AMERITAS INVESTMENT CORP

http://linkedin.com/company/ameritas LINCOLN, NE Broker-Dealer Investment Advisor How do I update this listing?

Ameritas Investment Corp is based out of Lincoln. Ameritas Investment Corp is a large advisory firm with 13986 clients and discretionary assets under management (AUM) of $1,099,039,001 (Form ADV from 2019-09-26). Their last reported 13F filing for Q3 2019 included $498,503,000 in managed 13F securities and a top 10 holdings concentration of 29.14%. Ameritas Investment Corp's largest holding is Vanguard High Dividend Yield ETF with shares held of 288,007. Whalewisdom has at least 4 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $498.503 Million
  • Prior Market Value $210.854 Million
  • New Purchases1459 stocks
  • Additional Purchases169 stocks
  • Sold out of5 stocks
  • Reduced holdings in47 stocks
  • Top 10 Holdings % 29.14 %
  • Turnover % [1]:87.30%
  • Turnover Alt % [2]: 66.95 %
  • Time Held Top20:0.65 quarters
  • Time Held Top10:0.50 quarters
  • Time Held All:1.20 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 7.83%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

AMERITAS INVESTMENT CORP
5900 "O" STREET
LINCOLN NE    68510
Country: United States

Business Phone: 800-335-9858
Fax: 402-467-7726
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: NE
Number of employees: 626
Other Business Activities: broker-dealer,insurance broker or agent,registered municipal advisor
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,Performance-based fees,SOLICITOR FEES
Amount of client funds and securities: 3,491,950,000
Total Number of Clients: 13986
Amount of client funds and securities by related persons: 3,487,950,000
Total Number of clients from related persons: 9728
Disclosures: 11.C (1),11.C (2),11.C (4),11.C (5),11.D (1),11.D (2),11.D (4),11.D (5),11.E (2),11.E (4),11.H (1).(a),11.H (1).(b)
Data above was derived from SEC filings.

