GOFEN & GLOSSBERG LLC

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Gofen & Glossberg is based out of Chicago. Gofen & Glossberg is a large advisory firm with 3218 clients and discretionary assets under management (AUM) of $4,707,207,466 (Form ADV from 2019-09-01). Their last reported 13F filing for Q3 2020 included $3,251,362,000 in managed 13F securities and a top 10 holdings concentration of 30.73%. Gofen & Glossberg's largest holding is Apple Inc with shares held of 1,611,592. Gofen & Glossberg has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 82 13F filings

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09/30/2020

13F Activity

  • Market Value $3.251 Billion
  • Prior Market Value $2.981 Billion
  • New Purchases36 stocks
  • Additional Purchases135 stocks
  • Sold out of7 stocks
  • Reduced holdings in175 stocks
  • Top 10 Holdings % 30.73 %
  • Turnover % [1]:8.92%
  • Turnover Alt % [2]: 1.91 %
  • Time Held Top20:23.65 quarters
  • Time Held Top10:21.80 quarters
  • Time Held All:27.81 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.

09/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-11-16

Performance for Q3 2020: 8.4%
Performance Last 4 Quarters: 9.62%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

GOFEN AND GLOSSBERG, L.L.C.
455 N. CITYFRONT PLAZA DR., SUITE 3200
CHICAGO IL    60611-5345
Country: United States

Business Phone: 312-828-1100
Fax: 312-828-9685
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 35
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities: 1,388,830,000
Total Number of Clients: 3218
Amount of client funds and securities by related persons: 316,140,000
Total Number of clients from related persons: 99
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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GOFEN AND GLOSSBERG, L.L.C.

ownership team - last updated 2020-07-02
Name Title Start Date Direct/Indirect % Ownership
GLOSSBERG, JOSEPH, BERKSON L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE V.P./MEMBER direct 1997-05-01 2002-03-21
GOODMAN, MARK, R. L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE V.P./TREASURER/SECRETARY/MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2009-03-23
BOROVSKY, JAMES, GORDON EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./ASST. TREASURER/MEMBER direct 1997-05-01 2002-03-21
SOBOL, DANIEL, JOHN L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./ASST. SECRETARY/MEMBER direct 1997-05-01 2002-03-21
MYERS, JOHN, WILLIAM L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./MEMBER direct 1997-05-01 2002-03-21
KUPFERBERG, PETER, BEHR EXECUTIVE COMMITTEE/L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE/L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2013-11-08
GOFEN, CHARLES, SAMUEL EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2007-03-28
BROWN, MARK L.L.C. MEMBER / GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER 09/01/2005 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER direct 2005-09-01
GOFEN AND GLOSSBERG, L.L.C. GENERAL COUNSEL direct 1999-07-01 2005-03-22
GOFEN AND GLOSSBERG, L.L.C. GENERAL COUNSEL/CCO direct 2005-09-01 2006-03-29
STELMACKI, MICHAEL, JOSEPH EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / RESEARCH DIRECTOR 06/01/2000 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / RESEARCH ANALYST direct 2000-06-01
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / RESEARCH DIRECTOR direct 2000-06-01
VREE, JONATHAN, TODD L.L.C. MEMBER/PORTFOLIO MANAGER 07/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/PORTFOLIO MANAGER direct 2009-07-01
BURKE, MARY, PATRICIA L.L.C. MEMBER/SENIOR RESEARCH ANALYST 07/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/SENIOR RESEARCH ANALYST direct 2009-07-01
Wang, Hongwu L.L.C. MEMBER/CHIEF INFORMATION OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/CHIEF INFORMATION OFFICER direct 2016-07-01
Frazin, Scott, Jarrett L.L.C. MEMBER/PORTFOLIO MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/PORTFOLIO MANAGER direct 2019-01-01
PTAK, JOHN, JOSEPH L.L.C. MEMBER/SENIOR RESEARCH ANALYST 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/SENIOR RESEARCH ANALYST direct 2019-01-01

