C. Fogliano, Senior Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Kevin A. Giles, Senior Vice President – New Initiatives

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Seth R. Gilkes, Senior Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

David R. Halfpap, Senior Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Karen E. Hufnagel, Senior Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

William L. Hurwitz, Senior Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Neil Madsen, Senior Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Calvin W. Norris, Senior Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Eric C. Perry, Senior Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Stephanie M. Phelps, Senior Vice President, Treasurer and Chief Financial Officer

 

N/A

 

 

 

 

 

 

 

 

 

 

 

James K. Schaeffer, Jr., Senior Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Sarvjeev S. Sidhu, Senior Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Michael B. Simpson, Senior Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Jon L. Skaggs, Senior Vice President

 

Family Business

 

 

 

 

 

 

 

 

 

 

 

Robert A. Smedley, Senior Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Douglas A. Weih, Senior Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Jeffrey A. Whitehead, Senior Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

John F. Bailey, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

James K. Baskin, Vice President

 

Family Business

 

 

 

 

 

 

 

 

 

 

 

Gregg A. Botkin, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

James K. Cameron, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Martin Coppens, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Douglas A. Dean, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Bradley D. Doyle, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Cindy Eason-Manning, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Mark D. Evans, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Charles V. Ford, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Scott P. Hassenstab, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Eric Henderson, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

William J. Henricksen, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Frederick B. Howard, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

John D. Kettering, Vice President

 

N/A

8



 

 

 

 

 

 

 

 

 

 

 

Stephen M. Lempa, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Angela S. Matson, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Clayton R. McBride, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Jeremy S. Mead, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Christopher D. Pahlke, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Michael J. Parrish, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Greg A. Podhajsky, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Josua D. Prieskorn, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Stacey S. Rutledge, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Michael S. Smith, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

J. Staley Stewart, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Debra R. Thompson, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Michael A. Urban, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

M. Christina Galligan, Assistant Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Paul J. Houk, General Counsel and Secretary

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Jessica L. Cole, Chief Compliance Officer

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Clint L. Woods, Assistant Secretary

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Renee D. Montz, Assistant Secretary

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Daniel L. Seward, Assistant Treasurer

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Stephanie L. Steele, Assistant Treasurer

 

N/A

*     *     *

 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


AllianceBernstein, LP
(“AllianceBernstein”)
1345 Avenue of the
Americas
New York, NY 10105

 

Sub-Adviser to Transamerica AllianceBernstein International Value

 

Peter S. Kraus, Chairman of the Board and Chief Executive Officer

 

N/A

 

 

 

 

 

 

 

Directors: Christopher M. Condron, Lorie A. Slutsky, Dominique Carrel-Billiard, Henri De Castries, Denis Duverne, Richard S. Dziadzio, Deborah S. Hechinger, Weston M. Hicks, Nick Lane, A.W. (Pete) Smith, Jr., Peter J. Tobin

 

N/A

 

 

 

 

 

 

 

*     *     *

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


AQR Capital Management, LLC (“AQR”)
Two Greenwich Plaza, 3rd Floor
Greenwich, CT 06830

 

Sub-Adviser to Transamerica AQR Managed Futures Strategy

 

Cliff S. Asness, President, Founding and Managing Principal; David G. Kabiller, Founding Principal; John Mihn Soo Liew, Founding Principal; Robert J. Krail, Founding Principal;

 

N/A

9



 

 

 

 

 

 

 

 

 

 

 

Bradley D. Asness, Chief Legal Officer; Brian K. Hurst, Principal; Jacques A. Friedman, Principal; Oktay Kurbanov, Principal; Abdon Bolivar, Chief Compliance Officer; Michael A. Mendelson, Vice President and Principal; Ronen Israel, Principal; Lars N. Nielsen, Principal; Masini G. Andrade, Principal; Joseph S. Mellas, Principal

 

 

 

 

 

 

 

 

 

*     *     *

 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of each Director, Officer or
Partner of the Adviser

 

Any other Business,
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
each director, officer or
partner of the adviser
thereof) within the Last Two
Fiscal Years


 


 


 


BlackRock Investment Management, LLC (“BlackRock”)
800 Scudders Mill Road, Plainsboro, NJ 08536

 

Sub-adviser to Transamerica BlackRock Global Allocation and Transamerica BlackRock Large Cap Value

 

Ann Marie Petach, Chief Financial Officer and Managing Director

 

BAA Holdings,LLC, Wlmington, DE, BlackRock, Inc., New York, NY, BlackRock Advisors, LLC, Wilmington, DE, BlackRock Advisors Holdings, Inc., New York, NY, BlackRock Capital Holdings, Inc., Wilmington, DE, BlackRock Capital Management, Inc., Wilmington, DE, BlackRock Financial Management, Inc., New York, NY, BlackRock Funding, Inc., Wilmington, DE, BlackRock Funding International, Ltd., Cyman Islands, BlackRock Holdco 2, Inc., Wilmington, DE, BlackRock Holdco 4, LLC, Wilmington, DE, BlackRock Holdco 6, LLC, Wilmington, DE, BlackRock Institutional Management Corporation, Wilmington, DE, BlackRock Institutional Trust Company, National Association, San Francisco, CA, BlackRock International Holdings, Inc., New York, NY, Blackrock Lux Finco S.a.r.l., Luxembourg, Luxembourg, BlackRock Operations (Luxembourg) S.a.r.l., Luxembourg, Luxembourg, BlackRock Portfolio Holdings, Inc., Wilmington, DE, BlackRock Portfolio Investment, LLC, Wilmington, DE, BlackRock

10



 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of each Director, Officer or
Partner of the Adviser

 

Any other Business,
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
each director, officer or
partner of the adviser
thereof) within the Last Two
Fiscal Years


 


 


 


 

 

 

 

 

 

UK 1 LP, London, England, State Street Research & Management Company, Boston, MA, SSRM Holdings, Inc., Boston, MA

 

 

 

 

 

 

 

 

 

 

 

Robert P. Connolly, General Counsel, Managing Director and Secretary

 

BAA Holdings, LLC, Wilmington, DE, BlackRock, Inc., New York, NY, BlackRock Advisors, LLC, Wilmington, DE, BlackRock Advisors Holdings, Inc., New York, NY, BlackRock Capital Holdings, Inc., Wilmington, DE, BlackRock Capital Management, Inc., Wilmington, DE, BlackRock Execution Services, San Francisco, CA, BlackRock Financial Management, Inc., New York, NY, BlackRock Fund Distribution Company, San Francisco, CA, BlackRock Funding, Inc., Wilmington, DE, BlackRock Funding International, Ltd., Cayman Islands, BlackRock Holdco 2, Inc., Wilmington, DE, BlackRock Institutional Management Corporation, Wilmington, DE, BlackRock International Holdings, Inc., New York, NY, BlackRock Investments, LLC, Wilmington, DE, BlackRock Lux Finco S.a.r.l, Luxembourg, Luxembourg, BlackRock Operations (Luxembourg) S.a.r.l., Luxembourg, Luxembourg, BlackRock Portfolio Holdings, Inc., Wilmington, DE, BlackRock Portfolio Investments, LLC, Wilmington, DE, BlackRock UK 1 LP, London, England, State Street Research & Management Company, Boston, MA, SSRM Holdings, Inc., Boston, MA

 

 

 

 

 

 

 

 

 

 

 

Laurence D. Fink, Chief Executive Officer

 

Director, BAA Holdings, LLC, Wilmington, DE, Director, BlackRock, Inc., New York,

11



 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of each Director, Officer or
Partner of the Adviser

 

Any other Business,
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
each director, officer or
partner of the adviser
thereof) within the Last Two
Fiscal Years


 


 


 


 

 

 

 

 

 

NY, BlackRock Advisors, LLC, Wilmington, DE, BlackRock Advisors Holdings, Inc., New York, NY, BlackRock Advisors Singapore Pte, Ltd., Singapore, Director, BlackRock Asset Management International, Inc., London, England, BlackRock Capital Holdings, Inc., Wilmington, DE, BlackRock Capital Management, Inc., Wilmington, DE, Director, BlackRock Capital Markets, LLC, Wilmington, DE, Director, BlackRock Corporation US, Inc., San Francisco, CA, Director, BlackRock Delaware Holdings, Inc., San Francisco, CA, Director, BlackRock Execution Services, San Francisco, CA, Director, BlackRock Financial Management, Inc., New York, NY, Director, BlackRock Fund Advisors San Francisco, CA, Director, BlackRock Fund Distribution Company, San Francisco, CA, BlackRock Funding, Inc., Wilmington, DE, Director, BlackRock Funding International, Ltd., Cayman Islands, Director, BlackRock Growth Partners, Inc., San Francisco, CA, Director, BlackRock Holdo 2, Inc., Wilmington, DE, Director, BlackRock HPB Management, LLC, New York, NY, BlackRock Institutional Management Corporation, Wilmington, DE, Director, BlackRock International Holdings, Inc., New York, NY, Director, BlackRock Investments, LLC, Wilmington, DE, BlackRock Portfolio Holdings, Inc., Wilmington, DE ,BlackRock Portfolio Investments, LLC, Wilmington, DE, Director,