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AMERITAS INVESTMENT CORP

ownership team - last updated 2019-09-26
Name Title Start Date Direct/Indirect % Ownership
LESTER, WILLIAM WALLACE DIRECTOR 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUMMIT INVESTMENT ADVISORS, INC. DIRECTOR & CHAIRMAN direct 2006-12-01
SUMMIT INVESTMENT PARTNERS, INC. DIRECTOR, PRESIDENT AND CEO direct 2008-11-01
AMERITAS INVESTMENT CORP DIRECTOR direct 2015-05-01
CALVERT INVESTMENT MANAGEMENT, INC. DIRECTOR AND CHAIRMAN direct 2016-12-01
AMERITAS INVESTMENT CORP TREASURER direct 1999-05-01 2004-03-26
AMERITAS INVESTMENT ADVISORS INC PRESIDENT AND CEO, DIRECTOR direct 1999-05-01 2005-09-06
AMERITAS INVESTMENT ADVISORS INC DIRECTOR, PRESIDENT, CEO AND TREASURER direct 1999-05-01 2006-06-30
SUMMIT INVESTMENT PARTNERS, INC. DIRECTOR direct 2007-11-01 2008-03-27
AMERITAS INVESTMENT CORP DIRECTOR, TREASURER direct 2004-04-01 2009-11-04
AMERITAS INVESTMENT CORP DIRECTOR, CHAIRMAN/TREASURER direct 2004-04-01 2010-06-10
SUMMIT INVESTMENT ADVISORS, INC. DIRECTOR, CHAIRMAN, PRESIDENT, & CHIEF EXECUTIVE OFFICER direct 2006-12-01 2012-03-27
AMERITAS INVESTMENT CORP DIRECTOR, CHAIRMAN direct 2004-04-01 2015-04-27
SHERFFIUS, MARIA ELIZABETH VICE PRESIDENT - COMPLIANCE OFFICER 07/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP ASSISTANT VICE PRESIDENT/COMPLIANCE OFFICER AIC/AIA direct 2002-05-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - CHIEF COMPLIANCE OFFICER direct 2003-09-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - COMPLIANCE OFFICER direct 2006-07-01
AMERITAS INVESTMENT ADVISORS INC ASSISTANT VICE PRESIDENT/COMPLIANCE OFFICER AIC/AIA direct 2002-05-01
AMERITAS INVESTMENT ADVISORS INC ASSISTANT VICE PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2002-05-01
CADWELL, DEIDRE DAWN VICE PRESIDENT - OPERATIONS 09/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP SENIOR REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL direct 2003-01-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - OPERATIONS direct 2003-09-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - OPERATIONS (SROP/CROP) direct 2003-09-01
GROSSER, CONNIE SUE VICE PRESIDENT - WEALTH MANAGEMENT & INVESTMENT SERVICES 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARILLON INVESTMENTS, INC. VICE PRESIDENT, SROP, FINOP PRINCIPAL, MUNI PRINCIPAL, TREASURER direct 2000-02-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - RISK & ANALYTICS direct 2006-07-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - REPORTING AND CONTROL direct 2006-07-01 2010-06-10
AMERITAS INVESTMENT CORP VICE PRESIDENT - BEST PRACTICES direct 2006-07-01 2013-03-28
AMERITAS INVESTMENT CORP VICE PRESIDENT - RISK & ANALYTICS AND FINANCIAL OPERATIONS PRINCIPAL direct 2006-07-01 2016-11-11
AMERITAS LIFE INSURANCE CORP. BENEFICIAL OWNER 10/01/2006 Direct 75% or more
Fund Name Position direct/indirect start date end date
THE ADVISORS GROUP, INC. MAJORITY OWNER OF AMAL CORPORATION indirect 2002-05-01
AMERITAS INVESTMENT CORP BENEFICIAL OWNER direct 2006-10-01
SUMMIT INVESTMENT PARTNERS, INC. OWNER indirect 2009-04-01
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2010-06-01
AMERITAS INVESTMENT CORP BEN. OWNER indirect 1996-04-01 2006-07-10
AMERITAS INVESTMENT ADVISORS INC OWNER direct 1984-09-01 2007-03-29
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2010-06-01 2014-03-21
SANDS, ROBERT JOHN HAMILTON CORPORATE SECRETARY 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE ADVISORS GROUP, INC. DIRECTOR direct 1988-08-01
AMERITAS INVESTMENT CORP CORPORATE SECRETARY direct 2011-01-01
CALVERT ASSET MANAGEMENT CO INC DIRECTOR direct 1998-10-01 2015-03-31
FARMEN, SCOTT RAYMOND AML COMPLIANCE OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP AML COMPLIANCE OFFICER direct 2014-07-01
BEASLEY, RYAN CHARLES PRESIDENT, CHAIRMAN 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP DIRECTOR direct 2017-01-01
HERBERT, GERALD QUINTIN VICE PRESIDENT PRINCIPAL FINANCIAL OFFICER 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP VICE PRESIDENT CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL direct 2017-01-01
SUMMIT INVESTMENT PARTNERS, INC. CONTROLLER direct 2005-11-01
SUMMIT INVESTMENT PARTNERS, INC. TREASURER (03/2006) direct 2005-11-01
SUMMIT INVESTMENT PARTNERS, INC. CONTROLLER AND TREASURER (03/2006) direct 2005-11-01
SUMMIT INVESTMENT ADVISORS, INC. TREASURER direct 2007-07-01
AMERITAS INVESTMENT PARTNERS, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER & TREASURER direct 2010-04-01
SUMMIT INVESTMENT ADVISORS, INC. VICE PRESIDENT & TREASURER direct 2010-04-01
KORTE, BRENT FRAZIER DIRECTOR 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP DIRECTOR direct 2017-04-01
CLEMENTS, JAMES EDMOND VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & RISK MANAGEMENT 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PARK AVENUE SECURITIES LLC VICE PRESIDENT INVESTMENT ADVISORY SERVICES direct 2000-11-01 2004-01-27
PARK AVENUE SECURITIES LLC SENIOR VICE PRESIDENT INVESTMENT ADVISORY SERVICES direct 2004-03-01 2007-10-25
EQUITY SERVICES, INC. SR. VP, BUSINESS DEVELOPMENT direct 2009-06-01 2010-08-03
JANSEN, HEATHER JILL SR VICE PRESIDENT OPERATIONS 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP VICE PRESIDENT, RETAIL SALES direct 2014-01-01
AMERITAS INVESTMENT CORP VP AIC RETAIL SALES MANAGER direct 2014-01-01
QA3 FINANCIAL LLC VP - TREASURER direct 2010-01-01
AMERITAS MUTUAL HOLDING COMPANY OWNER AMERITAS HOLDING COMPANY 01/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP OWNER indirect 1999-01-01
AMERITAS INVESTMENT ADVISORS INC OWNER indirect 1999-01-01
THE ADVISORS GROUP, INC. OWNER OF AMERITAS HOLDING COMPANY indirect 1999-01-01
SUMMIT INVESTMENT PARTNERS, INC. OWNER indirect 2006-01-01
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2006-01-01
SUMMIT INVESTMENT PARTNERS LLC OWNER indirect 2006-01-01
CARILLON INVESTMENTS, INC. OWNER indirect 2006-01-01
THE ADVISORS GROUP, INC. SHAREHOLDER/ HOLDING COMPANY indirect 1999-01-01 2002-03-22
CALVERT ASSET MANAGEMENT COMPANY, INC. SHAREHOLDER indirect 2006-01-01 2011-05-10
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2006-01-01 2012-04-19
AMERITAS HOLDING COMPANY OWNER AMERITAS LIFE INSURANCE CORP. 01/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP OWNER indirect 1999-01-01
THE ADVISORS GROUP, INC. OWNER OF AMERITAS LIFE INSURANCE CORP indirect 2002-05-01
SUMMIT INVESTMENT PARTNERS LLC OWNER indirect 2006-01-01
CARILLON INVESTMENTS, INC. OWNER indirect 2006-01-01
SUMMIT INVESTMENT PARTNERS, INC. OWNER indirect 2006-01-01
SUMMIT INVESTMENT ADVISORS, INC. OWNER direct 2007-07-01
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2010-06-01
THE ADVISORS GROUP, INC. SHAREHOLDER/ HOLDING COMPANY indirect 1999-01-01 2002-03-22
THE ADVISORS GROUP, INC. OWNER OF ACACIA LIFE INSURANCE COMPANY indirect 1999-01-01 2002-06-10
AMERITAS INVESTMENT ADVISORS INC OWNER indirect 1999-01-01 2007-03-29
SUMMIT INVESTMENT PARTNERS, INC. OWNER indirect 2006-01-01 2009-06-25

