WESTERN ASSET MANAGEMENT COMPANY, LLC

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Western Asset Management Company is based out of Pasadena. Western Asset Management Company is a hedge fund with 31975 clients and discretionary assets under management (AUM) of $390,448,238,328 (Form ADV from 2020-12-10). Their last reported 13F filing for Q4 2020 included $1,557,565,000 in managed 13F securities and a top 10 holdings concentration of 96.83%. Western Asset Management Company's largest holding is iShares iBoxx Investment Grade Corporate Bond Fund with shares held of 8,027,139. Western Asset Management Company has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 53 13F filings, 14 13G filings, and 3 Form 4 filings

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12/31/2020

13F Activity

  • Market Value $1.558 Billion
  • Prior Market Value $1.215 Billion
  • New Purchases5 stocks
  • Additional Purchases9 stocks
  • Sold out of5 stocks
  • Reduced holdings in4 stocks
  • Top 10 Holdings % 96.83 %
  • Turnover % [1]:47.62%
  • Turnover Alt % [2]: 6.61 %
  • Time Held Top20:4.45 quarters
  • Time Held Top10:3.00 quarters
  • Time Held All:6.57 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.

12/31/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-02-16

Performance for Q4 2020: 24.29%
Performance Last 4 Quarters: 23.65%
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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This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
FRANKLIN RESOURCES INC

View Last Form Adv Compilation Report on Record

WESTERN ASSET MANAGEMENT COMPANY
Classified as Hedge Fund
385 E. COLORADO BLVD.
PASADENA CA    91101
Country: United States

Business Phone: 626-844-9400
Fax: 626-844-9450
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: CA
Number of employees: 638
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 21,072,600,000
Total Number of Clients: 31975
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.C (2),11.C (4),11.C (5),11.D (2),11.D (4)
Data above was derived from SEC filings.

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Insider Transactions in the past year

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WESTERN ASSET MANAGEMENT COMPANY, LLC

