VOYA INVESTMENT MANAGEMENT LLC

HTTP://WWW.VOYAINVESTMENTS.COM/ ATLANTA, GA Investment Advisor How do I update this listing?

Voya Investment Management is based out of Atlanta. Voya Investment Management is a large advisory firm with 19 clients and discretionary assets under management (AUM) of $59,366,716,629 (Form ADV from 2019-03-29). Their last reported 13F filing for Q3 2019 included $45,695,997,000 in managed 13F securities and a top 10 holdings concentration of 17.54%. Voya Investment Management's largest holding is Microsoft Corp. with shares held of 12,393,640. Whalewisdom has at least 37 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $45.696 Billion
  • Prior Market Value $46.584 Billion
  • New Purchases38 stocks
  • Additional Purchases744 stocks
  • Sold out of71 stocks
  • Reduced holdings in1120 stocks
  • Top 10 Holdings % 17.54 %
  • Turnover % [1]:4.28%
  • Turnover Alt % [2]: 13.31 %
  • Time Held Top20:5.70 quarters
  • Time Held Top10:7.70 quarters
  • Time Held All:19.49 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: 7.41%
Performance Last 4 Quarters: 16.73%
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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13F Filings Available:
  • 2019-09-30 - 13F-HR/A (Subscription required)
  • 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)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR/A (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2002-09-30 - 13F-HR (Subscription required)
  • 2002-03-31 - 13F-HR (Subscription required)
  • 2002-03-31 - 13F-HR (Subscription required)
  • 2001-12-31 - 13F-HR (Subscription required)
  • 2001-09-30 - 13F-HR (Subscription required)
  • 2001-06-30 - 13F-HR/A (Subscription required)
  • 2001-06-30 - 13F-HR (Subscription required)
  • 2001-03-31 - 13F-HR (Subscription required)
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
Voya Financial, Inc
Voya Investment Management Co. LLC
Voya Investment Trust Co.
Voya Investments, LLC

View Last Form Adv Compilation Report on Record

VOYA INVESTMENT MANAGEMENT LLC
5780 POWERS FERRY ROAD NW SUITE 300
ATLANTA GA    30327-4349
Country: United States

Business Phone: 770-690-4600
Fax: 770-690-5328
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 788
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,PRODUCTION FEES FOR PRIVATE PLACEMENTS AND COMMERCIAL MORTGAGES.
Amount of client funds and securities:
Total Number of Clients: 19
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.C (1),11.C (2),11.C (4),11.C (5),11.D (4)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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VOYA INVESTMENT MANAGEMENT LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
VOYA HOLDINGS INC. SOLE MEMBER 01/01/2001 Direct 75% or more
Fund Name Position direct/indirect start date end date
DIRECTED SERVICES LLC OWNER indirect 2000-12-01
ING GHENT ASSET MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01
VOYA INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2001-01-01
ING INVESTMENT MANAGEMENT CO. LLC SHAREHOLDER indirect 2001-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01
ING INVESTMENT MANAGEMENT (UK) LIMITED SOLE MEMBER indirect 2001-01-01
FURMAN SELZ CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01
VOYA INVESTMENTS, LLC MEMBER indirect 2001-02-01
BANCNORTH INVESTMENT GROUP, INC. SOLE SHAREHOLDER indirect 2002-12-01
RELIASTAR INVESTMENT RESEARCH INC SHAREHOLDER direct 2002-12-01
VOYA FINANCIAL PARTNERS, LLC PARENT indirect 2003-03-01
ING LIFE INSURANCE AND ANNUITY COMPANY SHAREHOLDER direct 2003-03-01
VOYA RETIREMENT ADVISORS, LLC PARENT indirect 2008-07-01
ING INVESTMENT ADVISORS, LLC SOLE MEMBER indirect 2008-07-01
VOYA FINANCIAL ADVISORS, INC. 100% SHAREHOLDER direct 2012-12-01
AETNA INVESTMENT SERVICES, LLC PARENT indirect 2000-12-01 2002-03-27
AETNA LIFE INSURANCE & ANNUITY CO SHAREHOLDER indirect 2000-12-01 2002-04-01
AETNA INVESTMENT SERVICES, LLC PARENT indirect 2000-12-01 2003-04-03
ING INVESTMENT MANAGEMENT LLC MEMBER direct 2001-01-01 2003-05-01
BANCWEST INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2002-12-01 2003-05-02
ING LIFE INSURANCE AND ANNUITY COMPANY SHAREHOLDER indirect 2000-12-01 2004-02-20
ING INVESTMENTS, LLC SOLE SHAREHOLDER indirect 1999-11-01 2005-04-05
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER indirect 2000-12-01 2005-10-03
DIRECTED SERVICES, INC. SOLE SHAREHOLDER direct 2002-12-01 2006-10-31
ING INVESTMENTS, LLC SOLE SHAREHOLDER indirect 2002-12-01 2007-03-28
CITISTREET ADVISORS LLC PARENT indirect 2003-03-01 2008-08-01
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 2006-12-01 2009-12-17