AMERITAS INVESTMENT CORP

ownership team - last updated 2019-05-28
Name Title Start Date Direct/Indirect % Ownership
LESTER, WILLIAM WALLACE CHAIRMAN 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUMMIT INVESTMENT ADVISORS, INC. DIRECTOR & CHAIRMAN direct 2006-12-01
SUMMIT INVESTMENT PARTNERS, INC. DIRECTOR, PRESIDENT AND CEO direct 2008-11-01
AMERITAS INVESTMENT CORP DIRECTOR direct 2015-05-01
CALVERT INVESTMENT MANAGEMENT, INC. DIRECTOR AND CHAIRMAN direct 2016-12-01
AMERITAS INVESTMENT CORP TREASURER direct 1999-05-01 2004-03-26
AMERITAS INVESTMENT ADVISORS INC PRESIDENT AND CEO, DIRECTOR direct 1999-05-01 2005-09-06
AMERITAS INVESTMENT ADVISORS INC DIRECTOR, PRESIDENT, CEO AND TREASURER direct 1999-05-01 2006-06-30
SUMMIT INVESTMENT PARTNERS, INC. DIRECTOR direct 2007-11-01 2008-03-27
AMERITAS INVESTMENT CORP DIRECTOR, TREASURER direct 2004-04-01 2009-11-04
AMERITAS INVESTMENT CORP DIRECTOR, CHAIRMAN/TREASURER direct 2004-04-01 2010-06-10
SUMMIT INVESTMENT ADVISORS, INC. DIRECTOR, CHAIRMAN, PRESIDENT, & CHIEF EXECUTIVE OFFICER direct 2006-12-01 2012-03-27
AMERITAS INVESTMENT CORP DIRECTOR, CHAIRMAN direct 2004-04-01 2015-04-27
SHERFFIUS, MARIA ELIZABETH VICE PRESIDENT - COMPLIANCE OFFICER 07/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP ASSISTANT VICE PRESIDENT/COMPLIANCE OFFICER AIC/AIA direct 2002-05-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - CHIEF COMPLIANCE OFFICER direct 2003-09-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - COMPLIANCE OFFICER direct 2006-07-01
AMERITAS INVESTMENT ADVISORS INC ASSISTANT VICE PRESIDENT/COMPLIANCE OFFICER AIC/AIA direct 2002-05-01
AMERITAS INVESTMENT ADVISORS INC ASSISTANT VICE PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2002-05-01
CADWELL, DEIDRE DAWN VICE PRESIDENT - OPERATIONS 09/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP SENIOR REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL direct 2003-01-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - OPERATIONS direct 2003-09-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - OPERATIONS (SROP/CROP) direct 2003-09-01
GROSSER, CONNIE SUE VICE PRESIDENT - WEALTH MANAGEMENT & INVESTMENT SERVICES 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARILLON INVESTMENTS, INC. VICE PRESIDENT, SROP, FINOP PRINCIPAL, MUNI PRINCIPAL, TREASURER direct 2000-02-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - RISK & ANALYTICS direct 2006-07-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - REPORTING AND CONTROL direct 2006-07-01 2010-06-10
AMERITAS INVESTMENT CORP VICE PRESIDENT - BEST PRACTICES direct 2006-07-01 2013-03-28
AMERITAS INVESTMENT CORP VICE PRESIDENT - RISK & ANALYTICS AND FINANCIAL OPERATIONS PRINCIPAL direct 2006-07-01 2016-11-11
AMERITAS LIFE INSURANCE CORP. BENEFICIAL OWNER 10/01/2006 Direct 75% or more
Fund Name Position direct/indirect start date end date
THE ADVISORS GROUP, INC. MAJORITY OWNER OF AMAL CORPORATION indirect 2002-05-01
AMERITAS INVESTMENT CORP BENEFICIAL OWNER direct 2006-10-01
SUMMIT INVESTMENT PARTNERS, INC. OWNER indirect 2009-04-01
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2010-06-01
AMERITAS INVESTMENT CORP BEN. OWNER indirect 1996-04-01 2006-07-10
AMERITAS INVESTMENT ADVISORS INC OWNER direct 1984-09-01 2007-03-29
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2010-06-01 2014-03-21
SANDS, ROBERT JOHN HAMILTON CORPORATE SECRETARY 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE ADVISORS GROUP, INC. DIRECTOR direct 1988-08-01
AMERITAS INVESTMENT CORP CORPORATE SECRETARY direct 2011-01-01
CALVERT ASSET MANAGEMENT CO INC DIRECTOR direct 1998-10-01 2015-03-31
FARMEN, SCOTT RAYMOND AML COMPLIANCE OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP AML COMPLIANCE OFFICER direct 2014-07-01
BEASLEY, RYAN CHARLES PRESIDENT 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP DIRECTOR direct 2017-01-01
HERBERT, GERALD QUINTIN VICE PRESIDENT PRINCIPAL FINANCIAL OFFICER 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP VICE PRESIDENT CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL direct 2017-01-01
SUMMIT INVESTMENT PARTNERS, INC. CONTROLLER direct 2005-11-01
SUMMIT INVESTMENT PARTNERS, INC. TREASURER (03/2006) direct 2005-11-01
SUMMIT INVESTMENT PARTNERS, INC. CONTROLLER AND TREASURER (03/2006) direct 2005-11-01
SUMMIT INVESTMENT ADVISORS, INC. TREASURER direct 2007-07-01
AMERITAS INVESTMENT PARTNERS, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER & TREASURER direct 2010-04-01
SUMMIT INVESTMENT ADVISORS, INC. VICE PRESIDENT & TREASURER direct 2010-04-01
KORTE, BRENT FRAZIER DIRECTOR 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP DIRECTOR direct 2017-04-01
CLEMENTS, JAMES EDMOND VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & RISK MANAGEMENT 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PARK AVENUE SECURITIES LLC VICE PRESIDENT INVESTMENT ADVISORY SERVICES direct 2000-11-01 2004-01-27
PARK AVENUE SECURITIES LLC SENIOR VICE PRESIDENT INVESTMENT ADVISORY SERVICES direct 2004-03-01 2007-10-25
EQUITY SERVICES, INC. SR. VP, BUSINESS DEVELOPMENT direct 2009-06-01 2010-08-03
AMERITAS MUTUAL HOLDING COMPANY OWNER AMERITAS HOLDING COMPANY 01/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP OWNER indirect 1999-01-01
AMERITAS INVESTMENT ADVISORS INC OWNER indirect 1999-01-01
THE ADVISORS GROUP, INC. OWNER OF AMERITAS HOLDING COMPANY indirect 1999-01-01
SUMMIT INVESTMENT PARTNERS, INC. OWNER indirect 2006-01-01
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2006-01-01
SUMMIT INVESTMENT PARTNERS LLC OWNER indirect 2006-01-01
CARILLON INVESTMENTS, INC. OWNER indirect 2006-01-01
THE ADVISORS GROUP, INC. SHAREHOLDER/ HOLDING COMPANY indirect 1999-01-01 2002-03-22
CALVERT ASSET MANAGEMENT COMPANY, INC. SHAREHOLDER indirect 2006-01-01 2011-05-10
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2006-01-01 2012-04-19
AMERITAS HOLDING COMPANY OWNER AMERITAS LIFE INSURANCE CORP. 01/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP OWNER indirect 1999-01-01
THE ADVISORS GROUP, INC. OWNER OF AMERITAS LIFE INSURANCE CORP indirect 2002-05-01
SUMMIT INVESTMENT PARTNERS LLC OWNER indirect 2006-01-01
CARILLON INVESTMENTS, INC. OWNER indirect 2006-01-01
SUMMIT INVESTMENT PARTNERS, INC. OWNER indirect 2006-01-01
SUMMIT INVESTMENT ADVISORS, INC. OWNER direct 2007-07-01
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2010-06-01
THE ADVISORS GROUP, INC. SHAREHOLDER/ HOLDING COMPANY indirect 1999-01-01 2002-03-22
THE ADVISORS GROUP, INC. OWNER OF ACACIA LIFE INSURANCE COMPANY indirect 1999-01-01 2002-06-10
AMERITAS INVESTMENT ADVISORS INC OWNER indirect 1999-01-01 2007-03-29
SUMMIT INVESTMENT PARTNERS, INC. OWNER indirect 2006-01-01 2009-06-25