12



 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of each Director, Officer or
Partner of the Adviser

 

Any other Business,
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
each director, officer or
partner of the adviser
thereof) within the Last Two
Fiscal Years


 


 


 


 

 

 

 

 

 

IShares Delaware Trust Sponsor, LLC, Wilmington, DE, Director, State Street Research & Management Company, Boston, MA, Director, State Street Research Investment Services, Inc., Boston, MA, Director, SSRM Holdings, Inc., Boston, MA

 

 

 

 

 

 

 

 

 

 

 

Robert S. Kapito, President and Director

 

Director, BAA Holdings, LLC, Wilmington, DE, Director, BlackRock, Inc., New York, NY, Director, BlackRock Advisors, LLC, Wilmington, DE, Director, BlackRock Advisors Holdings, Inc., New York, NY, President, BlackRock Advisors Singapore Pte. Ltd., Singapore,Director, BlackRock Asset Management International, Inc., London, England, Director, BlackRock Capital Holdings, Inc., Wilmington, DE, Director, BlackRock Capital Management, Inc., Wilmington, DE, Director, BlackRock Capital Markets, LLC, Wilmington, DE, Director, BlackRock Corporation US, Inc., San Francisco, CA, Director, BlackRock Delaware Holdings, Inc., San Francisco, CA, Director, BlackRock Financial Management, Inc., New York, NY, Director, BlackRock Fund Advisors, San Francisco, CA, Director, BlackRock Fund Distribution Company, San Francisco, CA, Director, BlackRock Funding, Inc., Wilmington, DE, Director, BlackRock Funding International, Ltd., Cayman Islands, Director, BlackRock Growth Partners, Inc., San Francisco, CA, Director, BlackRock Holdco 2, Inc., Wilmington, DE, Director,

13



 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of each Director, Officer or
Partner of the Adviser

 

Any other Business,
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
each director, officer or
partner of the adviser
thereof) within the Last Two
Fiscal Years


 


 


 


 

 

 

 

 

 

BlackRock (Institutional) Canada Ltd., Toronto, Ontario, Director, BlackRock Institutional Management Corporation, Wilmington, DE, Director, BlackRock International Holdings, Inc., New York, NY, Director, BlackRock Investments, LLC, Wilmington, DE, Director, BlackRock Portfolio Holdings, Inc., Wilmington, DE, Director, BlackRock Portfolio Investments, LLC, Wilmington, DE, Director, Carbon Capital III, Inc., New York, NY, Director, iShares Delaware Trust Sponsor, LLC, Wilmington, DE, Director, State Street Research & Management Company, Boston, MA, Director, State Street Research Investment Services, Inc., Boston, MA, Director, SSRM Holdings, Inc., Boston, MA

 

 

 

 

 

 

 

 

 

 

 

Paul Audet, Vice Chairman

 

Director, BAA Holdings, LLC, Wilmington, DE, BlackRock, Inc., New York, NY, Director, BlackRock Advisors, LLC, Wilmington, DE, BlackRock Advisors Holdings, Inc., New York, NE, Director, BlackRock Capital Holdings, Inc., Wilmington, DE, Director, BlackRock Capital Management, Inc., Wilmington, DE, Director, BlackRock Cayco Limited, Cayman Islands, Director, BlackRock Cayman Company, Cayman Islands, BlackRock Corporation US, Inc., San Francisco, CA, BlackRock Delaware Holdings, Inc., San Francisco, CA, BlackRock Financial Management, Inc., New York, NY, Director, BlackRock Finco, LLC, Wilmington, DE, BlackRock

14



 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of each Director, Officer or
Partner of the Adviser

 

Any other Business,
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
each director, officer or
partner of the adviser
thereof) within the Last Two
Fiscal Years


 


 


 


 

 

 

 

 

 

Fund Advisors, San Franciso, CA, BlackRock Funding, Inc., Wilmington, DE, Director, BlackRock Funding International, Ltd., Cayman Islands, BlackRock Growth Partners, Inc., San Francisco, CA, BlackRock Holdco 2, Inc., Wilmington, DE, Director, BlackRock Institutional Management Corporation, Wilmington, DE, BlackRock International Holdings, Inc., New York, NY, BlackRock Lux Finco S.a.r.l., Luxembourg, Luxembourg, BlackRock Operations (Luxembourg) S.a.r.l, Luxembourg, Luxembourg, Director, BlackRock Portfolio Holdings, Inc., Wilmington, DE, Director, BlackRock Portfolio Investments, LLC, Wilmington, DE, Director, BlackRock Realty Advisors, Inc., Florham Park, NJ, BlackRock UK 1 LP, London, England, State Street Research & Management Company, Boston, MA, SSRM Holdings, Inc., Boston, MA

 

 

 

 

 

 

 

 

 

 

 

Charles Hallac, Vice Chairman and Co-Chief Operating Officer

 

BlackRock, Inc., New York, NY, BlackRock Advisors Holdings, Inc., New York, NY, BlackRock Capital Holdings, Inc., Wilmington, DE, BlackRock Capital Management, Inc., Wilmington, DE, BlackRock Corporation US, Inc., San Francisco, CA, BlackRock Delaware Holdings, Inc., San Francisco, CA, BlackRock Financial Management, Inc., New York, NY, Black Rock Fund Advisors, San Francisco, CA, BlackRock Fund, Inc., Wilmington, DE, BlackRock Funding International, Ltd., Cayman Islands, BlackRock

15



 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of each Director, Officer or
Partner of the Adviser

 

Any other Business,
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
each director, officer or
partner of the adviser
thereof) within the Last Two
Fiscal Years


 


 


 


 

 

 

 

 

 

Growth Partners, Inc., San Francisco, CA, BlackRock Holdco 2, Inc., Wilmington, DE, Director, BlackRock India Private Ltd., Mumbai, India, BlackRock Institutional Management Corporation, Wilmington, DE, Director, BlackRock Institutional Trust Company, National Association, San Francisco, CA, BlackRock International Holdings, Inc., New York, NY, BlackRock Portfolio Holdings, Inc., Wilmington, DE, BlackRock Portfolio Investments, LLC, Wilmington, DE, State Street Research & Management Company, Boston, MA, SSRM Holdings, Inc., Boston, MA

 

 

 

 

 

 

 

 

 

 

 

Barbara Novick, Vice Chairman

 

BlackRock Inc., New York, NY, BlackRock Advisors, LLC, Wilmington, DE, BlackRock Advisors Holdings, Inc., New York, NY, BlackRock Capital Holdings, Inc., Wilmington, DE, BlackRock Capital Management, Inc., Wilmington, DE, BlackRock Corporation US, Inc., San Francisco, CA, BlackRock Delaware Holdings, Inc., San Francisco, CA, BlackRock Financial Management, Inc., New York, NY, BlackRock Fund Advisors, San Francisco, CA, BlackRock Funding, Inc., Wilmington, DE, BlackRock Funding International, Ltd., Cayman Islands, BlackRock Growth Partners, Inc., San Francisco, CA, BlackRock Holdco 2, Inc., Wilmington, DE, BlackRock Institutional Management Corporation, Wilmington, DE, BlackRock International Holdings, Inc., New York, NY, BlackRock

16



 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of each Director, Officer or
Partner of the Adviser

 

Any other Business,
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
each director, officer or
partner of the adviser
thereof) within the Last Two
Fiscal Years


 


 


 


 

 

 

 

 

 

Portfolio Holdings, Inc., Wilmington, DE, BlackRock Portfolio Investments, LLC, Wilmington, DE, SSRM Holdings, Inc., Boston, MA

 

 

 

 

 

 

 

 

 

 

 

Scott Amero, Vice Chairman

 

BlackRock, Inc., New York, NY, BlackRock Advisors, LLC, Wilmington, DE, BlackRock Advisors Holdings, Inc., New York, NY, BlackRock Capital Holdings, Inc., Wilmington, DE, BlackRock Capital Management, Inc., Wilmington, DE, BlackRock Corporation US, Inc., San Francisco, CA, BlackRock Delaware Holdings, Inc., San Francisco, CA, BlackRock Financial Management, Inc., New York, NY, BlackRock Fund Advisors, San Francisco, CA, BlackRock Funding, Inc., Wilmington, DE, BlackRock Funding International, Ltd., Cayman Islands, BlackRock Growth Partners, Inc., San Francisco, CA, BlackRock Holdco 2, Inc., Wilmington, DE, BlackRock Institutional Management Corporation, Wilmington, DE, BlackRock International Holdings, Inc., New York, NY, BlackRock Portfolio Holdings, Inc., Wilmington, DE, BlackRock Portfolio Investments, LLC, Wilmington, DE, Director, Anthracite Capital Inc., New York, NY, State Street Research & Management Company, Boston, MA, SSRM Holdings, Inc., Boston, MA