FINANCIAL NETWORK INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 2000-12-01 2010-01-07
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER direct 2002-12-01 2010-01-11
ING INVESTMENT MANAGEMENT CO. SOLE MEMBER indirect 2001-01-01 2011-03-31
ING ALTERNATIVE ASSET MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2013-10-02
ING INVESTMENTS, LLC SOLE SHAREHOLDER indirect 2001-02-01 2014-01-15
POMONA MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2014-03-17
DIRECTED SERVICES LLC SOLE SHAREHOLDER indirect 2000-12-01 2014-03-28
ING INVESTMENTS, LLC MEMBER indirect 2001-02-01 2014-03-28
ING INVESTMENT MANAGEMENT CO. LLC SHAREHOLDER indirect 2001-01-01 2014-03-31
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01 2014-03-31
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01 2014-03-31
ING INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2014-03-31
ING INVESTMENT MANAGEMENT (UK) LIMITED SOLE MEMBER indirect 2001-01-01 2014-04-02
ING INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2014-05-19
DIRECTED SERVICES LLC SHAREHOLDER indirect 2000-12-01 2014-06-25
ING FINANCIAL ADVISERS, LLC PARENT indirect 2003-03-01 2014-08-29
ING INVESTMENT ADVISORS, LLC PARENT indirect 2008-07-01 2014-08-29
ING FINANCIAL PARTNERS, INC 100% SHAREHOLDER direct 2002-12-01 2014-09-04
LINS, GERALD, THOMAS MANAGING DIRECTOR AND GENERAL COUNSEL 01/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA ALTERNATIVE ASSET MANAGEMENT LLC MANAGING DIRECTOR AND GENERAL COUNSEL direct 1999-11-01
FURMAN SELZ CAPITAL MANAGEMENT LLC GENERAL COUNSEL direct 1999-11-01
ING TAURUS HOLDINGS LLC GENERAL COUNSEL direct 1999-11-01
ING GHENT ASSET MANAGEMENT LLC GENERAL COUNSEL direct 2000-05-01
RELIASTAR INVESTMENT RESEARCH INC SENIOR VICE PRESIDENT AND GENERAL COUNSEL, ING INVESTMENT MANAGEMENT AMERICAS direct 2003-01-01
VOYA INVESTMENT MANAGEMENT LLC MANAGING DIRECTOR AND GENERAL COUNSEL direct 2003-01-01
ING ADVISORS, INC. SVP,GENERAL COUNSEL AND SECRETARY direct 2003-08-01
ING INVESTMENT MANAGEMENT (UK) LIMITED GENERAL COUNSEL direct 2004-02-01
VOYA INVESTMENT MANAGEMENT CO. LLC MANAGING DIRECTOR AND GENERAL COUNSEL direct 2004-02-01
ING CAPITAL ADVISORS, LLC GENERAL COUNSEL direct 1999-11-01 2002-04-01
ING INVESTMENT MANAGEMENT LLC SENIOR VICE PRESIDENT, GENERAL COUNSEL direct 2003-01-01 2003-05-01
RELIASTAR INVESTMENT RESEARCH INC SENIOR VICE PRESIDENT, GENERAL COUNSEL direct 2003-01-01 2003-05-01
AELTUS INVESTMENT MANAGEMENT INC GENERAL COUNSEL direct 2002-10-01 2004-01-20
ING INVESTMENT MANAGEMENT LLC SENIOR VICE PRESIDENT AND GENERAL COUNSEL, ING INVESTMENT MANAGEMENT AMERICAS direct 2003-01-01 2007-09-19
POMONA MANAGEMENT LLC GENERAL COUNSEL direct 2000-11-01 2010-03-22
ING INVESTMENT MANAGEMENT LLC SENIOR VICE PRESIDENT AND GENERAL COUNSEL direct 2003-01-01 2011-03-31
FSIP LLC GENERAL COUNSEL direct 1999-11-01 2011-04-26
ING INVESTMENT MANAGEMENT CO. GENERAL COUNSEL direct 2004-02-01 2012-01-30
VOYA INVESTMENT MANAGEMENT LLC MANAGING DIRECTOR direct 2003-01-01 2014-10-07
ING INVESTMENT MANAGEMENT CO. LLC MANAGING DIRECTOR direct 2004-02-01 2014-10-07
ING ALTERNATIVE ASSET MANAGEMENT LLC MANAGING DIRECTOR direct 1999-11-01 2014-10-09
HURTSELLERS, CHRISTINE, LYNN DIRECTOR, CHAIRWOMAN AND CHIEF EXECUTIVE OFFICER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA INVESTMENT MANAGEMENT CO. LLC CIO OF FIXED INCOME & PROPRIETARY INVESTMENTS AND EXECUTIVE VICE PRESIDENT direct 2009-01-01
ING INVESTMENT MANAGEMENT CO. CIO OF FIXED INCOME & PROPRIETARY INVESTMENTS direct 2009-01-01
VOYA INVESTMENT MANAGEMENT CO. LLC CHIEF INVESTMENT OFFICER OF FIXED INCOME & PROPRIETARY INVESTMENTS AND SENIOR MANAGING DIRECTOR direct 2009-01-01
ING INVESTMENT MANAGEMENT CO. DIRECTOR, CIO OF FIXED INCOME & PROPRIETARY INVESTMENTS direct 2009-01-01
VOYA INVESTMENT MANAGEMENT CO. LLC CHIEF EXECUTIVE OFFICER direct 2016-09-01
ING ALTERNATIVE ASSET MANAGEMENT LLC CIO OF FIXED INCOME & PROPRIETARY INVESTMENTS direct 2009-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC CHIEF INVESTMENT OFFICER OF FIXED INCOME & PROPRIETARY INVESTMENTS AND SENIOR MANAGING DIRECTOR direct 2009-01-01
ING ALTERNATIVE ASSET MANAGEMENT LLC CIO OF FIXED INCOME & PROPRIETARY INVESTMENTS AND EXECUTIVE VICE PRESIDENT direct 2009-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2016-09-01
VOYA INVESTMENT MANAGEMENT LLC DIRECTOR, CHIEF INVESTMENT OFFICER, FIXED INCOME AND PROPRIETARY INVESTMENTS, AND EXECUTIVE VICE PRESIDENT direct 2009-01-01
ING INVESTMENT MANAGEMENT LLC DIRECTOR, CHIEF INVESTMENT OFFICER, FIXED INCOME AND PROPRIETARY INVESTMENTS direct 2009-01-01