AMERITAS INVESTMENT CORP

ownership team - last updated 2019-03-30
Name Title Start Date Direct/Indirect % Ownership
LESTER, WILLIAM WALLACE CHAIRMAN 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUMMIT INVESTMENT ADVISORS, INC. DIRECTOR & CHAIRMAN direct 2006-12-01
SUMMIT INVESTMENT PARTNERS, INC. DIRECTOR, PRESIDENT AND CEO direct 2008-11-01
AMERITAS INVESTMENT CORP DIRECTOR direct 2015-05-01
CALVERT INVESTMENT MANAGEMENT, INC. DIRECTOR AND CHAIRMAN direct 2016-12-01
AMERITAS INVESTMENT CORP TREASURER direct 1999-05-01 2004-03-26
AMERITAS INVESTMENT ADVISORS INC PRESIDENT AND CEO, DIRECTOR direct 1999-05-01 2005-09-06
AMERITAS INVESTMENT ADVISORS INC DIRECTOR, PRESIDENT, CEO AND TREASURER direct 1999-05-01 2006-06-30
SUMMIT INVESTMENT PARTNERS, INC. DIRECTOR direct 2007-11-01 2008-03-27
AMERITAS INVESTMENT CORP DIRECTOR, TREASURER direct 2004-04-01 2009-11-04
AMERITAS INVESTMENT CORP DIRECTOR, CHAIRMAN/TREASURER direct 2004-04-01 2010-06-10
SUMMIT INVESTMENT ADVISORS, INC. DIRECTOR, CHAIRMAN, PRESIDENT, & CHIEF EXECUTIVE OFFICER direct 2006-12-01 2012-03-27
AMERITAS INVESTMENT CORP DIRECTOR, CHAIRMAN direct 2004-04-01 2015-04-27
SHERFFIUS, MARIA ELIZABETH VICE PRESIDENT - COMPLIANCE OFFICER 07/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP ASSISTANT VICE PRESIDENT/COMPLIANCE OFFICER AIC/AIA direct 2002-05-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - CHIEF COMPLIANCE OFFICER direct 2003-09-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - COMPLIANCE OFFICER direct 2006-07-01
AMERITAS INVESTMENT ADVISORS INC ASSISTANT VICE PRESIDENT/COMPLIANCE OFFICER AIC/AIA direct 2002-05-01
AMERITAS INVESTMENT ADVISORS INC ASSISTANT VICE PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2002-05-01
CADWELL, DEIDRE DAWN VICE PRESIDENT - OPERATIONS 09/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP SENIOR REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL direct 2003-01-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - OPERATIONS direct 2003-09-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - OPERATIONS (SROP/CROP) direct 2003-09-01
GROSSER, CONNIE SUE VICE PRESIDENT - WEALTH MANAGEMENT & INVESTMENT SERVICES 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARILLON INVESTMENTS, INC. VICE PRESIDENT, SROP, FINOP PRINCIPAL, MUNI PRINCIPAL, TREASURER direct 2000-02-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - RISK & ANALYTICS direct 2006-07-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - REPORTING AND CONTROL direct 2006-07-01 2010-06-10
AMERITAS INVESTMENT CORP VICE PRESIDENT - BEST PRACTICES direct 2006-07-01 2013-03-28
AMERITAS INVESTMENT CORP VICE PRESIDENT - RISK & ANALYTICS AND FINANCIAL OPERATIONS PRINCIPAL direct 2006-07-01 2016-11-11
AMERITAS LIFE INSURANCE CORP. BENEFICIAL OWNER 10/01/2006 Direct 75% or more
Fund Name Position direct/indirect start date end date
THE ADVISORS GROUP, INC. MAJORITY OWNER OF AMAL CORPORATION indirect 2002-05-01
AMERITAS INVESTMENT CORP BENEFICIAL OWNER direct 2006-10-01
SUMMIT INVESTMENT PARTNERS, INC. OWNER indirect 2009-04-01
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2010-06-01
AMERITAS INVESTMENT CORP BEN. OWNER indirect 1996-04-01 2006-07-10
AMERITAS INVESTMENT ADVISORS INC OWNER direct 1984-09-01 2007-03-29
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2010-06-01 2014-03-21
SANDS, ROBERT JOHN HAMILTON CORPORATE SECRETARY 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE ADVISORS GROUP, INC. DIRECTOR direct 1988-08-01
AMERITAS INVESTMENT CORP CORPORATE SECRETARY direct 2011-01-01
CALVERT ASSET MANAGEMENT CO INC DIRECTOR direct 1998-10-01 2015-03-31
FARMEN, SCOTT RAYMOND AML COMPLIANCE OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP AML COMPLIANCE OFFICER direct 2014-07-01
BEASLEY, RYAN CHARLES PRESIDENT 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP DIRECTOR direct 2017-01-01
HERBERT, GERALD QUINTIN VICE PRESIDENT PRINCIPAL FINANCIAL OFFICER 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP VICE PRESIDENT CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL direct 2017-01-01
SUMMIT INVESTMENT PARTNERS, INC. CONTROLLER direct 2005-11-01
SUMMIT INVESTMENT PARTNERS, INC. TREASURER (03/2006) direct 2005-11-01
SUMMIT INVESTMENT PARTNERS, INC. CONTROLLER AND TREASURER (03/2006) direct 2005-11-01
SUMMIT INVESTMENT ADVISORS, INC. TREASURER direct 2007-07-01
AMERITAS INVESTMENT PARTNERS, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER & TREASURER direct 2010-04-01
SUMMIT INVESTMENT ADVISORS, INC. VICE PRESIDENT & TREASURER direct 2010-04-01
KORTE, BRENT FRAZIER DIRECTOR 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP DIRECTOR direct 2017-04-01
CLEMENTS, JAMES EDMOND VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & RISK MANAGEMENT 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PARK AVENUE SECURITIES LLC VICE PRESIDENT INVESTMENT ADVISORY SERVICES direct 2000-11-01 2004-01-27
PARK AVENUE SECURITIES LLC SENIOR VICE PRESIDENT INVESTMENT ADVISORY SERVICES direct 2004-03-01 2007-10-25
EQUITY SERVICES, INC. SR. VP, BUSINESS DEVELOPMENT direct 2009-06-01 2010-08-03
AMERITAS MUTUAL HOLDING COMPANY OWNER AMERITAS HOLDING COMPANY 01/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP OWNER indirect 1999-01-01
AMERITAS INVESTMENT ADVISORS INC OWNER indirect 1999-01-01
THE ADVISORS GROUP, INC. OWNER OF AMERITAS HOLDING COMPANY indirect 1999-01-01
SUMMIT INVESTMENT PARTNERS, INC. OWNER indirect 2006-01-01
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2006-01-01
SUMMIT INVESTMENT PARTNERS LLC OWNER indirect 2006-01-01
CARILLON INVESTMENTS, INC. OWNER indirect 2006-01-01
THE ADVISORS GROUP, INC. SHAREHOLDER/ HOLDING COMPANY indirect 1999-01-01 2002-03-22
CALVERT ASSET MANAGEMENT COMPANY, INC. SHAREHOLDER indirect 2006-01-01 2011-05-10
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2006-01-01 2012-04-19
AMERITAS HOLDING COMPANY OWNER AMERITAS LIFE INSURANCE CORP. 01/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP OWNER indirect 1999-01-01
THE ADVISORS GROUP, INC. OWNER OF AMERITAS LIFE INSURANCE CORP indirect 2002-05-01
SUMMIT INVESTMENT PARTNERS LLC OWNER indirect 2006-01-01
CARILLON INVESTMENTS, INC. OWNER indirect 2006-01-01
SUMMIT INVESTMENT PARTNERS, INC. OWNER indirect 2006-01-01
SUMMIT INVESTMENT ADVISORS, INC. OWNER direct 2007-07-01
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2010-06-01
THE ADVISORS GROUP, INC. SHAREHOLDER/ HOLDING COMPANY indirect 1999-01-01 2002-03-22
THE ADVISORS GROUP, INC. OWNER OF ACACIA LIFE INSURANCE COMPANY indirect 1999-01-01 2002-06-10
AMERITAS INVESTMENT ADVISORS INC OWNER indirect 1999-01-01 2007-03-29
SUMMIT INVESTMENT PARTNERS, INC. OWNER indirect 2006-01-01 2009-06-25