ownership team - last updated 2020-12-10
Name Title Start Date Direct/Indirect % Ownership
HIRSCHMANN, JAMES, WILLIAM DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT 04/01/1989 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT direct 1989-04-01
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR, PRESIDENT & CEO direct 1989-04-01 2006-02-24
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR AND CHIEF EXECUTIVE OFFICER direct 1989-04-01 2009-04-27
WESTERN ASSET MANAGEMENT CO LTD MANAGING DIRECTOR AND DIRECTOR direct 1997-01-01 2012-06-29
LEGG MASON, INC. SOLE SHAREHOLDER OF APPLICANT 12/01/1986 Direct 75% or more
Fund Name Position direct/indirect start date end date
LEGG MASON FUND ADVISER INC SOLE SHAREHOLDER direct 1982-01-01
CLEARBRIDGE, LLC SOLE MEMBER direct 1982-10-01
WESTERN ASSET MANAGEMENT COMPANY SOLE SHAREHOLDER OF APPLICANT direct 1986-12-01
LM FINANCIAL PARTNERS, INC. STOCKHOLDER direct 1992-10-01
GRAY SEIFERT & CO INC SOLE SHAREHOLDER direct 1994-04-01
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC. SHAREHOLDER direct 1994-09-01
BARTLETT & CO SOLE SHAREHOLDER direct 1996-01-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 1996-02-01
LM INSTITUTIONAL ADVISORS INC SOLE SHAREHOLDER direct 1998-02-01
LEGG MASON INVESTMENT COUNSEL & TRUST COMPANY, N.A. SOLE OWNER direct 1999-05-01
BINGHAM LEGG ADVISERS LLC OWNER direct 1999-09-01
LEGG MASON FUNDS MANAGEMENT INC. SOLE SHAREHOLDER direct 2000-06-01
LEGG MASON FOCUS CAPITAL, INC. SOLE SHAREHOLDER direct 2001-05-01
PRIVATE CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER / SOLE MEMBER indirect 2001-08-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 2005-03-01
LEGG MASON INTERNATIONAL EQUITIES (SINGAPORE) PTE. LIMITED SOLE STOCKHOLDER indirect 2005-05-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-12-01
WESTERN ASSET MANAGEMENT COMPANY LTD SOLE SHAREHOLDER OF APPLICANT direct 2005-12-01
TIMCO ASSET MANAGEMENT, INC. SOLE SHAREHOLDER direct 2005-12-01
MASTHOLM ASSET MANAGEMENT LLC SOLE SHAREHOLDER OF SALOMON ASSET MANAGEMENT indirect 2005-12-01
LEGG MASON INTERNATIONAL EQUITIES LIMITED 100% SHAREHOLDER indirect 2005-12-01
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE STOCKHOLDER direct 2005-12-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC SOLE MEMBER direct 2006-10-01
LEGG MASON GLOBAL ASSET ALLOCATION, LLC SOLE MEMBER direct 2006-10-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC SOLE MEMBER direct 2007-11-01
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2011-03-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED SOLE STOCKHOLDER indirect 2011-03-01
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC SOLE MEMBER indirect 2014-03-01
QS INVESTORS, LLC SOLE MEMBER indirect 2014-05-01
MARTIN CURRIE INC INDIRECT SHAREHOLDER indirect 2014-10-01
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED INDIRECT OWNER indirect 2014-10-01
RARE INFRASTRUCTURE (NORTH AMERICA) PTY LTD SHAREHOLDER indirect 2015-10-01
ROYCE & ASSOCIATES, LP SOLE MEMBER indirect 2016-03-01
CLARION PARTNERS, LLC MEMBER indirect 2016-04-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
FINANCIAL GUARD, LLC MAJORITY MEMBER direct 2016-08-01
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER OF LM HOLDINGS LIMITED direct 1996-02-01 2001-04-26
ROYCE & ASSOCIATES, INC. SOLE MEMBER indirect 2001-10-01 2002-02-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2001-02-01 2002-06-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2002-06-01 2004-09-29