VOYA INVESTMENT MANAGEMENT LLC DIRECTOR, CHIEF INVESTMENT OFFICER, FIXED INCOME AND PROPRIETARY INVESTMENTS, AND SENIOR MANAGING DIRECTOR direct 2009-01-01
ING INVESTMENT MANAGEMENT LLC CHIEF INVESTMENT OFFICER, FIXED INCOME AND PROPRIETARY INVESTMENTS direct 2009-01-01
VOYA INVESTMENT MANAGEMENT LLC DIRECTOR, CHAIRWOMAN AND CHIEF EXECUTIVE OFFICER direct 2016-09-01
ZEMSKY, PAUL, LAWRENCE SENIOR MANAGING DIRECTOR 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA INVESTMENT MANAGEMENT CO. LLC SENIOR MANAGING DIRECTOR direct 2010-01-01
ING INVESTMENT MANAGEMENT CO. EXECUTIVE VICE PRESIDENT direct 2010-01-01
ING ALTERNATIVE ASSET MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2010-02-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2010-02-01
VOYA INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2008-07-01
VOYA INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2008-07-01
HAMMALIAN, DEBORAH, ANN CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR 05/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2008-01-01
OPPENHEIMER CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2009-04-01
VOYA INVESTMENT MANAGEMENT CO. LLC SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2013-05-01
ING ALTERNATIVE ASSET MANAGEMENT LLC SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2013-05-01
VOYA INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER AND SENIOR VICE PRESIDENT direct 2013-05-01
ING INVESTMENT MANAGEMENT LLC SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2013-05-01
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC CHIEF COMPLIANCE OFFICER direct 2008-06-01
ALLIANZ GLOBAL INVESTORS CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2009-10-01
ING INVESTMENT MANAGEMENT (UK) LIMITED CHIEF COMPLIANCE OFFICER direct 2013-06-01
PYTOSH, MICHAEL, BRUCE CHIEF INVESTMENT OFFICER OF EQUITIES AND SENIOR MANAGING DIRECTOR 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA ALTERNATIVE ASSET MANAGEMENT LLC CO-HEAD OF U.S. EQUITY PLATFORM AND SENIOR MANAGING DIRECTOR direct 2010-01-01
ING ALTERNATIVE ASSET MANAGEMENT LLC CO-HEAD OF U.S. EQUITY PLATFORM direct 2010-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC CO-HEAD OF U.S. EQUITY PLATFORM AND EXECUTIVE VICE PRESIDENT direct 2010-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC CHIEF INVESTMENT OFFICER OF EQUITIES AND SENIOR MANAGING DIRECTOR direct 2017-02-01
VOYA INVESTMENT MANAGEMENT LLC CHIEF INVESTMENT OFFICER OF EQUITIES AND SENIOR MANAGING DIRECTOR direct 2009-01-01
VOYA INVESTMENT MANAGEMENT LLC CO-HEAD OF U.S. EQUITY PLATFORM AND EXECUTIVE VICE PRESIDENT direct 2010-01-01
VOYA INVESTMENT MANAGEMENT LLC CO-HEAD OF U.S. EQUITY PLATFORM AND SENIOR MANAGING DIRECTOR direct 2010-01-01
VOYA INVESTMENT MANAGEMENT LLC CHIEF INVESTMENT OFFICER OF EQUITIES AND SENIOR MANAGING DIRECTOR direct 2017-02-01
ING INVESTMENT MANAGEMENT CO. CO-HEAD OF U.S. EQUITY PLATFORM direct 2010-01-01
ING INVESTMENT MANAGEMENT CO. LLC CO-HEAD OF U.S. EQUITY PLATFORM AND EXECUTIVE VICE PRESIDENT direct 2010-01-01
VOYA INVESTMENT MANAGEMENT CO. LLC CO-HEAD OF U.S. EQUITY PLATFORM AND SENIOR MANAGING DIRECTOR direct 2010-01-01
VOYA INVESTMENT MANAGEMENT CO. LLC CHIEF INVESTMENT OFFICER OF EQUITIES AND SENIOR MANAGING DIRECTOR direct 2010-01-01
VOYA INVESTMENT MANAGEMENT CO. LLC CHIEF INVESTMENT OFFICER OF EQUITIES AND SENIOR MANAGING DIRECTOR direct 2017-02-01
SAHIBZADA, AMIR CHIEF RISK OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA INVESTMENT MANAGEMENT CO. LLC CHIEF RISK OFFICER AND MANAGING DIRECTOR direct 2014-01-01
ING INVESTMENT MANAGEMENT CO. LLC CHIEF RISK OFFICER direct 2014-01-01
ING ALTERNATIVE ASSET MANAGEMENT LLC CHIEF RISK OFFICER direct 2014-01-01
VOYA INVESTMENT MANAGEMENT LLC CHIEF RISK OFFICER direct 2014-01-01
BELL, MICHAEL, ALLYN DIRECTOR, CHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA INVESTMENT MANAGEMENT CO. LLC CHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR direct 2014-09-01
HARTFORD INVESTMENT MANAGEMENT COMPANY SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2009-06-01
HARTFORD INVESTMENT MANAGEMENT COMPANY SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2012-08-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC CHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR direct 2014-09-01
VOYA INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR direct 2015-01-01
VOYA INVESTMENT MANAGEMENT LLC DIRECTOR, CHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR direct 2015-01-01
VOYA INVESTMENTS, LLC SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER direct 2015-11-01