AMERITAS INVESTMENT CORP

ownership team - last updated 2018-12-19
Name Title Start Date Direct/Indirect % Ownership
LESTER, WILLIAM WALLACE CHAIRMAN 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUMMIT INVESTMENT ADVISORS, INC. DIRECTOR & CHAIRMAN direct 2006-12-01
SUMMIT INVESTMENT PARTNERS, INC. DIRECTOR, PRESIDENT AND CEO direct 2008-11-01
AMERITAS INVESTMENT CORP DIRECTOR direct 2015-05-01
CALVERT INVESTMENT MANAGEMENT, INC. DIRECTOR AND CHAIRMAN direct 2016-12-01
AMERITAS INVESTMENT CORP TREASURER direct 1999-05-01 2004-03-26
AMERITAS INVESTMENT ADVISORS INC PRESIDENT AND CEO, DIRECTOR direct 1999-05-01 2005-09-06
AMERITAS INVESTMENT ADVISORS INC DIRECTOR, PRESIDENT, CEO AND TREASURER direct 1999-05-01 2006-06-30
SUMMIT INVESTMENT PARTNERS, INC. DIRECTOR direct 2007-11-01 2008-03-27
AMERITAS INVESTMENT CORP DIRECTOR, TREASURER direct 2004-04-01 2009-11-04
AMERITAS INVESTMENT CORP DIRECTOR, CHAIRMAN/TREASURER direct 2004-04-01 2010-06-10
SUMMIT INVESTMENT ADVISORS, INC. DIRECTOR, CHAIRMAN, PRESIDENT, & CHIEF EXECUTIVE OFFICER direct 2006-12-01 2012-03-27
AMERITAS INVESTMENT CORP DIRECTOR, CHAIRMAN direct 2004-04-01 2015-04-27
SHERFFIUS, MARIA ELIZABETH VICE PRESIDENT - COMPLIANCE OFFICER 07/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP ASSISTANT VICE PRESIDENT/COMPLIANCE OFFICER AIC/AIA direct 2002-05-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - CHIEF COMPLIANCE OFFICER direct 2003-09-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - COMPLIANCE OFFICER direct 2006-07-01
AMERITAS INVESTMENT ADVISORS INC ASSISTANT VICE PRESIDENT/COMPLIANCE OFFICER AIC/AIA direct 2002-05-01
AMERITAS INVESTMENT ADVISORS INC ASSISTANT VICE PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2002-05-01
CADWELL, DEIDRE DAWN VICE PRESIDENT - OPERATIONS 09/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP SENIOR REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL direct 2003-01-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - OPERATIONS direct 2003-09-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - OPERATIONS (SROP/CROP) direct 2003-09-01
GROSSER, CONNIE SUE VICE PRESIDENT - WEALTH MANAGEMENT & INVESTMENT SERVICES 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARILLON INVESTMENTS, INC. VICE PRESIDENT, SROP, FINOP PRINCIPAL, MUNI PRINCIPAL, TREASURER direct 2000-02-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - RISK & ANALYTICS direct 2006-07-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - REPORTING AND CONTROL direct 2006-07-01 2010-06-10
AMERITAS INVESTMENT CORP VICE PRESIDENT - BEST PRACTICES direct 2006-07-01 2013-03-28
AMERITAS INVESTMENT CORP VICE PRESIDENT - RISK & ANALYTICS AND FINANCIAL OPERATIONS PRINCIPAL direct 2006-07-01 2016-11-11
AMERITAS LIFE INSURANCE CORP. BENEFICIAL OWNER 10/01/2006 Direct 75% or more
Fund Name Position direct/indirect start date end date
THE ADVISORS GROUP, INC. MAJORITY OWNER OF AMAL CORPORATION indirect 2002-05-01
AMERITAS INVESTMENT CORP BENEFICIAL OWNER direct 2006-10-01
SUMMIT INVESTMENT PARTNERS, INC. OWNER indirect 2009-04-01
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2010-06-01
AMERITAS INVESTMENT CORP BEN. OWNER indirect 1996-04-01 2006-07-10
AMERITAS INVESTMENT ADVISORS INC OWNER direct 1984-09-01 2007-03-29
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2010-06-01 2014-03-21
SANDS, ROBERT JOHN HAMILTON CORPORATE SECRETARY 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE ADVISORS GROUP, INC. DIRECTOR direct 1988-08-01
AMERITAS INVESTMENT CORP CORPORATE SECRETARY direct 2011-01-01
CALVERT ASSET MANAGEMENT CO INC DIRECTOR direct 1998-10-01 2015-03-31
FARMEN, SCOTT RAYMOND AML COMPLIANCE OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP AML COMPLIANCE OFFICER direct 2014-07-01