GOFEN AND GLOSSBERG, L.L.C.

ownership team - last updated 2020-06-26
Name Title Start Date Direct/Indirect % Ownership
GLOSSBERG, JOSEPH, BERKSON L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE V.P./MEMBER direct 1997-05-01 2002-03-21
GOODMAN, MARK, R. L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE V.P./TREASURER/SECRETARY/MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2009-03-23
BOROVSKY, JAMES, GORDON EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./ASST. TREASURER/MEMBER direct 1997-05-01 2002-03-21
SOBOL, DANIEL, JOHN L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./ASST. SECRETARY/MEMBER direct 1997-05-01 2002-03-21
MYERS, JOHN, WILLIAM L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./MEMBER direct 1997-05-01 2002-03-21
KUPFERBERG, PETER, BEHR EXECUTIVE COMMITTEE/L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE/L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2013-11-08
GOFEN, CHARLES, SAMUEL EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2007-03-28
BURKE, MARY, PATRICIA L.L.C. MEMBER/SENIOR RESEARCH ANALYST 07/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/SENIOR RESEARCH ANALYST direct 2009-07-01
BROWN, MARK L.L.C. MEMBER / GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER 09/01/2005 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER direct 2005-09-01
GOFEN AND GLOSSBERG, L.L.C. GENERAL COUNSEL direct 1999-07-01 2005-03-22
GOFEN AND GLOSSBERG, L.L.C. GENERAL COUNSEL/CCO direct 2005-09-01 2006-03-29
STELMACKI, MICHAEL, JOSEPH EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / RESEARCH DIRECTOR 06/01/2000 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / RESEARCH ANALYST direct 2000-06-01
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / RESEARCH DIRECTOR direct 2000-06-01
VREE, JONATHAN, TODD L.L.C. MEMBER/PORTFOLIO MANAGER 07/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/PORTFOLIO MANAGER direct 2009-07-01
Wang, Hongwu L.L.C. MEMBER/CHIEF INFORMATION OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/CHIEF INFORMATION OFFICER direct 2016-07-01
Frazin, Scott, Jarrett L.L.C. MEMBER/PORTFOLIO MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/PORTFOLIO MANAGER direct 2019-01-01
PTAK, JOHN, JOSEPH L.L.C. MEMBER/SENIOR RESEARCH ANALYST 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/SENIOR RESEARCH ANALYST direct 2019-01-01

GOFEN AND GLOSSBERG, L.L.C.

ownership team - last updated 2020-03-02
Name Title Start Date Direct/Indirect % Ownership

GOFEN AND GLOSSBERG, L.L.C.

ownership team - last updated 2019-11-19
Name Title Start Date Direct/Indirect % Ownership
GOFEN, WILLIAM, HAROLD L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. PRESIDENT/MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2007-03-28
GLOSSBERG, JOSEPH, BERKSON L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE V.P./MEMBER direct 1997-05-01 2002-03-21
GOODMAN, MARK, R. L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE V.P./TREASURER/SECRETARY/MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2009-03-23
BOROVSKY, JAMES, GORDON EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./ASST. TREASURER/MEMBER direct 1997-05-01 2002-03-21
SOBOL, DANIEL, JOHN L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./ASST. SECRETARY/MEMBER direct 1997-05-01 2002-03-21
MYERS, JOHN, WILLIAM L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./MEMBER direct 1997-05-01 2002-03-21
KUPFERBERG, PETER, BEHR EXECUTIVE COMMITTEE/L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE/L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2013-11-08
GOFEN, CHARLES, SAMUEL EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2007-03-28
BROWN, MARK L.L.C. MEMBER / GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER 09/01/2005 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER direct 2005-09-01
GOFEN AND GLOSSBERG, L.L.C. GENERAL COUNSEL direct 1999-07-01 2005-03-22
GOFEN AND GLOSSBERG, L.L.C. GENERAL COUNSEL/CCO direct 2005-09-01 2006-03-29
STELMACKI, MICHAEL, JOSEPH EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / RESEARCH DIRECTOR 06/01/2000 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / RESEARCH ANALYST direct 2000-06-01
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / RESEARCH DIRECTOR direct 2000-06-01
VREE, JONATHAN, TODD L.L.C. MEMBER/PORTFOLIO MANAGER 07/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/PORTFOLIO MANAGER direct 2009-07-01
BURKE, MARY, PATRICIA L.L.C. MEMBER/SENIOR RESEARCH ANALYST 07/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/SENIOR RESEARCH ANALYST direct 2009-07-01
Wang, Hongwu L.L.C. MEMBER/CHIEF INFORMATION OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/CHIEF INFORMATION OFFICER direct 2016-07-01
Frazin, Scott, Jarrett L.L.C. MEMBER/PORTFOLIO MANAGER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/PORTFOLIO MANAGER direct 2019-01-01
PTAK, JOHN, JOSEPH L.L.C. MEMBER/SENIOR RESEARCH ANALYST 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/SENIOR RESEARCH ANALYST direct 2019-01-01