TOMS, MATTHEW, NMN CHIEF INVESTMENT OFFICER, FIXED INCOME AND PROPRIETARY INVESTMENTS, AND SENIOR MANAGING DIRECTOR 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA INVESTMENT MANAGEMENT CO. LLC CHIEF INVESTMENT OFFICER OF FIXED INCOME & PROPRIETARY INVESTMENTS AND SENIOR MANAGING DIRECTOR direct 2016-09-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC CHIEF INVESTMENT OFFICER OF FIXED INCOME & PROPRIETARY INVESTMENTS AND SENIOR MANAGING DIRECTOR direct 2016-09-01
VOYA INVESTMENT MANAGEMENT LLC CHIEF INVESTMENT OFFICER, FIXED INCOME AND PROPRIETARY INVESTMENTS, AND SENIOR MANAGING DIRECTOR direct 2016-09-01
VOYA INVESTMENT MANAGEMENT LLC DIRECTOR, CHIEF INVESTMENT OFFICER, FIXED INCOME AND PROPRIETARY INVESTMENTS, AND SENIOR MANAGING DIRECTOR direct 2016-09-01
Fink, James, Michael MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA ALTERNATIVE ASSET MANAGEMENT LLC MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER direct 2017-09-01
SANTORO, DINA MANAGING DIRECTOR, HEAD OF PRODUCT MARKETING AND STRATEGY 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
QUANTITATIVE MANAGEMENT ASSOCIATES LLC MEMBER, BOARD OF MANAGERS direct 2015-08-01
QUANTITATIVE MANAGEMENT ASSOCIATES LLC MEMBER, BOARD OF MANAGERS direct 2015-09-01
SHAFFER, CHARLES, MILTON HEAD OF DISTRIBUTION AND MANAGING DIRECTOR 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA ALTERNATIVE ASSET MANAGEMENT LLC HEAD OF DISTRIBUTION AND MANAGING DIRECTOR direct 2017-08-01
VOYA INVESTMENT MANAGEMENT CO. LLC HEAD OF DISTRIBUTION AND MANAGING DIRECTOR direct 2017-08-01
VOYA INVESTMENT MANAGEMENT LLC HEAD OF DISTRIBUTION AND MANAGING DIRECTOR direct 2017-08-01
NORMAN, DANIEL, ALLEN SENIOR MANAGING DIRECTOR, GROUP HEAD - SENIOR LOAN 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING PILGRIM INVESTMENTS INC SR. VICE PRESIDENT direct 1994-12-01 2005-10-05
BAKALAR, JEFFREY, ALAN SENIOR MANAGING DIRECTOR, GROUP HEAD AND CHIEF INVESTMENT OFFICER - SENIOR LOAN 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING PILGRIM INVESTMENTS INC SR. VICE PRESIDENT direct 1998-02-01 2005-10-05
VOYA FINANCIAL, INC. SHAREHOLDER VOYA HOLDINGS, INC. 01/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VESTAX SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01
BANCNORTH INVESTMENT GROUP, INC. SOLE SHAREHOLDER indirect 2000-09-01
DIRECTED SERVICES LLC OWNER indirect 2000-09-01
ING INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2000-12-01
RELIASTAR INVESTMENT RESEARCH INC SHAREHOLDER indirect 2002-12-01
VOYA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
ING INVESTMENT MANAGEMENT (UK) LIMITED SHAREHOLDER indirect 2004-01-01
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
VOYA INVESTMENT MANAGEMENT CO. LLC SHAREHOLDER indirect 2004-01-01
ING GHENT ASSET MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
FURMAN SELZ CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
VOYA FINANCIAL ADVISORS, INC. SHAREHOLDER indirect 2014-04-01
VOYA RETIREMENT ADVISORS, LLC SHAREHOLDER indirect 2014-04-01
VOYA FINANCIAL PARTNERS, LLC SHAREHOLDER indirect 2014-04-01
DIRECTED SERVICES, INC. SOLE SHAREHOLDER indirect 1997-10-01 2002-05-31
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1998-01-01 2002-12-20
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2000-12-01 2003-02-10
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2003-02-25
BANCWEST INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2003-02-25
BANCWEST INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2003-05-02
AELTUS INVESTMENT MANAGEMENT INC PARENT OF LCH direct 2000-12-01 2004-01-20
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2002-12-01 2004-07-22
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER indirect 2000-12-01 2005-10-03
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01 2005-11-17
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 1991-03-01 2006-06-21
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01 2007-03-30
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01 2009-12-17
FINANCIAL NETWORK INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 2000-12-01 2010-01-07
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2010-01-11
ING FINANCIAL ADVISERS, LLC PARENT indirect 2000-12-01 2012-04-03
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2002-12-01 2013-06-12
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2003-08-01 2013-11-07
ING INVESTMENT MANAGEMENT CO. LLC SOLE MEMBER indirect 2003-08-01 2013-11-07
ING ALTERNATIVE ASSET MANAGEMENT LLC SOLE MEMBER indirect 2004-06-01 2013-11-07
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2006-01-01 2013-11-07
ING FINANCIAL ADVISERS, LLC SHAREHOLDER indirect 2000-12-01 2014-03-17