BEASLEY, RYAN CHARLES DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP DIRECTOR direct 2017-01-01
HERBERT, GERALD QUINTIN VICE PRESIDENT PRINCIPAL FINANCIAL OFFICER 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP VICE PRESIDENT CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL direct 2017-01-01
SUMMIT INVESTMENT PARTNERS, INC. CONTROLLER direct 2005-11-01
SUMMIT INVESTMENT PARTNERS, INC. TREASURER (03/2006) direct 2005-11-01
SUMMIT INVESTMENT PARTNERS, INC. CONTROLLER AND TREASURER (03/2006) direct 2005-11-01
SUMMIT INVESTMENT ADVISORS, INC. TREASURER direct 2007-07-01
AMERITAS INVESTMENT PARTNERS, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER & TREASURER direct 2010-04-01
SUMMIT INVESTMENT ADVISORS, INC. VICE PRESIDENT & TREASURER direct 2010-04-01
KORTE, BRENT FRAZIER DIRECTOR 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP DIRECTOR direct 2017-04-01
HEILMAN, CHERYL LYNN PRESIDENT 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE ADVISORS GROUP, INC. VICE PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2002-03-01
IFG ADVISORY SERVICES INC CORPORATE SECRETARY direct 2000-01-01 2002-03-06
AMERITAS INVESTMENT CORP VICE PRESIDENT - CHIEF ADMINISTRATION OFFICER direct 2003-09-01 2007-01-18
AMERITAS INVESTMENT CORP VICE PRESIDENT - CHIEF OPERATIONS OFFICER direct 2006-07-01 2008-03-28
AMERITAS INVESTMENT CORP VICE PRESIDENT - CHIEF OPERATING OFFICER direct 2006-07-01 2010-04-23
AMERITAS INVESTMENT CORP VICE PRESIDENT - CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER direct 2006-07-01 2010-06-10
AMERITAS INVESTMENT CORP SENIOR VICE PRESIDENT - CHIEF COMPLIANCE OFFICER AND RISK MANAGEMENT direct 2011-03-01 2012-03-30
CLEMENTS, JAMES EDMOND VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & RISK MANAGEMENT 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PARK AVENUE SECURITIES LLC VICE PRESIDENT INVESTMENT ADVISORY SERVICES direct 2000-11-01 2004-01-27
PARK AVENUE SECURITIES LLC SENIOR VICE PRESIDENT INVESTMENT ADVISORY SERVICES direct 2004-03-01 2007-10-25
EQUITY SERVICES, INC. SR. VP, BUSINESS DEVELOPMENT direct 2009-06-01 2010-08-03
AMERITAS MUTUAL HOLDING COMPANY OWNER AMERITAS HOLDING COMPANY 01/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP OWNER indirect 1999-01-01
AMERITAS INVESTMENT ADVISORS INC OWNER indirect 1999-01-01
THE ADVISORS GROUP, INC. OWNER OF AMERITAS HOLDING COMPANY indirect 1999-01-01
SUMMIT INVESTMENT PARTNERS, INC. OWNER indirect 2006-01-01
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2006-01-01
SUMMIT INVESTMENT PARTNERS LLC OWNER indirect 2006-01-01
CARILLON INVESTMENTS, INC. OWNER indirect 2006-01-01
THE ADVISORS GROUP, INC. SHAREHOLDER/ HOLDING COMPANY indirect 1999-01-01 2002-03-22
CALVERT ASSET MANAGEMENT COMPANY, INC. SHAREHOLDER indirect 2006-01-01 2011-05-10
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2006-01-01 2012-04-19
AMERITAS HOLDING COMPANY OWNER AMERITAS LIFE INSURANCE CORP. 01/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP OWNER indirect 1999-01-01
THE ADVISORS GROUP, INC. OWNER OF AMERITAS LIFE INSURANCE CORP indirect 2002-05-01
SUMMIT INVESTMENT PARTNERS LLC OWNER indirect 2006-01-01
CARILLON INVESTMENTS, INC. OWNER indirect 2006-01-01
SUMMIT INVESTMENT PARTNERS, INC. OWNER indirect 2006-01-01
SUMMIT INVESTMENT ADVISORS, INC. OWNER direct 2007-07-01
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2010-06-01
THE ADVISORS GROUP, INC. SHAREHOLDER/ HOLDING COMPANY indirect 1999-01-01 2002-03-22
THE ADVISORS GROUP, INC. OWNER OF ACACIA LIFE INSURANCE COMPANY indirect 1999-01-01 2002-06-10
AMERITAS INVESTMENT ADVISORS INC OWNER indirect 1999-01-01 2007-03-29
SUMMIT INVESTMENT PARTNERS, INC. OWNER indirect 2006-01-01 2009-06-25