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER direct 2004-10-01 2004-11-09
LEGG MASON REAL ESTATE SERVICES INC SOLE SHAREHOLDER OF APPLICANT direct 1990-10-01 2005-06-30
LEGG MASON WOOD WALKER, INCORPORATED STOCKHOLDER direct 1981-03-01 2005-11-18
LEGG MASON INVESTMENT COUNSEL, LLC SOLE MEMBER direct 2004-10-01 2005-12-02
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE MEMBER direct 2005-12-01 2006-01-09
TIMCO ASSET MANAGEMENT, INC. SOLE MEMBER direct 2005-12-01 2006-01-11
CITIGROUP ASSET MANAGEMENT LIMITED 100% SHAREHOLDER indirect 2005-12-01 2006-02-23
BERKSHIRE ASSET MANAGEMENT INC SOLE SHAREHOLDER direct 1999-09-01 2007-06-21
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER indirect 1996-02-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SHAREHOLDER indirect 2005-12-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-03-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DTVM LIMITADA JOINT SHAREHOLDER indirect 2008-01-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2010-07-27
LEGG MASON CAPITAL MANAGEMENT INC SOLE SHAREHOLDER direct 1982-10-01 2011-01-18
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2005-05-01 2011-01-19
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2011-03-31
PRIVATE CAPITAL MANAGEMENT, LP SOLE SHAREHOLDER/SOLE MEMBER indirect 2001-08-01 2013-06-17
CLEARBRIDGE ADVISORS, LLC SOLE MEMBER direct 2005-12-01 2013-07-19
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-09-30
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-10-27
QS INVESTORS, LLC SOLE MEMBER direct 2014-05-01 2015-06-17
ROYCE & ASSOCIATES, LLC SOLE MEMBER direct 2001-10-01 2015-06-24
LMM LLC MEMBER direct 1999-10-01 2016-03-29
EHRLICH, KEVIN CHIEF COMPLIANCE OFFICER 02/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY LIMITED CHIEF COMPLIANCE OFFICER direct 2007-01-01
WESTERN ASSET MANAGEMENT COMPANY CHIEF COMPLIANCE OFFICER direct 2007-02-01
RUYS DE PEREZ, CHARLES, ANTONY GENERAL COUNSEL AND SECRETARY 04/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
PUTNAM INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
THE PUTNAM ADVISORY COMPANY, LLC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
PUTNAM FUTURES ADVISORS INC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED GENERAL COUNSEL AND DIRECTOR direct 2007-04-01
WESTERN ASSET MANAGEMENT CO LTD GENERAL COUNSEL direct 2007-04-01
WESTERN ASSET MANAGEMENT COMPANY GENERAL COUNSEL AND SECRETARY direct 2007-04-01
TH LEE, PUTNAM CAPITAL MANAGEMENT, L.L.C. MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
PUTNAM INVESTMENTS LIMITED (U.K.) MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
PUTNAM INVESTMENTS LIMITED (U.K.) MANAGING DIRECTOR direct 2004-02-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD NON-EXECUTIVE DIRECTOR direct 2012-03-01
WESTERN ASSET MANAGEMENT COMPANY LTD NON-EMPLOYEE DIRECTOR direct 2012-02-01
WILLIAMS MURPHY, JENNIFER DIRECTOR AND CHIEF OPERATING OFFICER 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEGG MASON FUNDS MANAGEMENT INC. SENIOR VICE PRESIDENT,CHIEF FINANCIAL OFFICER, AND DIRECTOR direct 2000-06-01
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR AND CHIEF OPERATING OFFICER direct 2015-05-01
LEGG MASON FUNDS MANAGEMENT INC. SENIOR VICE PRESIDENT, COO, CFO AND DIRECTOR direct 2000-06-01 2004-06-30
LEGG MASON CAPITAL MANAGEMENT INC SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2004-07-01 2004-12-07