DIRECTED SERVICES LLC SOLE SHAREHOLDER indirect 2002-12-01 2014-03-28
ING FINANCIAL PARTNERS, INC SOLE SHAREHOLDER indirect 2002-12-01 2014-03-31
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01 2014-03-31
ING INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2008-06-01 2014-04-08
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01 2014-05-28
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01 2014-05-28
DIRECTED SERVICES LLC SHAREHOLDER indirect 2014-04-01 2014-06-25
ING INVESTMENT MANAGEMENT CO. SHAREHOLDER indirect 2004-01-01 2014-07-30
ING INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2014-04-01 2014-08-29
VOYA FINANCIAL ADVISORS, INC. SHAREHOLDER indirect 2014-04-01 2014-09-04
ING FINANCIAL ADVISERS, LLC SHAREHOLDER indirect 2014-04-01 2014-09-30

VOYA INVESTMENT MANAGEMENT LLC

ownership team - last updated 2017-05-01
Name Title Start Date Direct/Indirect % Ownership
VOYA HOLDINGS INC. SOLE MEMBER 01/01/2001 Direct 75% or more
Fund Name Position direct/indirect start date end date
DIRECTED SERVICES LLC OWNER indirect 2000-12-01
ING GHENT ASSET MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01
VOYA INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2001-01-01
ING INVESTMENT MANAGEMENT CO. LLC SHAREHOLDER indirect 2001-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01
ING INVESTMENT MANAGEMENT (UK) LIMITED SOLE MEMBER indirect 2001-01-01
FURMAN SELZ CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01
VOYA INVESTMENTS, LLC MEMBER indirect 2001-02-01
BANCNORTH INVESTMENT GROUP, INC. SOLE SHAREHOLDER indirect 2002-12-01
RELIASTAR INVESTMENT RESEARCH INC SHAREHOLDER direct 2002-12-01
VOYA FINANCIAL PARTNERS, LLC PARENT indirect 2003-03-01
ING LIFE INSURANCE AND ANNUITY COMPANY SHAREHOLDER direct 2003-03-01
VOYA RETIREMENT ADVISORS, LLC PARENT indirect 2008-07-01
ING INVESTMENT ADVISORS, LLC SOLE MEMBER indirect 2008-07-01
VOYA FINANCIAL ADVISORS, INC. 100% SHAREHOLDER direct 2012-12-01
AETNA INVESTMENT SERVICES, LLC PARENT indirect 2000-12-01 2002-03-27
AETNA LIFE INSURANCE & ANNUITY CO SHAREHOLDER indirect 2000-12-01 2002-04-01
AETNA INVESTMENT SERVICES, LLC PARENT indirect 2000-12-01 2003-04-03
ING INVESTMENT MANAGEMENT LLC MEMBER direct 2001-01-01 2003-05-01
BANCWEST INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2002-12-01 2003-05-02
ING LIFE INSURANCE AND ANNUITY COMPANY SHAREHOLDER indirect 2000-12-01 2004-02-20
ING INVESTMENTS, LLC SOLE SHAREHOLDER indirect 1999-11-01 2005-04-05
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER indirect 2000-12-01 2005-10-03
DIRECTED SERVICES, INC. SOLE SHAREHOLDER direct 2002-12-01 2006-10-31
ING INVESTMENTS, LLC SOLE SHAREHOLDER indirect 2002-12-01 2007-03-28
CITISTREET ADVISORS LLC PARENT indirect 2003-03-01 2008-08-01
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 2006-12-01 2009-12-17
FINANCIAL NETWORK INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 2000-12-01 2010-01-07
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER direct 2002-12-01 2010-01-11
ING INVESTMENT MANAGEMENT CO. SOLE MEMBER indirect 2001-01-01 2011-03-31
ING ALTERNATIVE ASSET MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2013-10-02
ING INVESTMENTS, LLC SOLE SHAREHOLDER indirect 2001-02-01 2014-01-15
POMONA MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2014-03-17
DIRECTED SERVICES LLC SOLE SHAREHOLDER indirect 2000-12-01 2014-03-28
ING INVESTMENTS, LLC MEMBER indirect 2001-02-01 2014-03-28
ING INVESTMENT MANAGEMENT CO. LLC SHAREHOLDER indirect 2001-01-01 2014-03-31
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01 2014-03-31
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01 2014-03-31
ING INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2014-03-31
ING INVESTMENT MANAGEMENT (UK) LIMITED SOLE MEMBER indirect 2001-01-01 2014-04-02
ING INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2014-05-19
DIRECTED SERVICES LLC SHAREHOLDER indirect 2000-12-01 2014-06-25
ING FINANCIAL ADVISERS, LLC PARENT indirect 2003-03-01 2014-08-29
ING INVESTMENT ADVISORS, LLC PARENT indirect 2008-07-01 2014-08-29
ING FINANCIAL PARTNERS, INC 100% SHAREHOLDER direct 2002-12-01 2014-09-04
LINS, GERALD, THOMAS MANAGING DIRECTOR AND GENERAL COUNSEL 01/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA ALTERNATIVE ASSET MANAGEMENT LLC MANAGING DIRECTOR AND GENERAL COUNSEL direct 1999-11-01
FURMAN SELZ CAPITAL MANAGEMENT LLC GENERAL COUNSEL direct 1999-11-01
ING TAURUS HOLDINGS LLC GENERAL COUNSEL direct 1999-11-01
ING GHENT ASSET MANAGEMENT LLC GENERAL COUNSEL direct 2000-05-01
RELIASTAR INVESTMENT RESEARCH INC SENIOR VICE PRESIDENT AND GENERAL COUNSEL, ING INVESTMENT MANAGEMENT AMERICAS direct 2003-01-01