 

 

 

 

 

 

 

 

 

 

 

Susan Wagner, Vice Chairman and Chief Operating Officer

 

BAA Holdings, LLC, Wilmington, DE, BlackRock, Inc., New York, NY, BlackRock Advisors, LLC, Wilmington, DE, BlackRock Advisors Holdings, Inc., New York, NY, BlackRock Capital

17



 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of each Director, Officer or
Partner of the Adviser

 

Any other Business,
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
each director, officer or
partner of the adviser
thereof) within the Last Two
Fiscal Years


 


 


 


 

 

 

 

 

 

Holdings, Inc., Wilmington, DE, BlackRock Capital Management, Inc., Wilmington, DE, BlackRock Corporation US, Inc., San Francisco, CA, BlackRock Delaware Holdings, Inc., San Francisco, CA, BlackRock Financial Management, Inc., New York, NY, BlackRock Fund Advisors, San Francisco, CA, BlackRock Funding, Inc., Wilmington, DE, BlackRock Funding International, Ltd., Cayman Islands, BlackRock Growth Partners, Inc., San Francisco, CA, BlackRock Holdco 2, Inc., Wilmington, DE, BlackRock Institutional Management Corporation, Wilmington, DE, BlackRock International Holdings, Inc., New York, NY, BlackRock Mortgage Ventures, LLC, Wilmington, DE, BlackRock Portfolio Holdings, Inc., Wilmington, DE, BlackRock Portfolio Investments, LLC, Wilmington, DE, State Street Research & Management Company, Boston, MA

 

 

 

 

 

 

 

 

 

 

 

Robert Doll, Vice Chairman

 

BlackRock, Inc., New York, NY, BlackRock Advisors, LLC, Wilmington, DE, BlackRock Advisors Holdings, Inc., New York, NY, BlackRock Capital Holdings, Inc., Wilmington, DE, BlackRock Capital Management, Inc., Wilmington, DE, BlackRock Corporation US, Inc., San Francisco, CA, BlackRock Delaware Holdings, Inc., San Francisco, CA, BlackRock Financial Management, Inc., New York, NY, BlackRock Fund Advisors, San Francisco, CA, BlackRock Funding, Inc., Wilmington, DE, BlackRock Funding International, Ltd.,

18



 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of each Director, Officer or
Partner of the Adviser

 

Any other Business,
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
each director, officer or
partner of the adviser
thereof) within the Last Two
Fiscal Years


 


 


 


 

 

 

 

 

 

Cayman Islands, BlackRock Growth Partners, Inc., San Francisco, CA, BlackRock Holdco 2, Inc., Wilmington, DE, BlackRock Institutional Management Corporation, Wilmington, DE, BlackRock International Holdings, Inc., New York, NY, BlackRock Portfolio Holdings, Inc., Wilmington, DE, BlackRock Portfolio Investments, LLC, Wilmington, DE, Portfolio Administration & Management Ltd., Cayman Islands, Rock, Inc., New York, NY, BlackRock Advisors, LLC, Wilmington, DE, BlackRock Advisors Holdings, Inc., New York, NY, BlackRock Capital Holdings, Inc., Wilmington, DE, BlackRock Capital Management, Inc., Wilmington, DE, BlackRock Corporation US, Inc., San Francisco, CA, BlackRock Delaware Holdings, Inc. ,San Francisco, CA, BlackRock Financial Management, Inc., New York, NY ,BlackRock Fund Advisors, San Francisco, CA, BlackRock Funding, Inc., Wilmington, DE, BlackRock Funding International, Ltd., Cayman Islands, BlackRock Growth Partners, Inc., San Francisco, CA, BlackRock Holdco 2, Inc., Wilmington, DE, BlackRock Institutional Management Corporation, Wilmington, DE, BlackRock International Holdings, Inc., New York, NY,

 

 

 

 

 

 

 

 

 

 

 

Robert Fairbairn, Vice Chairman

 

BlackRock, Inc., New York, NY, BlackRock Advisors, LLC, Wilmington, DE, BlackRock Advisors Holdings, Inc., New York, NY, BlackRock Capital Holdings, Inc., Wilmington, DE,

19



 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of each Director, Officer or
Partner of the Adviser

 

Any other Business,
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
each director, officer or
partner of the adviser
thereof) within the Last Two
Fiscal Years


 


 


 


 

 

 

 

 

 

BlackRock Capital Management, Inc., Wilmington, DE, BlackRock Corporation US, Inc., San Francisco, CA, BlackRock Delaware Holdings, Inc., San Francisco, CA, BlackRock Financial Management, Inc., New York, NY, BlackRock Fund Advisors, San Francisco, CA, BlackRock Funding, Inc., Wilmington, DE, BlackRock Funding International, Ltd., Cayman Islands, BlackRock Growth Partners, Inc., San Francisco, CA, BlackRock Holdco 2, Inc., Wilmington, DE,BlackRock Institutional Management Corporation, Wilmington, DE, BlackRock International Holdings, Inc., New York, NY, BlackRock Lux Finco S.a.r.l, Luxembourg, Luxembourg, BlackRock Operations (Luxembourg) S.a.r.l, Luxembourg, Luxembourg, BlackRock Portfolio Holdings, Inc., Wilmington, DE, BlackRock Portfolio Investments, LLC, Wilmington, DE, BlackRock UK 1 LP, London, England, Rock, Inc., New York, NY, BlackRock Advisors, LLC, Wilmington, DE, BlackRock Advisors Holdings, Inc., New York, NY, BlackRock Capital Holdings, Inc., Wilmington, DE, BlackRock Capital Management, Inc., Wilmington, DE, BlackRock Corporation US, Inc., San Francisco, CA, BlackRock Delaware Holdings, Inc., San Francisco, CA, BlackRock Financial Management, Inc., New York, NY, BlackRock Fund Advisors, San Francisco, CA, BlackRock Funding, Inc., Wilmington, DE, BlackRock

20



 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of each Director, Officer or
Partner of the Adviser

 

Any other Business,
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
each director, officer or
partner of the adviser
thereof) within the Last Two
Fiscal Years


 


 


 


 

 

 

 

 

 

Funding International, Ltd., Cayman Islands, BlackRock Growth Partners, Inc., San Francisco, CA, BlackRock Holdco 2, Inc., Wilmington, DE, BlackRock Institutional Management Corporation, Wilmington, DE, BlackRock International Holdings, Inc., New York, NY

 

 

 

 

 

 

 

 

 

 

 

Bennett Golub, Vice Chairman and Chief Risk Officer

 

BlackRock, Inc., New York, NY, BlackRock Advisors, LLC, Wilmington, DE, BlackRock Advisors Holdings, Inc., New York, NY, BlackRock Capital Holdings, Inc., Wilmington, DE, BlackRock Capital Management, Inc., Wilmington, DE, BlackRock Corporation US, Inc., San Francisco, CA, BlackRock Delaware Holdings, Inc., San Francisco, CA, BlackRock Financial Management, Inc., New York, NY, BlackRock Fund Advisors, San Francisco, CA, BlackRock Funding, Inc., Wilmington, DE, BlackRock Funding International, Ltd., Cayman Islands, BlackRock Growth Partners, Inc., San Francisco, CA, BlackRock Institutional Management Corporation, Wilmington, DE, BlackRock Portfolio Holdings, Inc., Wilmington, DE, BlackRock Portfolio Investments, LLC, Wilmington, DE, SSRM Holdings, Inc., Boston, MA, State Street Research & Management Company, Boston, MA

 

 

 

 

 

 

 

 

 

 

 

Richard Kishel, Vice Chairman

 

BlackRock, Inc., New York, NY, BlackRock Advisors, LLC, Wilmington, DE, BlackRock Advisors Holdings, Inc., New York, NY, Director, BlackRock Asset Management Deutschland AG, Munich,

21



 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of each Director, Officer or
Partner of the Adviser

 

Any other Business,
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
each director, officer or
partner of the adviser
thereof) within the Last Two
Fiscal Years


 


 


 


 

 

 

 

 

 