LEGG MASON CAPITAL MANAGEMENT INC SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND DIRECTOR direct 2004-07-01 2008-06-20
LEGG MASON CAPITAL MANAGEMENT INC SENIOR VICE PRESIDENT AND DIRECTOR direct 2004-07-01 2009-06-12
LEGG MASON CAPITAL MANAGEMENT INC CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR direct 2009-07-01 2011-01-18
LMM LLC CHIEF OPERATIONS OFFICER direct 1999-10-01 2012-06-20
LEGG MASON CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER direct 2009-07-01 2013-01-24
LEGG MASON CAPITAL MANAGEMENT, LLC MANAGER direct 2013-06-01 2014-03-10
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC NON-EMPLOYEE MANAGER direct 2013-08-01 2015-06-29
BERNARDI, MARZO, NMN DIRECTOR OF CLIENT SERVICE AND MARKETING 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR OF CLIENT SERVICE AND MARKETING direct 2015-05-01
WESTERN ASSET MANAGEMENT COMPANY DTVM LIMITADA EXECUTIVE DIRECTOR AND DIRECTOR direct 2008-08-01
MCNAMARA, DENNIS DIRECTOR OF PORTFOLIO OPERATIONS 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR OF PORTFOLIO OPERATIONS direct 2016-07-01
JOHNSON, JENNIFER, MORROW NON-EMPLOYEE DIRECTOR 07/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
TEMPLETON GLOBAL ADVISORS LIMITED DIRECTOR direct 2006-12-01
NICHOLLS, MATTHEW NON-EMPLOYEE DIRECTOR 07/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
FRANKLIN ADVISERS, INC. CHIEF FINANCIAL OFFICER direct 2019-07-01
PLAFKER, JED, ANDREW NON-EMPLOYEE DIRECTOR 07/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
FRANKLIN TEMPLETON ALTERNATIVE STRATEGIES, INC. EXECUTIVE VICE PRESIDENT direct 2003-03-01
FRANKLIN TEMPLETON INVESTIMENTOS (BRASIL) LTDA. MEMBER OF THE CONSULTING BOARD direct 2006-07-01
FRANKLIN TEMPLETON INSTITUTIONAL, LLC EXECUTIVE VICE PRESIDENT direct 2009-04-01
FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED DIRECTOR direct 2009-10-01
TEMPLETON ASSET MANAGEMENT LTD. DIRECTOR direct 2009-11-01
FRANKLIN TEMPLETON ASSET STRATEGIES, LLC DIRECTOR-INTERNATIONAL direct 2002-08-01 2003-01-10
FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED DIRECTOR direct 2001-08-01 2004-11-19
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED DIRECTOR direct 2003-04-01 2007-03-30
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED DIRECTOR AND JOINT CEO direct 2003-04-01 2008-10-16
FRANKLIN TEMPLETON PORTFOLIO ADVISORS, INC. DIRECTOR direct 2009-04-01 2010-12-23
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED DIRECTOR direct 2008-09-01 2012-08-08
FRANKLIN TEMPLETON ASSET MANAGEMENT (INDIA) PRIVATE LIMITED ALTERNATE DIRECTOR TO MARK MOBIUS direct 2008-10-01 2014-04-09
FRANKLIN RESOURCES, INC. SOLE SHAREHOLDER OF LEGG MASON, INC. LEGG MASON, INC. 07/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FRANKLIN TEMPLETON PORTFOLIO ADVISORS, INC. STOCKHOLDER direct 1978-03-01
FRANKLIN ADVISERS, INC. SHAREHOLDER direct 1978-03-01
TEMPLETON GLOBAL ADVISORS LIMITED PARENT CORPORATION indirect 1992-10-01
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LTD. PARENT CORPORATION indirect 1992-10-01
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC. SHAREHOLDER indirect 1992-10-01
HOLOWESKO PARTNERS LTD. PARENT indirect 1992-10-01
FRANKLIN TEMPLETON INVESTMENTS (ME) LIMITED PARENT CORPORATION OF TEMPLETON WORLDWIDE, INC. indirect 1992-10-01
TEMPLETON ASSET MANAGEMENT LTD. SHAREHOLDER indirect 1992-10-01
FRANKLIN TEMPLETON INVESTMENTS CORP. SHAREHOLDER indirect 1992-10-01
FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED SHAREHOLDER indirect 1993-03-01