VOYA INVESTMENT MANAGEMENT LLC MANAGING DIRECTOR AND GENERAL COUNSEL direct 2003-01-01
ING ADVISORS, INC. SVP,GENERAL COUNSEL AND SECRETARY direct 2003-08-01
ING INVESTMENT MANAGEMENT (UK) LIMITED GENERAL COUNSEL direct 2004-02-01
VOYA INVESTMENT MANAGEMENT CO. LLC MANAGING DIRECTOR AND GENERAL COUNSEL direct 2004-02-01
ING CAPITAL ADVISORS, LLC GENERAL COUNSEL direct 1999-11-01 2002-04-01
ING INVESTMENT MANAGEMENT LLC SENIOR VICE PRESIDENT, GENERAL COUNSEL direct 2003-01-01 2003-05-01
RELIASTAR INVESTMENT RESEARCH INC SENIOR VICE PRESIDENT, GENERAL COUNSEL direct 2003-01-01 2003-05-01
AELTUS INVESTMENT MANAGEMENT INC GENERAL COUNSEL direct 2002-10-01 2004-01-20
ING INVESTMENT MANAGEMENT LLC SENIOR VICE PRESIDENT AND GENERAL COUNSEL, ING INVESTMENT MANAGEMENT AMERICAS direct 2003-01-01 2007-09-19
POMONA MANAGEMENT LLC GENERAL COUNSEL direct 2000-11-01 2010-03-22
ING INVESTMENT MANAGEMENT LLC SENIOR VICE PRESIDENT AND GENERAL COUNSEL direct 2003-01-01 2011-03-31
FSIP LLC GENERAL COUNSEL direct 1999-11-01 2011-04-26
ING INVESTMENT MANAGEMENT CO. GENERAL COUNSEL direct 2004-02-01 2012-01-30
VOYA INVESTMENT MANAGEMENT LLC MANAGING DIRECTOR direct 2003-01-01 2014-10-07
ING INVESTMENT MANAGEMENT CO. LLC MANAGING DIRECTOR direct 2004-02-01 2014-10-07
ING ALTERNATIVE ASSET MANAGEMENT LLC MANAGING DIRECTOR direct 1999-11-01 2014-10-09
HURTSELLERS, CHRISTINE, LYNN DIRECTOR, CHAIRWOMAN AND CHIEF EXECUTIVE OFFICER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA INVESTMENT MANAGEMENT CO. LLC CIO OF FIXED INCOME & PROPRIETARY INVESTMENTS AND EXECUTIVE VICE PRESIDENT direct 2009-01-01
ING INVESTMENT MANAGEMENT CO. CIO OF FIXED INCOME & PROPRIETARY INVESTMENTS direct 2009-01-01
VOYA INVESTMENT MANAGEMENT CO. LLC CHIEF INVESTMENT OFFICER OF FIXED INCOME & PROPRIETARY INVESTMENTS AND SENIOR MANAGING DIRECTOR direct 2009-01-01
ING INVESTMENT MANAGEMENT CO. DIRECTOR, CIO OF FIXED INCOME & PROPRIETARY INVESTMENTS direct 2009-01-01
VOYA INVESTMENT MANAGEMENT CO. LLC CHIEF EXECUTIVE OFFICER direct 2016-09-01
ING ALTERNATIVE ASSET MANAGEMENT LLC CIO OF FIXED INCOME & PROPRIETARY INVESTMENTS direct 2009-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC CHIEF INVESTMENT OFFICER OF FIXED INCOME & PROPRIETARY INVESTMENTS AND SENIOR MANAGING DIRECTOR direct 2009-01-01
ING ALTERNATIVE ASSET MANAGEMENT LLC CIO OF FIXED INCOME & PROPRIETARY INVESTMENTS AND EXECUTIVE VICE PRESIDENT direct 2009-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2016-09-01
VOYA INVESTMENT MANAGEMENT LLC DIRECTOR, CHIEF INVESTMENT OFFICER, FIXED INCOME AND PROPRIETARY INVESTMENTS, AND EXECUTIVE VICE PRESIDENT direct 2009-01-01
ING INVESTMENT MANAGEMENT LLC DIRECTOR, CHIEF INVESTMENT OFFICER, FIXED INCOME AND PROPRIETARY INVESTMENTS direct 2009-01-01
VOYA INVESTMENT MANAGEMENT LLC DIRECTOR, CHIEF INVESTMENT OFFICER, FIXED INCOME AND PROPRIETARY INVESTMENTS, AND SENIOR MANAGING DIRECTOR direct 2009-01-01
ING INVESTMENT MANAGEMENT LLC CHIEF INVESTMENT OFFICER, FIXED INCOME AND PROPRIETARY INVESTMENTS direct 2009-01-01
VOYA INVESTMENT MANAGEMENT LLC DIRECTOR, CHAIRWOMAN AND CHIEF EXECUTIVE OFFICER direct 2016-09-01
MATHEWS, SHAUN, PATRICK DIRECTOR AND SENIOR MANAGING DIRECTOR 05/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
DIRECTED SERVICES LLC EXECUTIVE VICE PRESIDENT, DIRECTOR direct 2006-01-01
DIRECTED SERVICES LLC EXECUTIVE VICE PRESIDENT direct 2006-01-01
AETNA INVESTMENT SERVICES, LLC SENIOR VICE PRESIDENT AND DIRECTOR direct 2002-05-01
VOYA INVESTMENT MANAGEMENT CO. LLC EXECUTIVE VICE PRESIDENT direct 2007-01-01
VOYA INVESTMENT MANAGEMENT CO. LLC SENIOR MANAGING DIRECTOR direct 2007-01-01
ING INVESTMENT MANAGEMENT CO. DIRECTOR, EXECUTIVE VICE PRESIDENT direct 2007-01-01
VOYA INVESTMENT MANAGEMENT LLC DIRECTOR AND SENIOR MANAGING DIRECTOR direct 2009-05-01
ING INVESTMENT MANAGEMENT LLC DIRECTOR AND EXECUTIVE VICE PRESIDENT direct 2009-05-01
ING INVESTMENT MANAGEMENT LLC DIRECTOR direct 2009-05-01
ING INVESTMENTS, LLC DIRECTOR direct 2006-03-01
ING INVESTMENTS, LLC EXECUTIVE VICE PRESIDENT, DIRECTOR direct 2006-03-01
VOYA INVESTMENTS, LLC PRESIDENT, CEO direct 2006-12-01
WEBER, MARK, DONALD DIRECTOR AND SENIOR MANAGING DIRECTOR 05/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING ADVISORS, INC. EVP, CHIEF MARKETING OFFICER direct 2003-08-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2004-02-01
VOYA INVESTMENT MANAGEMENT LLC DIRECTOR AND SENIOR MANAGING DIRECTOR direct 2009-05-01
ING INVESTMENT MANAGEMENT (UK) LIMITED DIRECTOR direct 2012-01-01
VOYA INVESTMENT MANAGEMENT CO. LLC SENIOR MANAGING DIRECTOR direct 2012-01-01
BARING INTERNATIONAL INVESTMENT LTD DIRECTOR direct 1997-05-01 2002-03-15