Germany, BlackRock Capital Holdings, Inc., Wilmington, DE, BlackRock Capital Management, Inc., Wilmington, DE, BlackRock Corporation US, Inc., San Francisco, CA, BlackRock Delaware Holdings, Inc., San Francisco, CA, BlackRock Financial Management, Inc., New York, NY, BlackRock Fund Advisors, San Francisco, CA, BlackRock Funding, Inc., Wilmington, DE, BlackRock Growth Partners, Inc., San Francisco, CA, Director, BlackRock Holdco 5, LLC, Wilmington, DE, BlackRock Institutional Management Corporation, Wilmington, DE, BlackRock International Holdings, Inc., New York, NY, Director, BlackRock Japan Co., Ltd., Tokyo, Japan, BlackRock Portfolio Holdings, Inc., Wilmington, DE, BlackRock Portfolio Investments, LLC, Wilmington, DE, Director, BlackRock Securities Co., Ltd., Tokyo, Japan, SSRM Holdings, Inc., Boston, MA, State Street Research & Management Company, Boston, MA, Director, BlackRock Advisors Singaport Pte. Ltd., Singapore ,BlackRock Asset Management UK Limited ,London, England, BlackRock Group Limited, London, England, Director, BlackRock (Hong Kong) Limited, Hong Kong, SAR, China, Director, BlackRock International Limited, Edinburgh, Scotland, Director, BlackRock Investment Management (Australia) Limited, Melbourne, Australia, Director, BlackRock

22



 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of each Director, Officer or
Partner of the Adviser

 

Any other Business,
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
each director, officer or
partner of the adviser
thereof) within the Last Two
Fiscal Years


 


 


 


 

 

 

 

 

 

Investment Management International Limited, London, England, Director, BlackRock Investment Management (Korea) Limited, Seoul, Korea, Director, BlackRock Investment Management (Singaport) Limited, Singapore. Director, BlackRock Investment Management (UK) Limited, London, England, Director, BlackRock (Taiwan) Limited, Taipei, Taiwan, Director, Impact Investing Pty Ltd., Melbourne, Australia, Director, PSN Pty Ltd, Melbourne, Australia

 

 

 

 

 

 

 

 

 

 

 

Amy Engel, Treasurer and Managing Director

 

BlackRock, Inc., New York, NY, BlackRock Advisors, LLC, Wilmington, DE, BlackRock Advisors Holdings, Inc., New York, NY, BlackRock Capital Holdings, Inc., Wilmington, DE, BlackRock Capital Management, Inc., Wilmington, DE, BlackRock Financial Management, Inc., New York, NY, BlackRock Funding International, Ltd., Cayman Islands, BlackRock Funding, Inc., Wilmington, DE, BlackRock Holdco 2, Inc., Wilmington, DE, BlackRock Institutional Management Corporation, Wilmington, DE, BlackRock International Holdings, Inc., New York, NY, BlackRock Portfolio Holdings, Inc., Wilmington, DE, BlackRock Portfolio Investments, LLC, Wilmington, DE, SSRM Holdings, Inc. Boston, MA, SSRM Holdings, Inc. Boston, MA, State Street Research & Management Company, Boston, MA

*     *     *

23



 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


Federated Equity
Management Company of
Pennsylvania (“Federated”)
Federated Investors Tower
1001 Liberty Avenue
Pittsburgh, PA 15222-3779

 

Sub-adviser to Transamerica Federated Market Opportunity

 

J. Christopher Donahue, Trustee and Chairman

 

President, Chief Executive Officer and Director, Federated Investors, Inc.; Chairman and Trustee, Federated Investment Management Company; Trustee, Federated Investment Counseling; Chairman and Director, Federated Global Investment Management Corp.; Chairman, Passport Research, Ltd. (investment advisory subsidiary of Federated); Trustee, Federated Shareholder Services Company; Director, Federated Services Company

 

 

 

 

 

 

 

 

 

 

 

Thomas R. Donahue, Trustee and Treasurer

 

Chief Financial Officer, Federated Investors, Inc.

 

 

 

 

 

 

 

 

 

 

 

John B. Fisher, Trustee and President

 

President, Director/Trustee and CEO, Federated Advisory Services Company, Federated Global Investment Management Corp., Federated Investment Counseling, Federated Investment Management Company; President and CEO of Passport Research, Ltd.; President of some of the Funds in the Federated Fund Complex and Director, Federated Investors Trust Company

 

 

 

 

 

 

 

 

 

 

 

Mark D. Olson, Trustee
800 Delaware Avenue, P.O. Box 2305
Wilmington, DE 19899-2305

 

Principal, Mark D. Olson & Company L.L.C. and Partner, Wilson, Halbrook & Bayard, P.A

 

 

 

 

 

 

 

 

 

 

 

Stephen F. Auth, Trustee and Executive Vice President

 

Chief Investment Officer of funds in the Federated Fund Complex; Executive Vice President, Federated Investment Counseling, and Federated Global Investment Management Corp.

 

 

 

 

 

 

 

 

 

 

 

Linda A. Duessel, Senior Vice President

 

Senior Portfolio Manager of various funds in the Federated Fund Complex

 

 

 

 

 

 

 

 

 

 

 

Steven Lehman, Senior Vice President

 

Senior Portfolio Manager of various funds in the Federated Fund Complex

 

 

 

 

 

 

 

 

 

 

 

 

 

 

24



 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


 

 

 

 

Carol R. Miller, Senior Vice President

 

Senior Portfolio Manager of various funds in the Federated Fund Complex

 

 

 

 

 

 

 

 

 

 

 

Douglas C. Noland, Senior Vice President

 

Senior Portfolio Manager of various funds in the Federated Fund Complex

 

 

 

 

 

 

 

 

 

 

 

P. Ryan Bend, Vice President

 

Portfolio Manager of various funds in the Federated Fund Complex

 

 

 

 

 

 

 

 

 

 

 

G. Andrew Bonnewell, Vice President and Secretary

 

Senior Corporate Counsel, Federated Investors, Inc.

 

 

 

 

 

 

 

 

 

 

 

Chad Hudson, Vice President

 

Portfolio Manager of various funds in the Federated Fund Complex

 

 

 

 

 

 

 

 

 

 

 

Angela Kohler, Vice President

 

Senior Investment Analyst to various funds in the Federated Fund Complex

 

 

 

 

 

 

 

 

 

 

 

Lila Murphy, Vice President

 

Senior Investment Analyst to various funds in the Federated Fund Complex

 

 

 

 

 

 

 

 

 

 

 

John L. Nichol, Vice President

 

Senior Portfolio Manager of various funds in the Federated Fund Complex

 

 

 

 

 

 

 

 

 

 

 

Michael R. Tucker, Vice President

 

Senior Investment Analyst to various funds in the Federated Fund Complex

 

 

 

 

 

 

 

 

 

 

 

Ann Kruczek, Assistant Vice President

 

Senior Vice President, Head of Investment Administration and Operations

 

 

 

 

 

 

 

 

 

 

 

Dana Meissner, Assistant Vice President

 

Senior Portfolio Manager of various funds in the Federated Fund Complex

 

 

 

 

 

 

 

 

 

 

 

Keith Michaud, Assistant Vice President

 

Manager, Market Data Services; Vice President, Federated Advisory Services Company

 

 

 

 

 

 

 

 

 

 

 

Denis McAuley, III, Assistant Treasurer

 

Vice President and Principal Accounting Officer, Federated Investors, Inc.; Treasurer of various Federated operating companies

 

 

 

 

 

 

 

*     *     *

25



 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


First Quadrant, L.P.
(“First Quadrant”)
800 East Colorado Blvd,
Suite 900,
Pasadena, Ca, 91101

 

Sub-adviser to Transamerica First Quadrant Global Macro

 

Ronnie M. Darnell, Chief Investment Officer and Limited Partner

 

N/A

 

 

 

 

 

 

 

Curtis J. Ketterer, Chief Operating Officer and Limited Partner

 

N/A

 

 

 

 

 

 

 

Christopher G. Luck, Director of Equity Portfolio Management and Limited Partner

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Timothy S. Meckel, Client Service and Limited Partner

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Kent C. Roberts, Director of Marketing and Limited Partner

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Kenneth R. Funk, Chief Compliance Officer and Director

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Joel L. Brouwer, Chief Financial Officer and Director

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Kenneth J. Ferguson, Co-Director and Limited Partner

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Dori S. Levanoni, Co-Director and Limited Partner

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Jia Ye, Chief Investment Strategist and Director of Trading and Limited Partner.