GOFEN AND GLOSSBERG, L.L.C.

ownership team - last updated 2019-09-10
Name Title Start Date Direct/Indirect % Ownership
GLOSSBERG, JOSEPH, BERKSON L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE V.P./MEMBER direct 1997-05-01 2002-03-21
GOFEN, WILLIAM, HAROLD L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. PRESIDENT/MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2007-03-28
GOODMAN, MARK, R. L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE V.P./TREASURER/SECRETARY/MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2009-03-23
BOROVSKY, JAMES, GORDON EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./ASST. TREASURER/MEMBER direct 1997-05-01 2002-03-21
SOBOL, DANIEL, JOHN L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./ASST. SECRETARY/MEMBER direct 1997-05-01 2002-03-21
MYERS, JOHN, WILLIAM L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./MEMBER direct 1997-05-01 2002-03-21
KUPFERBERG, PETER, BEHR EXECUTIVE COMMITTEE/L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE/L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2013-11-08
GOFEN, CHARLES, SAMUEL EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2007-03-28
BROWN, MARK L.L.C. MEMBER / GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER 09/01/2005 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER direct 2005-09-01
GOFEN AND GLOSSBERG, L.L.C. GENERAL COUNSEL direct 1999-07-01 2005-03-22
GOFEN AND GLOSSBERG, L.L.C. GENERAL COUNSEL/CCO direct 2005-09-01 2006-03-29
STELMACKI, MICHAEL, JOSEPH EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / RESEARCH DIRECTOR 06/01/2000 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / RESEARCH ANALYST direct 2000-06-01
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / RESEARCH DIRECTOR direct 2000-06-01
VREE, JONATHAN, TODD L.L.C. MEMBER/PORTFOLIO MANAGER 07/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/PORTFOLIO MANAGER direct 2009-07-01
BURKE, MARY, PATRICIA L.L.C. MEMBER/SENIOR RESEARCH ANALYST 07/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/SENIOR RESEARCH ANALYST direct 2009-07-01
Wang, Hongwu L.L.C. MEMBER/CHIEF INFORMATION OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/CHIEF INFORMATION OFFICER direct 2016-07-01

GOFEN AND GLOSSBERG, L.L.C.