BARING ASSET MANAGEMENT INC SR. VICE PRESIDENT, DIRECTOR direct 1997-12-01 2002-03-20
ING INVESTMENT MANAGEMENT CO. EXECUTIVE VICE PRESIDENT direct 2004-02-01 2009-10-12
ING INVESTMENT MANAGEMENT CO. DIRECTOR, EXECUTIVE VICE PRESIDENT direct 2004-02-01 2011-03-31
ING INVESTMENT MANAGEMENT (UK) LIMITED DIRECTOR, EXECUTIVE VICE PRESIDENT direct 2012-01-01 2011-11-15
ING INVESTMENT MANAGEMENT LLC DIRECTOR direct 2009-05-01 2012-03-30
ING INVESTMENT MANAGEMENT INTERNATIONAL LLC CHIEF INVESTMENT OFFICER direct 2012-01-01 2012-10-26
VOYA INVESTMENT MANAGEMENT LLC DIRECTOR AND EXECUTIVE VICE PRESIDENT direct 2009-05-01 2014-10-07
VOYA INVESTMENT MANAGEMENT CO. LLC EXECUTIVE VICE PRESIDENT direct 2012-01-01 2014-10-07
ING ALTERNATIVE ASSET MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2004-02-01 2014-10-09
ZEMSKY, PAUL, LAWRENCE SENIOR MANAGING DIRECTOR 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA INVESTMENT MANAGEMENT CO. LLC SENIOR MANAGING DIRECTOR direct 2010-01-01
ING INVESTMENT MANAGEMENT CO. EXECUTIVE VICE PRESIDENT direct 2010-01-01
ING ALTERNATIVE ASSET MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2010-02-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2010-02-01
VOYA INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2008-07-01
VOYA INVESTMENT MANAGEMENT LLC EXECUTIVE VICE PRESIDENT direct 2008-07-01
HAMMALIAN, DEBORAH, ANN CHIEF COMPLIANCE OFFICER AND SENIOR VICE PRESIDENT 05/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2008-01-01
OPPENHEIMER CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2009-04-01
VOYA INVESTMENT MANAGEMENT CO. LLC SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2013-05-01
ING ALTERNATIVE ASSET MANAGEMENT LLC SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2013-05-01
VOYA INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER AND SENIOR VICE PRESIDENT direct 2013-05-01
ING INVESTMENT MANAGEMENT LLC SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2013-05-01
ALLIANZ GLOBAL INVESTORS SOLUTIONS LLC CHIEF COMPLIANCE OFFICER direct 2008-06-01
ALLIANZ GLOBAL INVESTORS CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2009-10-01
ING INVESTMENT MANAGEMENT (UK) LIMITED CHIEF COMPLIANCE OFFICER direct 2013-06-01
PYTOSH, MICHAEL, BRUCE CHIEF INVESTMENT OFFICER OF EQUITIES AND SENIOR MANAGING DIRECTOR 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA ALTERNATIVE ASSET MANAGEMENT LLC CO-HEAD OF U.S. EQUITY PLATFORM AND SENIOR MANAGING DIRECTOR direct 2010-01-01
ING ALTERNATIVE ASSET MANAGEMENT LLC CO-HEAD OF U.S. EQUITY PLATFORM direct 2010-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC CO-HEAD OF U.S. EQUITY PLATFORM AND EXECUTIVE VICE PRESIDENT direct 2010-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC CHIEF INVESTMENT OFFICER OF EQUITIES AND SENIOR MANAGING DIRECTOR direct 2017-02-01
VOYA INVESTMENT MANAGEMENT LLC CHIEF INVESTMENT OFFICER OF EQUITIES AND SENIOR MANAGING DIRECTOR direct 2009-01-01
VOYA INVESTMENT MANAGEMENT LLC CO-HEAD OF U.S. EQUITY PLATFORM AND EXECUTIVE VICE PRESIDENT direct 2010-01-01
VOYA INVESTMENT MANAGEMENT LLC CO-HEAD OF U.S. EQUITY PLATFORM AND SENIOR MANAGING DIRECTOR direct 2010-01-01
VOYA INVESTMENT MANAGEMENT LLC CHIEF INVESTMENT OFFICER OF EQUITIES AND SENIOR MANAGING DIRECTOR direct 2017-02-01
ING INVESTMENT MANAGEMENT CO. CO-HEAD OF U.S. EQUITY PLATFORM direct 2010-01-01
ING INVESTMENT MANAGEMENT CO. LLC CO-HEAD OF U.S. EQUITY PLATFORM AND EXECUTIVE VICE PRESIDENT direct 2010-01-01
VOYA INVESTMENT MANAGEMENT CO. LLC CO-HEAD OF U.S. EQUITY PLATFORM AND SENIOR MANAGING DIRECTOR direct 2010-01-01
VOYA INVESTMENT MANAGEMENT CO. LLC CHIEF INVESTMENT OFFICER OF EQUITIES AND SENIOR MANAGING DIRECTOR direct 2010-01-01
VOYA INVESTMENT MANAGEMENT CO. LLC CHIEF INVESTMENT OFFICER OF EQUITIES AND SENIOR MANAGING DIRECTOR direct 2017-02-01
SAHIBZADA, AMIR CHIEF RISK OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA INVESTMENT MANAGEMENT CO. LLC CHIEF RISK OFFICER AND MANAGING DIRECTOR direct 2014-01-01
ING INVESTMENT MANAGEMENT CO. LLC CHIEF RISK OFFICER direct 2014-01-01
ING ALTERNATIVE ASSET MANAGEMENT LLC CHIEF RISK OFFICER direct 2014-01-01
VOYA INVESTMENT MANAGEMENT LLC CHIEF RISK OFFICER direct 2014-01-01
BELL, MICHAEL, ALLYN DIRECTOR, CHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA INVESTMENT MANAGEMENT CO. LLC CHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR direct 2014-09-01
HARTFORD INVESTMENT MANAGEMENT COMPANY SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2009-06-01
HARTFORD INVESTMENT MANAGEMENT COMPANY SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2012-08-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC CHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR direct 2014-09-01