 

N/A

*     *     *

 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


Goldman Sachs Asset
Management, L.P.
(“GSAM”)
200 West Street
New York, NY 10282,

 

Sub-adviser to Transamerica Goldman Sachs Commodity Strategy

 

Ellen Porges, General Counsel, Investment Management Division (Chief Legal Officer); Judith Shandling, Chief Compliance Officer; Ed Forst, Co-Head Investment Management Division (Co-Chief Executive Officer); Timothy J. O’Neill, Co-Head Investment Management Division (Co-Chief Executive Officer)

 

N/A

*     *     *

26



 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


ING Clarion Real Estate
Securities, LP (“Clarion”)
201 King of Prussia Road
Suite 600
Radnor, PA 19087

 

Sub-adviser to Transamerica Clarion Global Real Estate Securities

 

T. Ritson Ferguson, Managing Director

 

N/A

 

 

 

 

 

 

 

Jarrett B. Kling, Managing Director

 

N/A

 

 

 

 

 

 

 

Steven D. Burton, Managing Director

 

N/A

 

 

 

 

 

 

 

Joseph P. Smith

 

N/A

 

 

 

 

 

 

 

David J. Makowicz, Senior Director

 

N/A

 

 

 

 

 

 

 

Steven P. Sorenson, Senior Director

 

N/A

*     *     *

 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


Jennison Associates LLC
(“Jennison”)*
466 Lexington Avenue
New York, NY 10017.

 

Sub-adviser to Transamerica Jennison Growth

 

Dennis M. Kass, Director, Chairman and Chief Executive Officer

 

Chairman and Manager, Quantitative Management Associates LLC (“QM”). Director, Senior Managing Director and Vice President, Prudential Investment Management, Inc. (“PIM”)

 

 

 

 

 

 

 

 

 

 

 

Spiros Segalas, Director, President and Chief Investment Officer, Jennison

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Mehdi A. Mahmud, Director, Vice Chairman, Managing Director and Chief Operating Officer

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Kathleen A. McCarragher, Director and Managing Director

 

Vice President, Prudential Trust Company (“PTC”)

 

 

 

 

 

 

 

 

 

 

 

Debra Hope Wedgeword, Director**

 

Manager, QM

 

 

 

 

 

 

 

 

 

 

 

Charles F. Lowrey, Director**

 

President, Chairman, Director and Chief Executive Officer, PIM. Chairman, Chief Executive Officer, President and Manager, Prudential Asset Management Holding Company LLC. President, PIM Foreign Investments, Inc. Director and President, PIM Investments, Inc. Chairman and Director, PIM Warehouse, Inc. Manager, QM. Chairman and Director, Pramerica (GP) Limited. Director, Pramerica (GP2) Limited

 

 

 

 

 

 

 

 

 

 

 

Ronald K. Andrews, Director**

 

Senior Vice President, Prudential Investments LLC

27



 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


 

 

 

 

 

 

(“PI”). Manager, QM. Senior Vice President, Prudential Annuities Advisory Services, Inc.

 

 

 

 

 

 

 

 

 

 

 

Mirry Hwang, Secretary, Senior Vice President and Chief Legal Officer

 

Assistant Secretary, PTC

 

 

 

 

 

 

 

 

 

 

 

Joseph M. Carrabes, Executive Vice President

 

Vice President, PTC

 

 

 

 

 

 

 

 

 

 

 

Kenneth Moore, Treasurer and Executive Vice President

 

Vice President, PIM Wharehouse, Inc. Director and Executive Vice President, PTC. Manager and Vice President, QM. Vice President, PIM

 

 

 

 

 

 

 

 

 

 

 

Stuart S. Parker, Executive Vice President

 

Senior Vice President, PI. Vice President, QM

 

 

 

 

 

 

 

 

 

 

 

Leslie S. Rolison, Executive Vice President

 

Vice President, QM


 

 

*

Except as otherwise indicated, the address of each person is 466 Lexington Avenue, New York, NY 10017.

**

The address of the Director, Officer or Partner of the Sub-Adviser is Gateway Center Three, 100 Mulberry Street, New York, NJ 07102

*     *     *

 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


J.P. Morgan Investment
Management Inc.
(“JPMorgan”)
245 Park Avenue
New York, NY 10167

 

Sub-adviser to Transamerica JPMorgan Core Bond, Transamerica JPMorgan International Bond, JPMorgan Mid Cap Value

 

Evelyn V. Guernsey, President, Director and Managing Director

 

Chairperson, President, and CEO, JPMorgan Investment Advisors Inc.

 

 

 

 

 

 

 

 

 

 

 

George C.W. Gatch, Director, Managing Director

 

 

 

 

 

 

 

 

 

 

 

 

 

Seth P. Bernstein, Director, Global Head of Fixed-Income, Managing Director

 

 

 

 

 

 

 

 

 

 

 

 

 

Lawrence M. Unrein, Director, Managing Director

 

 

 

 

 

 

 

 

 

 

 

 

 

Martin R. Porter, Global Head of Equities, Managing Director

 

 

 

 

 

 

 

 

 

 

 

 

 

Clive S. Brown, Director, Managing Director

 

 

28



 

 

 

 

 

 

 

 

 

 

 

Scott E. Richter, Secretary

 

 

 

 

 

 

 

 

 

 

 

 

 

Joseph K. Azelby, Director, Managing Director

 

 

 

 

 

 

 

 

 

 

 

 

 

Paul A. Quinsee, Director, Managing Director

 

 

 

 

 

 

 

 

 

 

 

 

 

John H. Hunt, Director, Managing Director

 

 

 

 

 

 

 

 

 

 

 

 

 

Richard T. Madsen, CFO, Director, Managing Director

 

 

 

 

 

 

 

 

 

 

 

 

 

Joseph J. Bertini, Chief Compliance Officer, Managing Director

 

 

*     *     *

 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


Loomis, Sayles & Company,
L.P. (“Loomis”)
One Financial Center
Boston, MA 02111-2611

 

Sub-Adviser to Transamerica Loomis Sayles Bond

 

Robert J. Blanding, Chairman, President and Chief Executive Officer

 

President, CEO and Trustee: Loomis Sayles Funds I; Loomis Sayles Funds II Trustee: 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 Director: Loomis Sayles Distributors, Inc.

 

 

 

 

 

 

 

 

 

 

 

Daniel J. Fuss, Vice Chairman and Executive Vice President

 

Executive Vice President: Loomis Sayles Funds I; Loomis Sayles Funds II

 

 

 

 

 

 

 

 

 

 

 

Pierre Servant, Director

 

President and CEO: Natixis Global Asset Management Member of the Executive Committee: Natixis

 

 

 

 

 

 

 

 

 

 

 

John T. Hailer, Director

 

President and CEO: Natixis Asset Management Advisors, L.P.; Natixis Global Asset Management, L.P.; Trustee: 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 Executive Vice President and Trustee President: Loomis Sayles Funds I; Loomis Sayles Funds II

 

 

 

 

 

 

 

 

 

 

 

Kevin P. Charleston, Executive Vice President and CFO

 

Manager and President: Loomis Sayles Trust Co., LLC

 

 

 

 

 

 

 

 

 

 

 

John F. Gallagher III, Executive Vice

 

President: Loomis Sayles

29



 

 

 

 

 

 

 

 

 

 

 

President

 

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

 

 

 

 

 

 

 

 

 

 

 

Lauriann Kloppenburg, Executive Vice President

 

Manager: Loomis Sayles Trust Co., LLC

 

 

 

 

 

 

 

 

 

 

 

Jean S. Loewenberg, Executive Vice President, General Counsel and Secretary

 

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

 

 

 

 

 

 

 

 

 

 

 

Mark E. Smith, Executive Vice President

 

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

 

 

 

 

 

 

 

 

 

 

 

Donald P. Ryan, Vice President, Chief Compliance Officer and Counsel

 

 

*     *     *

 

 

 

 

 

 

 

Name and Business Address
of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


Mellon Capital Management Corporation (“BNY Mellon”)
One Boston Place, 34th Floor Boston, MA 02108

 

Sub-adviser to Transamerica BNY Mellon Market Neutral Strategy.

 

Oliver Buckley, Chief Investment Officer, Active Equity Strategies

 

N/A

 

 

 

 

 

 

 

Gregg Pendergast, Director and Deputy Chief Compliance Office

 

N/A

 

 

 

 

 

 

 

Michael Dunn, Director

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Langton Garvin, Director

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Mary McDermott-Holland

 

N/A

 

 

 

 

 

 

 

 

 

 

 

David Dirks, Director and Head of Active Equity Client Services

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Timothy Burke, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Caroline Conway, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Kristin Crawford. Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

John Manley, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Pritha Mitra-Stiff, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Patrick Slattery, Vice President

 

N/A

*     *     *

 

 

 

 

 

 

 

Name and Business Address
of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


MFS Investment
Management (“MFS”)
500 Boylston Street
Boston, MA 02116,

 

Sub-adviser to Transamerica MFS International Equity

 

Donald A. Stewart, Director

 

Chief Executive Officer of Sun Life Financial Director, MFS Inc. Also an Officer and/or Director of various subsidiaries and affiliates of Sun Life

 

 

 

 

 

 

 

 

 

 

 

Jon A. Boscia, Director

 

President, Sun Life Financial Inc.