ownership team - last updated 2019-01-29
Name Title Start Date Direct/Indirect % Ownership
GOFEN, WILLIAM, HAROLD L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. PRESIDENT/MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2007-03-28
GLOSSBERG, JOSEPH, BERKSON L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE V.P./MEMBER direct 1997-05-01 2002-03-21
GOODMAN, MARK, R. L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE V.P./TREASURER/SECRETARY/MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2009-03-23
BOROVSKY, JAMES, GORDON EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./ASST. TREASURER/MEMBER direct 1997-05-01 2002-03-21
SOBOL, DANIEL, JOHN L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./ASST. SECRETARY/MEMBER direct 1997-05-01 2002-03-21
MYERS, JOHN, WILLIAM L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./MEMBER direct 1997-05-01 2002-03-21
KUPFERBERG, PETER, BEHR EXECUTIVE COMMITTEE/L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE/L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2013-11-08
GOFEN, CHARLES, SAMUEL EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2007-03-28
BROWN, MARK L.L.C. MEMBER / GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER 09/01/2005 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER direct 2005-09-01
GOFEN AND GLOSSBERG, L.L.C. GENERAL COUNSEL direct 1999-07-01 2005-03-22
GOFEN AND GLOSSBERG, L.L.C. GENERAL COUNSEL/CCO direct 2005-09-01 2006-03-29
STELMACKI, MICHAEL, JOSEPH EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / RESEARCH DIRECTOR 06/01/2000 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / RESEARCH ANALYST direct 2000-06-01
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / RESEARCH DIRECTOR direct 2000-06-01
VREE, JONATHAN, TODD L.L.C. MEMBER/PORTFOLIO MANAGER 07/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/PORTFOLIO MANAGER direct 2009-07-01
BURKE, MARY, PATRICIA L.L.C. MEMBER/SENIOR RESEARCH ANALYST 07/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/SENIOR RESEARCH ANALYST direct 2009-07-01
Wang, Hongwu L.L.C. MEMBER/CHIEF INFORMATION OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/CHIEF INFORMATION OFFICER direct 2016-07-01

GOFEN AND GLOSSBERG, L.L.C.

ownership team - last updated 2018-05-18
Name Title Start Date Direct/Indirect % Ownership
GOFEN, WILLIAM, HAROLD L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. PRESIDENT/MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2007-03-28
GLOSSBERG, JOSEPH, BERKSON L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE V.P./MEMBER direct 1997-05-01 2002-03-21
GOODMAN, MARK, R. L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE V.P./TREASURER/SECRETARY/MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2009-03-23
BOROVSKY, JAMES, GORDON EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER / L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./ASST. TREASURER/MEMBER direct 1997-05-01 2002-03-21
SOBOL, DANIEL, JOHN L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./ASST. SECRETARY/MEMBER direct 1997-05-01 2002-03-21
MYERS, JOHN, WILLIAM L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./MEMBER direct 1997-05-01 2002-03-21
KUPFERBERG, PETER, BEHR EXECUTIVE COMMITTEE/L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE/L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2013-11-08
GOFEN, CHARLES, SAMUEL EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / PORTFOLIO MANAGER 05/01/1997 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01
GOFEN AND GLOSSBERG, L.L.C. V.P./MEMBER direct 1997-05-01 2002-03-21
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / PORTFOLIO MANAGER direct 1997-05-01 2007-03-28
BROWN, MARK L.L.C. MEMBER / GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER 09/01/2005 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER direct 2005-09-01
GOFEN AND GLOSSBERG, L.L.C. GENERAL COUNSEL direct 1999-07-01 2005-03-22
GOFEN AND GLOSSBERG, L.L.C. GENERAL COUNSEL/CCO direct 2005-09-01 2006-03-29
STELMACKI, MICHAEL, JOSEPH EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / RESEARCH DIRECTOR 06/01/2000 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER / RESEARCH ANALYST direct 2000-06-01
GOFEN AND GLOSSBERG, L.L.C. EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / RESEARCH DIRECTOR direct 2000-06-01
VREE, JONATHAN, TODD L.L.C. MEMBER/PORTFOLIO MANAGER 07/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/PORTFOLIO MANAGER direct 2009-07-01
BURKE, MARY, PATRICIA L.L.C. MEMBER/SENIOR RESEARCH ANALYST 07/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/SENIOR RESEARCH ANALYST direct 2009-07-01
Wang, Hongwu L.L.C. MEMBER/CHIEF INFORMATION OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
GOFEN AND GLOSSBERG, L.L.C. L.L.C. MEMBER/CHIEF INFORMATION OFFICER direct 2016-07-01

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