AMERITAS INVESTMENT CORP

ownership team - last updated 2017-12-06
Name Title Start Date Direct/Indirect % Ownership
LESTER, WILLIAM WALLACE DIRECTOR 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUMMIT INVESTMENT ADVISORS, INC. DIRECTOR & CHAIRMAN direct 2006-12-01
SUMMIT INVESTMENT PARTNERS, INC. DIRECTOR, PRESIDENT AND CEO direct 2008-11-01
AMERITAS INVESTMENT CORP DIRECTOR direct 2015-05-01
CALVERT INVESTMENT MANAGEMENT, INC. DIRECTOR AND CHAIRMAN direct 2016-12-01
AMERITAS INVESTMENT CORP TREASURER direct 1999-05-01 2004-03-26
AMERITAS INVESTMENT ADVISORS INC PRESIDENT AND CEO, DIRECTOR direct 1999-05-01 2005-09-06
AMERITAS INVESTMENT ADVISORS INC DIRECTOR, PRESIDENT, CEO AND TREASURER direct 1999-05-01 2006-06-30
SUMMIT INVESTMENT PARTNERS, INC. DIRECTOR direct 2007-11-01 2008-03-27
AMERITAS INVESTMENT CORP DIRECTOR, TREASURER direct 2004-04-01 2009-11-04
AMERITAS INVESTMENT CORP DIRECTOR, CHAIRMAN/TREASURER direct 2004-04-01 2010-06-10
SUMMIT INVESTMENT ADVISORS, INC. DIRECTOR, CHAIRMAN, PRESIDENT, & CHIEF EXECUTIVE OFFICER direct 2006-12-01 2012-03-27
AMERITAS INVESTMENT CORP DIRECTOR, CHAIRMAN direct 2004-04-01 2015-04-27
SHERFFIUS, MARIA ELIZABETH VICE PRESIDENT - COMPLIANCE OFFICER 07/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP ASSISTANT VICE PRESIDENT/COMPLIANCE OFFICER AIC/AIA direct 2002-05-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - CHIEF COMPLIANCE OFFICER direct 2003-09-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - COMPLIANCE OFFICER direct 2006-07-01
AMERITAS INVESTMENT ADVISORS INC ASSISTANT VICE PRESIDENT/COMPLIANCE OFFICER AIC/AIA direct 2002-05-01
AMERITAS INVESTMENT ADVISORS INC ASSISTANT VICE PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2002-05-01
CADWELL, DEIDRE DAWN VICE PRESIDENT - OPERATIONS 09/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP SENIOR REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL direct 2003-01-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - OPERATIONS direct 2003-09-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - OPERATIONS (SROP/CROP) direct 2003-09-01
GROSSER, CONNIE SUE VICE PRESIDENT - RISK & ANALYTICS 07/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARILLON INVESTMENTS, INC. VICE PRESIDENT, SROP, FINOP PRINCIPAL, MUNI PRINCIPAL, TREASURER direct 2000-02-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - RISK & ANALYTICS direct 2006-07-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - REPORTING AND CONTROL direct 2006-07-01 2010-06-10
AMERITAS INVESTMENT CORP VICE PRESIDENT - BEST PRACTICES direct 2006-07-01 2013-03-28
AMERITAS INVESTMENT CORP VICE PRESIDENT - RISK & ANALYTICS AND FINANCIAL OPERATIONS PRINCIPAL direct 2006-07-01 2016-11-11
AMERITAS LIFE INSURANCE CORP. BENEFICIAL OWNER 10/01/2006 Direct 75% or more
Fund Name Position direct/indirect start date end date
THE ADVISORS GROUP, INC. MAJORITY OWNER OF AMAL CORPORATION indirect 2002-05-01
AMERITAS INVESTMENT CORP BENEFICIAL OWNER direct 2006-10-01
SUMMIT INVESTMENT PARTNERS, INC. OWNER indirect 2009-04-01
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2010-06-01
AMERITAS INVESTMENT CORP BEN. OWNER indirect 1996-04-01 2006-07-10
AMERITAS INVESTMENT ADVISORS INC OWNER direct 1984-09-01 2007-03-29
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2010-06-01 2014-03-21
WILLIAMS, DAVID MICHAEL VICE PRESIDENT - ASSOCIATE GENERAL COUNSEL, ASSISTANT SECRETARY 03/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP VICE PRESIDENT, ASSOICATE GENERAL COUNCIL direct 2009-03-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - ASSOCIATE GENERAL COUNSEL, ASSISTANT SECRETARY direct 2009-03-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - ASSOCIATE GENERAL COUNCEL, ASSISTANT SECRETARY direct 2009-03-01
AMERITAS INVESTMENT CORP VICE PRESIDENT - ASSOCIATE GENERAL COUNCIL, ASSISTANT SECRETARY direct 2009-03-01
SANDS, ROBERT JOHN HAMILTON CORPORATE SECRETARY 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE ADVISORS GROUP, INC. DIRECTOR direct 1988-08-01
AMERITAS INVESTMENT CORP CORPORATE SECRETARY direct 2011-01-01
CALVERT ASSET MANAGEMENT CO INC DIRECTOR direct 1998-10-01 2015-03-31
BEASLEY, RYAN CHARLES DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP DIRECTOR direct 2017-01-01
WILTON, DARLA GAREE VICE PRESIDENT CHIEF ADMINISTRATION OFFICER 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP VICE PRESIDENT CHIEF ADMINISTRATION OFFICER direct 2013-06-01