30



 

 

 

 

 

 

 

 

 

 

 

Kevin P. Dougherty, Director

 

President of Sun Life Global Investments, Inc.

*     *     *

 

 

 

 

 

 

 

Name and Business Address
of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


Morgan Stanley Investment
Management, Inc. (“MSIM”)
522 Fifth Avenue
New York, NY 10036

 

Sub-adviser to Transamerica Morgan Stanley Emerging Markets Debt, Transamerica Morgan Stanley Mid-Cap Growth and Transamerica Morgan Stanley Small Company Growth.

 

Randy Takian, Managing Director, Director and President

 

President and Principal Executive Officer, Morgan Stanley Retail and Institutional Funds; President and Chief Executive Officer, Morgan Stanley Services Company Inc.; Managing Director and Director, Morgan Stanley Investment Advisors Inc.; Director, Morgan Stanley Distributors Inc. and Morgan Stanley Distribution, Inc.

 

 

 

 

 

 

 

 

 

 

 

Stuart Bohart, Managing Director and Director

 

President; Managing Director and Director, Morgan Stanley Investment Advisors Inc.; Managing Director, Van Kampen Advisors Inc. and Van Kampen Asset Management; President, Morgan Stanley Distribution, Inc.

 

 

 

 

 

 

 

 

 

 

 

Stefanie V. Chang Yu, Managing Director and Secretary

 

Managing Director and Secretary of various entities affiliated with the Sub-Adviser.

 

 

 

 

 

 

 

 

 

 

 

Kevin Klingert, Managing Director and Acting Chief Investment Officer of the Global Fixed Income Group

 

Managing Director, Head, Chief Operating Officer and acting Chief Investment Officer, Global Fixed Income Group of Morgan Stanley Investment Advisors Inc.; Vice President of various Retail Funds and Institutional Funds; Managing Director and acting Chief Investment Officer, Global Fixed Income Group of various Van Kampen entities; Vice President of various Van Kampen Retail Funds and Institutional Funds.

 

 

 

 

 

 

 

 

 

 

 

Carsten Otto, Managing Director

 

Managing Director and Global Head, Compliance for Morgan Stanley Investment Management and Chief Compliance Officer, Morgan Stanley Retail and Institutional Funds.

31



 

 

 

 

 

 

 

 

 

 

 

Mary Ann Picciotto, Executive Director and Chief Compliance Officer

 

Executive Director and Chief Compliance Officer, Morgan Stanley Investment Advisors Inc., Van Kampen Asset Management, Van Kampen Investments Inc., and Van Kampen Advisors Inc.

 

 

 

 

 

 

 

 

 

 

 

Mark Patten, Managing Director, Chief Financial Officer and Treasurer

 

Managing Director, Chief Financial Officer and Treasurer, Morgan Stanley Investment Management and Morgan Stanley Distribution Inc.; Chief Financial Officer and Treasurer, Morgan Stanley Asset Management Holdings II; Chief Financial Officer and Treasurer of various Van Kampen entities.

 

 

 

 

 

 

 

 

 

 

 

Mary Alice Dunne, Managing Director and Chief Administrative Officer

 

Managing Director and Chief Administrative Officer, Morgan Stanley Investment Advisors Inc.

 

 

 

 

 

 

 

 

 

 

 

Joanne Pace, Chief Operating Officer and Managing Director

 

Chief Operating Officer and Managing Director of Morgan Stanley Investment Advisors Inc.; Managing Director of various Van Kampen entities.

*     *     *

 

 

 

 

 

 

 

Name and Business Address
of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of each Director, Officer or
Partner
of the Adviser

 

Any other Business,
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
each director, officer or
partner of the adviser
thereof) within the Last Two
Fiscal Years


 


 


 


Morningstar Associates, LLC (“Morningstar”)
22 West Washington Street
Chicago, IL 60602

 

Portfolio Construction Manager to Transamerica Asset Allocation – Conservative Portfolio, Transamerica Asset Allocation – Moderate Portfolio, Transamerica Asset Allocation – Growth Portfolio, Transamerica Asset Allocation – Moderate Growth Portfolio, Transamerica Multi-Manager International Portfolio and Transamerica Multi-Manager Alternative Strategies Portfolio

 

Patrick J. Reinkemeyer, President; Allan B. Johnson, Vice President – Sales and Marketing; D. Scott Schilling, Chief Compliance Officer and Secretary

 

N/A

*     *     *

32



 

 

 

 

 

 

 

Name and Business Address
of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


Neuberger Berman
Management LLC
(“Neuberger”)
605 Third Avenue
New York, NY 10158

 

Sub-adviser to Transamerica Neuberger Berman International

 

Joseph V. Amato, Director

 

N/A

 

 

 

 

 

 

 

Robert J. Conti, President and Chief Executive Officer

 

N/A

 

 

 

 

 

 

 

Bradley C. Tank, Managing Director and Chief Investment Officer (Fixed Income)

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Andrew Provencher, Managing Director and Head of Intermediary Distribution

 

N/A

*     *     *

 

 

 

 

 

 

 

Name and Business Address
of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


OppenheimerFunds (“Oppenheimer”)
Two World Financial Center
225 Liberty Street, 11th Floor
New York, NY 10281

 

Sub-adviser to
Transamerica
Oppenheimer
Developing Markets
and Transamerica
Oppenheimer Small- &
Mid-Cap Value

 

William Glavin, President and Chief Executive Officer

 

N/A

 

 

 

 

 

 

 

Craig Dinsell, Executive Vice President

 

N/A

 

 

 

 

 

 

 

Robert Gregory Zack, General Counsel

 

N/A

 

 

 

 

 

 

 

Brian William Wixted, Senior Vice President, Treasurer

 

N/A

 

 

 

 

 

 

 

 

 

Christopher Leavy, Chief Investment Officer, Equities

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Arthur Steinmetz, Chief Investment Officer, Fixed Income

 

N/A

 

 

 

 

 

 

 

 

 

 

 

David Matthew Pfeffer, Senior Vice President, CFO

 

N/A

 

 

 

 

 

 

 

 

 

 

 

David Matthew Pfeffer, Senior Vice President, CFO

 

N/A

*     *     *

 

 

 

 

 

 

 

Name and Business Address
of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


Pacific Investment
Management Company LLC
(“PIMCO”)
840 Newport Center Drive

 

Sub-adviser to Transamerica PIMCO Total Return and Transamerica PIMCO

 

Mohamed A. El Erian, Managing Director, Chief Executive Officer and Co-Chief Investment Officer

 

Board Member of Petersen Institute for International Economics, Member of the Advisory Board of

33



 

 

 

 

 

 

 

Suite 300
Newport Beach, CA 92660

 

Real Return TIPS

 

 

 

International Center for Research on Women and Roubini Global Economics, Chairman of the Microsoft Investment Advisory Board.

 

 

 

 

 

 

 

 

 

 

 

William H. Gross, Managing Director, Founder and Co-Chief Investment Officer

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Douglas M. Hodge, Managing Director, Chief Operating Officer

 

Board Member of the Executive Committee for Allianz Global Investors AG

 

 

 

 

 

 

 

 

 

 

 

David C. Lown, Managing Director, Chief Administrative Officer

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Chris P. Dialynas, Managing Director, Portfolio Manager

 

N/A

 

 

 

 

 

 

 

 

 

 

 

David C. Flattum, Managing Director, General Counsel

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Jennifer E. Durham, Executive Vice-President, Chief Compliance Officer

 

N/A

*     *     *

 

 

 

 

 

 

 

Name and Business Address
of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


Schroder Investment
Management North America
Inc. (“Schroders”)
875 Third Avenue 22nd Floor New York, NY 10022- 6225

 

Sub-adviser to Transamerica Schroders International Small Cap

 

Alan Brown, Director and Chief Investment Officer

 

N/A

 

 

 

 

 

 

 

Stephen M. DeTore, Director and Chief Compliance Officer

 

N/A

 

 

 

 

 

 

 

Jamie Dorrien-Smith, Director, Chief Executive Officer and Chairman

 

N/A

 

 

 

 

 

 

 

Mark A. Hemenetz, Director and Chief Operating Officer

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Virginie Maisonneuve, Director and Head of Global and International Equities

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Carin F. Muhlbaum, General Counsel, Chief Administrative Officer and Assistant Secretary

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Alex Sargent, Director and Financial Controller

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Patricia Woolridge, Secretary

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Pamela Bardill, Assistant Secretary

 

N/A

*     *     *

34


 

 

 

 

 

 

 

Name and Business Address
of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


Third Avenue Management
LLC (“Third Avenue”)
622 Third Avenue
New York, NY 10017

 

Sub-adviser to Transamerica Third Avenue Value

 

Martin J. Whitman, Co-Chief Investment Officer of Third Avenue; Chairman of Third Avenue Trust; Chairman of Third Avenue Variable Series Trust

 

Director, Nabors Industries, Inc.