FRANKLIN TEMPLETON ASSET MANAGEMENT (INDIA) PRIVATE LIMITED PARENT CORPORATION OF TEMPLETON WORLDWIDE, INC. indirect 1995-10-01
FRANKLIN TEMPLETON INVESTMENTS JAPAN LTD. PARENT CORPORATION OF TWI indirect 1996-09-01
FRANKLIN TEMPLETON INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER indirect 1997-01-01
FRANKLIN TEMPLETON ALTERNATIVE STRATEGIES, LLC PARENT CORPORATION OF TWI: 100% indirect 1999-04-01
FRANKLIN ADVISORY SERVICES, LLC PARENT CORPORATION OF FTDI: 100% indirect 1999-04-01
FRANKLIN MUTUAL ADVISERS, LLC PARENT CORPORATION OF FTDI: 100% indirect 1999-04-01
TEMPLETON INVESTMENT COUNSEL, LLC PARENT CORPORATION OF TWI:100% indirect 2001-01-01
FIDUCIARY TRUST INTERNATIONAL LTD SHAREHOLDER indirect 2001-04-01
FIDUCIARY INVESTMENT MGMT INTL INC SHAREHOLDER indirect 2001-04-01
FIDUCIARY INTERNATIONAL INC SHAREHOLDER indirect 2001-04-01
FRANKLIN TEMPLETON INVESTIMENTOS (BRASIL) LTDA. PARENT CORPORATION OF TWI indirect 2001-07-01
FT ALPHAPARITY, LLC MEMBER indirect 2001-10-01
DARBY OVERSEAS PARTNERS, LP SHAREHOLDER indirect 2003-07-01
FRANKLIN INVESTMENT ADVISORY SERVICES, INC. PARENT CORPORATION OF FTDI indirect 2004-09-01
K2/D&S MANAGEMENT CO., L.L.C. PARENT ORGANIZATION: 100% indirect 2012-10-01
K2 ADVISORS, L.L.C. PARENT ORGANIZATION: 100% indirect 2012-10-01
FRANKLIN TEMPLETON INSTITUTIONAL, LLC MEMBER direct 2012-10-01
FRANKLIN ADVISERS, INC. STOCKHOLDER direct 1978-03-01 2000-11-11
TEMPLETON ASSET MANAGEMENT LTD. PARENT CORPORATION OF TWI:100% indirect 1999-04-01 2001-08-17
FRANKLIN INVESTMENT ADVISORY SERVICES, INC. PARENT CORPORATION direct 1996-05-01 2004-06-25
FRANKLIN MANAGEMENT, INC. STOCKHOLDER direct 1992-10-01 2004-12-17
FRANKLIN TEMPLETON ASSET STRATEGIES, LLC PARENT CORPORATION OF TWI: 100% indirect 2003-05-01 2004-12-18
FRANKLIN TEMPLETON ASSET MANAGEMENT (INDIA) PRIVATE LIMITED PARENT CORPORATION OF TWI - 100% indirect 1995-10-01 2008-09-25
FRANKLIN TEMPLETON ASSET MANAGEMENT (INDIA) PRIVATE LIMITED PARENT CORPORATION OF TWI indirect 1995-10-01 2011-12-23
FRANKLIN TEMPLETON INVESTMENT TRUST MANAGEMENT CO., LTD. PARENT CORPORATION OF TWI indirect 1997-01-01 2012-06-28
FTI INSTITUTIONAL, LLC PARENT CORPORATION OF FTDI: 100% indirect 2001-10-01 2012-06-29
PELAGOS CAPITAL MANAGEMENT, LLC PARENT CORPORATION OF FTDI: 100% indirect 2001-10-01 2013-03-22
FRANKLIN ADVISORY SERVICES, LLC PARENT CORPORATION OF FTDI: 100% indirect 1999-04-01 2015-03-17
FRANKLIN MUTUAL ADVISERS, LLC PARENT CORPORATION OF FTDI: 100% indirect 1999-04-01 2015-04-08
FRANKLIN TEMPLETON INVESTMENT TRUST MANAGEMENT CO., LTD. PARENT CORPORATION OF TWI indirect 1997-01-01 2015-04-09
FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED PARENT CORPORATION OF TWI: 100% indirect 1993-03-01 2015-04-23
FRANKLIN TEMPLETON INVESTMENT TRUST MANAGEMENT CO., LTD. PARENT CORPORATION OF TWW indirect 1997-01-01 2016-06-22
FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED PARENT CORPORATION OF TWW: 100% indirect 1993-03-01 2016-12-23
FRANKLIN TEMPLETON INSTITUTIONAL, LLC PARENT CORPORATION OF REGISTRANT: 100% direct 2012-10-01 2016-12-23
FRANKLIN TEMPLETON INVESTMENTS CORP. PARENT CORPORATION OF TWI: 100% indirect 1992-10-01 2017-03-02
FRANKLIN ADVISERS, INC. PARENT CORPORATION OF REGISTRANT: 100% direct 1978-03-01 2017-03-09
PELAGOS CAPITAL MANAGEMENT, LLC PARENT CORPORATION OF FTILLC: 100% indirect 2001-10-01 2017-03-28
TEMPLETON ASSET MANAGEMENT LTD. PARENT CORPORATION OF TWI:100% indirect 1992-10-01 2017-04-21