VALIC FINANCIAL ADVISORS, INC. VP-OPERATIONS direct 2004-05-01
AIG RETIREMENT ADVISORS, INC. VP - FIELD DEVELOPMENT direct 2005-02-01
WFG ADVISORS, LP DIRECTOR/MANAGER OF ADVISOR SERVICES direct 2008-09-01
WFG ADVISORS, LP DIRECTOR OF ADVISOR SERVICES direct 2008-09-01
BURNS, MICHAEL DENNIS SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND RISK MANAGEMENT OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND RISK MANAGEMENT OFFICER direct 2014-06-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT , CHIEF COMPLIANCE OFFICER AND SECRETARY direct 2008-05-01
PRIMEVEST FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2008-05-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2008-05-01
BANCNORTH INVESTMENT GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2008-05-01
BANCNORTH INVESTMENT GROUP, INC. CHIEF COMPLIANCE OFFICER AND DIRECTOR direct 2008-05-01
USALLIANZ SECURITIES, INC. CHIEF COMPLIANCE OFFICER direct 2002-09-01
FARMEN, SCOTT RAYMOND AML COMPLIANCE OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP AML COMPLIANCE OFFICER direct 2014-07-01
HERBERT, GERALD QUINTIN VICE PRESIDENT CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP VICE PRESIDENT CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL direct 2017-01-01
SUMMIT INVESTMENT PARTNERS, INC. CONTROLLER direct 2005-11-01
SUMMIT INVESTMENT PARTNERS, INC. TREASURER (03/2006) direct 2005-11-01
SUMMIT INVESTMENT PARTNERS, INC. CONTROLLER AND TREASURER (03/2006) direct 2005-11-01
SUMMIT INVESTMENT ADVISORS, INC. TREASURER direct 2007-07-01
AMERITAS INVESTMENT PARTNERS, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER & TREASURER direct 2010-04-01
SUMMIT INVESTMENT ADVISORS, INC. VICE PRESIDENT & TREASURER direct 2010-04-01
KORTE, BRENT FRAZIER DIRECTOR 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP DIRECTOR direct 2017-04-01
HEILMAN, CHERYL LYNN PRESIDENT 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE ADVISORS GROUP, INC. VICE PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2002-03-01
IFG ADVISORY SERVICES INC CORPORATE SECRETARY direct 2000-01-01 2002-03-06
AMERITAS INVESTMENT CORP VICE PRESIDENT - CHIEF ADMINISTRATION OFFICER direct 2003-09-01 2007-01-18
AMERITAS INVESTMENT CORP VICE PRESIDENT - CHIEF OPERATIONS OFFICER direct 2006-07-01 2008-03-28
AMERITAS INVESTMENT CORP VICE PRESIDENT - CHIEF OPERATING OFFICER direct 2006-07-01 2010-04-23
AMERITAS INVESTMENT CORP VICE PRESIDENT - CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER direct 2006-07-01 2010-06-10
AMERITAS INVESTMENT CORP SENIOR VICE PRESIDENT - CHIEF COMPLIANCE OFFICER AND RISK MANAGEMENT direct 2011-03-01 2012-03-30
AMERITAS MUTUAL HOLDING COMPANY OWNER AMERITAS HOLDING COMPANY 01/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP OWNER indirect 1999-01-01
AMERITAS INVESTMENT ADVISORS INC OWNER indirect 1999-01-01
THE ADVISORS GROUP, INC. OWNER OF AMERITAS HOLDING COMPANY indirect 1999-01-01
SUMMIT INVESTMENT PARTNERS, INC. OWNER indirect 2006-01-01
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2006-01-01
SUMMIT INVESTMENT PARTNERS LLC OWNER indirect 2006-01-01
CARILLON INVESTMENTS, INC. OWNER indirect 2006-01-01
THE ADVISORS GROUP, INC. SHAREHOLDER/ HOLDING COMPANY indirect 1999-01-01 2002-03-22
CALVERT ASSET MANAGEMENT COMPANY, INC. SHAREHOLDER indirect 2006-01-01 2011-05-10
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2006-01-01 2012-04-19
AMERITAS HOLDING COMPANY OWNER AMERITAS LIFE INSURANCE CORP. 01/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AMERITAS INVESTMENT CORP OWNER indirect 1999-01-01
THE ADVISORS GROUP, INC. OWNER OF AMERITAS LIFE INSURANCE CORP indirect 2002-05-01
SUMMIT INVESTMENT PARTNERS LLC OWNER indirect 2006-01-01
CARILLON INVESTMENTS, INC. OWNER indirect 2006-01-01
SUMMIT INVESTMENT PARTNERS, INC. OWNER indirect 2006-01-01
SUMMIT INVESTMENT ADVISORS, INC. OWNER direct 2007-07-01
CALVERT INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 2010-06-01
THE ADVISORS GROUP, INC. SHAREHOLDER/ HOLDING COMPANY indirect 1999-01-01 2002-03-22
THE ADVISORS GROUP, INC. OWNER OF ACACIA LIFE INSURANCE COMPANY indirect 1999-01-01 2002-06-10
AMERITAS INVESTMENT ADVISORS INC OWNER indirect 1999-01-01 2007-03-29
SUMMIT INVESTMENT PARTNERS, INC. OWNER indirect 2006-01-01 2009-06-25

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