 

 

 

 

 

 

 

David M. Barse, President and CEO of Third Avenue; President, CEO and Trustee of Third Avenue Trust; Chief Executive Officer of M.J. Whitman LLC

 

Director of Covanta Corporation

 

 

 

 

 

 

 

Vincent J. Dugan, Chief Financial Officer of Third Avenue, M.J. Whitman LLC, Third Avenue Trust and Third Avenue Variable Series Trust

 

N/A

 

 

 

 

 

 

 

 

 

 

 

W. James Hall, General Counsel and Secretary of Third Avenue, Third Avenue Trust, Third Avenue Variable Series Trust and M.J. Whitman LLC

 

N/A

*     *     *

 

 

 

 

 

 

 

Name and Business Address
of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


Thornburg Investment
Management, Inc.
(“Thornburg”)
2300 Ridgetop Road
Santa Fe, NM 87506

 

Sub-adviser to Transamerica Thornburg International Value

 

Garrett Thornburg, Chairman

 

Former Chief Executive Officer, Thornburg Investment Management, Inc.; Chairman, Chief Executive Officer, Thornburg Securities Corp.; Former Chief Executive Officer and Chairman, TMST, Inc.’ Former President and Director, Thornburg Mortgage Advisory Corp.; Director, TMST, Inc.

*     *     *

35


 

 

 

 

 

 

 

Name and Business Address
of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


Transamerica Asset
Management, Inc. (“TAM”)
570 Carillon Parkway
St. Petersburg, FL 33716

 

Investment Adviser to Registrant

 

John K. Carter, Director, Chairman of the Board, President and Chief Executive Officer

 

N/A

 

 

 

 

 

 

 

 

 

Christopher A. Staples, Director, Senior Vice President – Investment Management and Chief Investment Officer

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Dennis P. Gallagher, Director, Senior Vice President, General Counsel, Secretary and Operations

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Kyle A. Keelan, Senior Vice President – Business Development

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Karen D. Heburn, Senior Vice President, Chief Financial Officer and Treasurer

 

N/A

 

 

 

 

 

 

 

 

 

 

 

T. Gregory Reymann, II, Vice President, Chief Compliance Officer and Chief Risk Officer

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Margaret A. Cullem-Fiore, Vice President and Senior Counsel

 

Assistant Secretary

 

 

 

 

 

 

 

 

 

 

 

Robert S. Lamont, Jr., Vice President and Senior Counsel

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Ranjit Bhatia, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Robert A. DeVault, Jr., Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

John Ng, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Williams Nobles, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Jonathan Oldroyd, Vice President

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Anthony D. Pedata, Senior Compliance Officer

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Kristina L. Bartscht, Assistant Vice President and Advertising Manager

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Sarah L. Bertrand, Assistant Vice President

 

N/A

*     *     *

 

 

 

 

 

 

 

Name and Business Address
of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


 

 

 

 

 

 

 

Transamerica Investment
Management, LLC (“TIM”)
11111 Santa Monica
Blvd.,

 

Sub-Adviser to Transamerica Growth Opportunities, Transamerica Small/Mid Cap Value,

 

Kirk Kim, Deputy CIO, Board Member

 

N/A

 

 

 

 

 

 

 

Peter O. Lopez, President, Board Member

 

N/A

 

 

 

 

 

 

 

Jeffrey A. McCroy, Board Member

 

N/A

 

 

 

 

 

 

 

 

 

 

36



 

 

 

 

 

 

 

Suite 820, Los Angeles,
California

 

Transamerica Flexible Income, Transamerica Focus, Transamerica Balanced, Transamerica Diversified Equity, Transamerica Short-Term Bond and Transamerica Money Market

 

John Huber, Board Member

 

N/A

 

 

 

Paul Houk, Chief Legal Officer

 

AEGON USA Investment Management, LLC

 

 

 

John K. Carter, Board Member

 

N/A

 

 

 

 

 

 

 

 

 

Jessica Cole, Chief Compliance
Officer

 

AEGON USA Investment Management, LLC

 

 

 

Todd M. Bergen, Board Member

 

N/A

*     *     *

 

 

 

 

 

 

 

Name and Business
Address of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


UBS Global Asset Management (Americas) Inc. (“UBS”)
One North Wacker Drive
Chicago, IL 60606

 

Sub-Adviser to Transamerica UBS Large Cap Value

 

Joseph Allessie, Assistant Secretary

 

Deputy General Counsel and Executive Director – UBS Global AM

 

 

 

 

 

 

 

 

 

 

 

Michael J. Calhoun, Assistant Secretary

 

Associate General Counsel and Director – UBS Global AM

 

 

 

 

 

 

 

 

 

 

 

Mary T. Capasso, Assistant Secretary

 

Associate General Counsel and Executive Director – UBS Global AM

 

 

 

 

 

 

 

 

 

 

 

Trevor Chambers, Assistant Treasurer

 

Controller and Director – UBS Global AM

 

 

 

 

 

 

 

 

 

 

 

Kimberly Guerin, Assistant Treasurer

 

Financial Control Senior Manager and Director – UBS Global AM

 

 

 

 

 

 

 

 

 

 

 

Mark F. Kemper, Secretary and Chief Legal Officer

 

General Counsel – UBS Global AM

 

 

 

 

 

 

 

 

 

 

 

Tammie Lee, Assistant Secretary

 

Associate General Counsel – UBS Global AM

 

 

 

 

 

 

 

 

 

 

 

Barry M. Mandinach, Board Director and Vice President

 

Chief Marketing Officer and Managing Director – UBS Global AM

 

 

 

 

 

 

 

 

 

 

 

Joseph McGill, Chief Compliance Officer

 

Chief Compliance Officer and Managing Director – UBS Global AM

 

 

 

 

 

 

 

 

 

 

 

John Moore, Board Director, Treasurer and Chief Financial Officer

 

Head of Financial Control and Managing Director – UBS Global AM

 

 

 

 

 

 

 

 

 

 

 

Eric Sanders, Assistant Secretary

 

Associate General Counsel – UBS Global AM

 

 

 

 

 

 

 

 

 

 

 

Kai R. Sotorp, Board Director, President and Chief Executive Officer

 

Head of Americas and Group Management Board Member – UBS Global AM

 

 

 

 

 

 

 

 

 

 

 

Keith Weller, Assistant Secretary

 

Associate General Counsel and Executive Director – UBS Global AM

*     *     *

37



 

 

 

 

 

 

 

Name and Business Address
of the Adviser

 

Connection of the
Adviser to the
Registrant

 

Name of Each Director, Officer or
Partner of the Adviser

 

Any Other Business or
Profession, Vocation or
Employment of a Substantial
Nature of the Adviser (and
Each Director, Officer or
Partner of the Adviser
thereof) within the Last Two
Fiscal Years


 


 


 


Wellington Management Company, LLP (“Wellington Management”)
75 State Street
Boston, Massachusetts 02109

 

Sub-Adviser to Transamerica WMC Diversified Growth and Transamerica WMC Emerging Markets

 

Saul J. Pannell, Partner And Executive Committee Member

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Perry M. Traquina, Partner, President, Ceo And Executive Committee Member

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Cynthia M. Clarke, Partner And Chief Legal Officer

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Phillip H. Perelmuter, Partner And Executive Committee Member

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Selwyn J. Notelovitz, Partner And Chief Compliance Officer

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Edward J. Steinborn, Partner And Chief Financial Officer

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Partner And Executive Committee Member

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Brendan J. Swords, Partner And Executive Committee Member

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Edward P. Bousa, Partner And Executive Committee Member

 

N/A

 

 

 

 

 

 

 

 

 

 

 

James W. Valone, Partner And Executive Committee Member

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Charles S. Argyle, Partner And Executive Committee Member

 

N/A

 

 

 

 

 

 

 

 

 

 

 

Vera M. Trojan, Partner And Executive Committee Member

 

N/A

Item 32 Principal Underwriter

 

 

(a)

The Registrant has entered into an Underwriting Agreement with Transamerica Capital, Inc. (“TCI”), whose address is 4600 South Syracuse Street, Suite 1100, Denver, Colorado, 80287 to act as the principal underwriter of Fund shares.