VOYA INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR direct 2015-01-01
VOYA INVESTMENT MANAGEMENT LLC DIRECTOR, CHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR direct 2015-01-01
VOYA INVESTMENTS, LLC SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER direct 2015-11-01
TOMS, MATTHEW, NMN CHIEF INVESTMENT OFFICER, FIXED INCOME AND PROPRIETARY INVESTMENTS, AND SENIOR MANAGING DIRECTOR 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA INVESTMENT MANAGEMENT CO. LLC CHIEF INVESTMENT OFFICER OF FIXED INCOME & PROPRIETARY INVESTMENTS AND SENIOR MANAGING DIRECTOR direct 2016-09-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC CHIEF INVESTMENT OFFICER OF FIXED INCOME & PROPRIETARY INVESTMENTS AND SENIOR MANAGING DIRECTOR direct 2016-09-01
VOYA INVESTMENT MANAGEMENT LLC CHIEF INVESTMENT OFFICER, FIXED INCOME AND PROPRIETARY INVESTMENTS, AND SENIOR MANAGING DIRECTOR direct 2016-09-01
VOYA INVESTMENT MANAGEMENT LLC DIRECTOR, CHIEF INVESTMENT OFFICER, FIXED INCOME AND PROPRIETARY INVESTMENTS, AND SENIOR MANAGING DIRECTOR direct 2016-09-01
VOYA FINANCIAL, INC. SHAREHOLDER VOYA HOLDINGS, INC. 01/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VESTAX SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01
BANCNORTH INVESTMENT GROUP, INC. SOLE SHAREHOLDER indirect 2000-09-01
DIRECTED SERVICES LLC OWNER indirect 2000-09-01
ING INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2000-12-01
RELIASTAR INVESTMENT RESEARCH INC SHAREHOLDER indirect 2002-12-01
VOYA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
ING INVESTMENT MANAGEMENT (UK) LIMITED SHAREHOLDER indirect 2004-01-01
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
VOYA INVESTMENT MANAGEMENT CO. LLC SHAREHOLDER indirect 2004-01-01
ING GHENT ASSET MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
FURMAN SELZ CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
VOYA FINANCIAL ADVISORS, INC. SHAREHOLDER indirect 2014-04-01
VOYA RETIREMENT ADVISORS, LLC SHAREHOLDER indirect 2014-04-01
VOYA FINANCIAL PARTNERS, LLC SHAREHOLDER indirect 2014-04-01
DIRECTED SERVICES, INC. SOLE SHAREHOLDER indirect 1997-10-01 2002-05-31
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1998-01-01 2002-12-20
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2000-12-01 2003-02-10
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2003-02-25
BANCWEST INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2003-02-25
BANCWEST INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2003-05-02
AELTUS INVESTMENT MANAGEMENT INC PARENT OF LCH direct 2000-12-01 2004-01-20
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2002-12-01 2004-07-22
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER indirect 2000-12-01 2005-10-03
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01 2005-11-17
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 1991-03-01 2006-06-21
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01 2007-03-30
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01 2009-12-17
FINANCIAL NETWORK INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 2000-12-01 2010-01-07
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2010-01-11
ING FINANCIAL ADVISERS, LLC PARENT indirect 2000-12-01 2012-04-03
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2002-12-01 2013-06-12
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2003-08-01 2013-11-07
ING INVESTMENT MANAGEMENT CO. LLC SOLE MEMBER indirect 2003-08-01 2013-11-07
ING ALTERNATIVE ASSET MANAGEMENT LLC SOLE MEMBER indirect 2004-06-01 2013-11-07
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2006-01-01 2013-11-07
ING FINANCIAL ADVISERS, LLC SHAREHOLDER indirect 2000-12-01 2014-03-17
DIRECTED SERVICES LLC SOLE SHAREHOLDER indirect 2002-12-01 2014-03-28
ING FINANCIAL PARTNERS, INC SOLE SHAREHOLDER indirect 2002-12-01 2014-03-31
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01 2014-03-31
ING INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2008-06-01 2014-04-08
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01 2014-05-28
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01 2014-05-28
DIRECTED SERVICES LLC SHAREHOLDER indirect 2014-04-01 2014-06-25
ING INVESTMENT MANAGEMENT CO. SHAREHOLDER indirect 2004-01-01 2014-07-30
ING INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2014-04-01 2014-08-29
VOYA FINANCIAL ADVISORS, INC. SHAREHOLDER indirect 2014-04-01 2014-09-04
ING FINANCIAL ADVISERS, LLC SHAREHOLDER indirect 2014-04-01 2014-09-30

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