 

(b)

Directors and Officers of TCI:


 

 

 

 

 

 

 

Name

 

Location

 

Positions and Offices with
Underwriter

 

Positions and Offices with
Registrant


 


 


 


David W. Hopewell

 

(1)

 

Director

 

N/A

 

 

 

 

 

 

 

Lon J. Olejniczak

 

(1)

 

Director and Chief Executive Officer

 

N/A

 

 

 

 

 

 

 

Thomas A. Swank

 

(1)

 

Director

 

N/A

 

 

 

 

 

 

 

Michael Brandsma

 

(2)

 

Director, President and Chief Financial Officer

 

N/A

 

 

 

 

 

 

 

Blake S. Bostwick

 

(2)

 

Chief Operations Officer and Vice President

 

N/A

 

 

 

 

 

 

 

David R. Paulsen

 

(2)

 

Executive Vice President

 

N/A

 

 

 

 

 

 

 

Anne M. Spaes

 

(3)

 

Executive Vice President

 

N/A

 

 

 

 

 

 

 

Michael G. Petko

 

(2)

 

Executive Vice President

 

N/A

38



 

 

 

 

 

 

 

Name

 

Location

 

Positions and Offices with
Underwriter

 

Positions and Offices with
Registrant


 


 


 


Frank A. Camp

 

(1)

 

Secretary

 

N/A

 

 

 

 

 

 

 

Courtney John

 

(2)

 

Vice President and Chief Compliance Officer

 

N/A

 

 

 

 

 

 

 

Karen D. Heburn

 

(4)

 

Vice President

 

N/A

 

 

 

 

 

 

 

Wesley J. Hodgson

 

(2)

 

Vice President

 

N/A

 

 

 

 

 

 

 

Amy Angle

 

(1)

 

Assistant Vice President

 

N/A

 

 

 

 

 

 

 

Dennis P. Gallagher

 

(4)

 

Assistant Vice President

 

Vice President, General Counsel and Secretary

 

 

 

 

 

 

 

Elizabeth Belanger

 

(6)

 

Assistant Vice President

 

N/A

 

 

 

 

 

 

 

Kyle A. Keelan

 

(4)

 

Assistant Vice President

 

N/A

 

 

 

 

 

 

 

John Fischer

 

(4)

 

Assistant Vice President

 

N/A

 

 

 

 

 

 

 

Clifton W. Flenniken, III

 

(5)

 

Assistant Vice President

 

N/A

 

 

 

 

 

 

 

Margaret A. Cullem-Fiore

 

(4)

 

Assistant Vice President

 

Assistant Secretary

 

 

 

 

 

 

 

Christy Post-Rissin

 

(4)

 

Assistant Vice President

 

N/A

 

 

 

 

 

 

 

Brenda L. Smith

 

(4)

 

Assistant Vice President

 

N/A

 

 

 

 

 

 

 

Darin D. Smith

 

(1)

 

Assistant Vice President

 

N/A

 

 

 

 

 

 

 

Arthur D. Woods

 

(4)

 

Assistant Vice President

 

N/A

 

 

 

 

 

 

 

Tamara D. Barkdoll

 

(2)

 

Assistant Secretary

 

N/A

 

 

 

 

 

 

 

Erin K. Burke

 

(1)

 

Assistant Secretary

 

N/A


 

 

 

(1) 4333 Edgewood Road, N.E., Cedar Rapids, IA 52499-0001

 

(2) 4600 South Syracuse Street, Suite 1100, Denver, CO 80237

 

(3) 400 West Market Street, Louisville, KY 40237

 

(4) 570 Carillon Parkway, St. Petersburg, FL 33716-1202

 

(5) 1111 North Charles Street, Baltimore, MD 21201

 

(6) 440 Mamaroneck Avenue, Harrison, NY 10528

Item 33 Location of Accounts and Records

The accounts, books and other documents required to be maintained by Section 31(a) of the 1940 Act and the rules promulgated thereunder are maintained as follows:

 

 

(a)

Shareholder records are maintained by the Registrant’s transfer agent, Transamerica Fund Services, Inc., 570 Carillon Parkway, St. Petersburg, FL 33716.

(b)

All other accounting records of the Registrant are maintained at the offices of the Registrant at 570 Carillon Parkway, St. Petersburg, Florida 33716 and are in the physical possession of the officers of the Fund, or at the offices of the Custodian: State Street Bank and Trust Company, 225 Franklin Street, Boston, MA 02110.

Item 34 Management Services

The Registrant has no management-related service contract that is not discussed in Part I of this form. See the section of the Prospectus entitled “Investment Advisory and Other Services” for a discussion of the management and advisory services furnished by AllianceBernstein; AQR; AUIM; BlackRock; BNY Mellon; Clarion; Federated; First Quadrant; GSAM; Jennison; JPMorgan; Loomis; MFS; Morningstar; MSIM; Neuberger; Oppenheimer; PIMCO; Schroders; TAM; TFS; Third Avenue; TIM; Thornburg, UBS; and Wellington Management, pursuant to the Investment Advisory Agreements, the Sub-Advisory Agreements, the Administrative Services Agreement and the Underwriting Agreement.

Item 35 Undertakings

          Not applicable

39


SIGNATURES

          Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant certifies that it meets all of the requirements for effectiveness of this Registration Statement pursuant to Rule 485(b) under the Securities Act of 1933; and Transamerica Funds has duly caused this Post-Effective Amendment No. 112 to its Registration Statement to be signed on its behalf by the undersigned, thereunder duly authorized, in the City of St. Petersburg, State of Florida, on the 13th day of September, 2010.

 

 

 

 

 

TRANSAMERICA FUNDS

 

 

 

 

 

By:

/s/ John K. Carter

 

 

 


 

 

 

John K. Carter

 

 

 

President and Chief Executive Officer

 

          Pursuant to the requirements of the Securities Act of 1933, this Post-Effective Amendment No. 112 to its Registration Statement has been signed below by the following persons in the capacities and on the dates indicated:

 

 

 

 

 

 

/s/ John K. Carter

 

Chairperson, Trustee, President and Chief Executive Officer

 

September 13, 2010


 

 

 

 

John K. Carter

 

 

 

 

 

 

 

 

 

/s/ Sandra N. Bane

 

Trustee

 

September 13, 2010


 

 

 

 

Sandra N. Bane*

 

 

 

 

 

 

 

 

 

/s/ Leo J. Hill

 

Trustee

 

September 13, 2010


 

 

 

 

Leo J. Hill*

 

 

 

 

 

 

 

 

 

/s/ David W. Jennings

 

Trustee

 

September 13, 2010


 

 

 

 

David W. Jennings*

 

 

 

 

 

 

 

 

 

/s/ Russell A. Kimball, Jr.

 

Trustee

 

September 13, 2010


 

 

 

 

Russell A. Kimball, Jr.*

 

 

 

 

 

 

 

 

 

/s/ Eugene M. Mannella

 

Trustee

 

September 13, 2010


 

 

 

 

Eugene M. Mannella*

 

 

 

 

 

 

 

 

 

/s/ Norman R. Nielsen

 

Trustee

 

September 13, 2010


 

 

 

 

Norman R. Nielsen*

 

 

 

 

 

 

 

 

 

/s/ Joyce G. Norden

 

Trustee

 

September 13, 2010


 

 

 

 

Joyce G. Norden*

 

 

 

 

 

 

 

 

 

/s/ Patricia Sawyer

 

Trustee

 

September 13, 2010


 

 

 

 

Patricia Sawyer*

 

 

 

 

 

 

 

 

 

/s/ John W. Waechter

 

Trustee

 

September 13, 2010


 

 

 

 

John W. Waechter*

 

 

 

 

 

 

 

 

 

/s/ Robert A. DeVault, Jr.

 

Vice President, Treasurer and Principal Financial Officer

 

September 13, 2010


 

 

 

 

Robert A. DeVault, Jr.

 

 

 

 

 

 

 

 

 

/s/ Dennis P. Gallagher

 

 

 

September 13, 2010


 

 

 

 

* By:

Dennis P. Gallagher

 

 

 

 

 

Dennis P. Gallagher**

 

 

 

 

 

 

 

 

 

 

**

Attorney-in-fact pursuant to powers of attorney previously filed.

40



 

WASHINGTON, D.C. 20549
SECURITIES AND EXCHANGE COMMISSION

 

Exhibits Filed With
Post-Effective Amendment No. 112 to
Registration Statement on
Form N-1A

 

Transamerica Funds
Registration No
. 033-02659


 

 

EXHIBIT INDEX

 

 

Exhibit Number

Description of Exhibit



 

 

Not Applicable

 

41