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WESTERN ASSET OPPORTUNISTIC EXTENDED DURATION PORTFOLIO LLC United States 805-6342483055 Securitized Asset Fund 55,166,694 0 Master Fund
CROWN CITY CLO I KE LLC United States 805-6234199319 Securitized Asset Fund 5,000,138 0 Master Fund
WESTERN ASSET CLAYMORE INFLATION-LINKED SECURITIES & INCOME FUND CFC Cayman Islands 805-3546741016 Other Private Fund CONTROLLED FOREIGN CORPORATION 4,862,578 0
WESTERN ASSET INDIA BOND FUND LLC United States 805-8142187611 Hedge Fund 249,192,009 0
WESTERN ASSET EMERGING MARKETS CORPORATE CREDIT PORTFOLIO LLC United States 805-9929439135 Hedge Fund 192,897,014 0 Master Fund
PASADENA CDO United States 805-6742426764 Securitized Asset Fund 8,644,693 0
WESTERN ASSET GLOBAL MULTI-SECTOR LLC United States 805-2293466756 Hedge Fund 130,718,380 0 Master Fund
WESTERN ASSET CREDIT OPPORTUNITIES PORTFOLIO LLC United States 805-2755470242 Hedge Fund 1,645,581 0
WA OPPORTUNISTIC ASIAN SECURITIES PORTFOLIO LLC United States 805-7088501937 Hedge Fund 50,793,027 0 Master Fund
WESTERN ASSET EMERGING MARKETS LOCAL DEBT PORTFOLIO LLC United States 805-2178845430 Hedge Fund 404,743,460 0 Master Fund
WESTERN ASSET OPPORTUNISTIC US$ HIGH YIELD SECURITIES PORTFOLIO LLC United States 805-1448078922 Hedge Fund 254,005,885 0 Master Fund
WESTERN ASSET MORTGAGE OPPORTUNITY FUND, LP Cayman Islands 805-8627525723 Private Equity Fund 12,202,447 0
WESTERN ASSET STRUCTURED PRODUCT OPPORTUNITIES MASTER FUND, LTD Cayman Islands 805-3225488841 Hedge Fund 112,281,599 0 Master Fund
WESTERN ASSET OPPORTUNISTIC VALUE PORTFOLIO LLC United States 805-3533282887 Hedge Fund 34,968,748 0 Master Fund
WESTERN ASSET US CORE BOND FUND LLC United States 805-2369943542 Hedge Fund 1,069,133,891 0 Master Fund
WESTERN ASSET OPPORTUNISTIC NON-DOLLAR HEDGED PORTFOLIO LLC United States 805-1805738542 Hedge Fund 885,191 0 Master Fund
SIERRA MADRE FUNDING United States 805-7832503248 Securitized Asset Fund 224,760,920 0
WESTERN ASSET INSTITUTIONAL CASH RESERVES, LTD. Cayman Islands 805-2668706074 Liquidity Fund 3,325,229,543 1,000,000
WESTERN ASSET STRATEGIC US$ HIGH YIELD PORTFOLIO LLC United States 805-1075489256 Hedge Fund 141,179,434 0 Master Fund
WESTERN ASSET SHORT-DATED HIGH YIELD PORTFOLIO MASTER FUND, LTD Cayman Islands 805-8190008671 Hedge Fund 121,735,463 0 Master Fund
WESTERN ASSET MANAGED CURRENCY LTD Cayman Islands 805-4954703031 Hedge Fund 89,781,086 0 Master Fund
WESTERN ASSET GLOBAL SOVEREIGNQ FIXED INCOME LTD Cayman Islands 805-7856604379 Hedge Fund 5,700,916 0 Master Fund
WESTERN ASSET US INTERMEDIATE PLUS LLC United States 805-2490977163 Hedge Fund 474,951,929 0
MOUNTAIN HAWK III CLO, LTD. Cayman Islands 805-1673029911 Securitized Asset Fund 277,432,131 0
WESTERN ASSET TOTAL RETURN UNCONSTRAINED (TRU) BOND MASTER FUND LTD. Cayman Islands 805-3336260606 Hedge Fund 1,489,788,028 0 Master Fund
WESTERN ASSET MACRO OPPORTUNITIES ALTERNATIVES FUND, LTD. Cayman Islands 805-3149128969 Hedge Fund 563,817,254 0 Master Fund
CROWN CITY CLO I Cayman Islands 805-1902941657 Securitized Asset Fund 86,951,379 0
PALISADES CDO United States 805-4536842599 Securitized Asset Fund 73,859,543 0
WESTERN ASSET US ESG CORE PLUS FUND L.L.C. United States 805-2540405943 Securitized Asset Fund 35,028,522 0 Master Fund
WESTERN ASSET MACRO OPPORTUNITIES PORTFOLIO MASTER Cayman Islands 805-4217090495 Hedge Fund 2,225,277,708 0 Master Fund
WESTERN ASSET FLOATING RATE HIGH INCOME FUND LLC United States 805-4443145568 Hedge Fund 1,261,001,728 0 Master Fund
WESTERN ASSET US CORE PLUS LLC United States 805-4485912178 Hedge Fund 3,840,196,942 0 Master Fund
WESTERN ASSET US LONG DURATION LLC United States 805-7973953568 Hedge Fund 590,281,197 0 Master Fund
HUNTINGTON CDO United States 805-7001789936 Securitized Asset Fund 101,519,628 0
WESTERN ASSET MORTGAGE BACKED SECURITIES PORTFOLIO LLC United States 805-8612401366 Hedge Fund 2,142,408,565 0 Master Fund
WESTERN ASSET CHINA BOND FUND, LLC United States 805-8843964888 Hedge Fund 202,339,614 0 Master Fund
WESTERN ASSET OPPORTUNITY FUND LP Cayman Islands 805-2241593210 Hedge Fund 50,523,592 0
WESTERN ASSET GLOBAL REAL BOND FUND LTD Cayman Islands 805-4013580629 Hedge Fund 666,789,628 0
WESTERN ASSET BRAZIL BOND MASTER FUND LTD Cayman Islands 805-8353713217 Hedge Fund 64,437,947 0 Master Fund
WESTERN ASSET OPPORTUNISTIC STRUCTURED SECURITIES PORTFOLIO LLC United States 805-3445112971 Hedge Fund 310,030,855 0 Master Fund
DASH II CDO United States 805-8241424119 Securitized Asset Fund 15,634,153 0
MT. WILSON II CLO-CDO United States 805-2893605739 Securitized Asset Fund 256,337 0
WESTERN ASSET DYNAMIC FIXED INCOME PORTFOLIO MASTER FUND, LTD. Cayman Islands 805-6900543135 Hedge Fund 206,069,292 0 Master Fund
MOUNTAIN HAWK II CLO United States 805-5913372003 Securitized Asset Fund 121,618,454 0
WESTERN ASSET GLOBAL SOVEREIGN FIXED INCOME LTD Cayman Islands 805-1665535677 Hedge Fund 35,748,742 0 Master Fund
WESTERN ASSET CLAYMORE INFLATION-LINKED OPPORTUNITIES & INCOME FUND CFC Cayman Islands 805-9876726500 Other Private Fund CONTROLLED FOREIGN CORPORATION 9,849,286 0

WESTERN ASSET MANAGEMENT COMPANY, LLC

ownership team - last updated 2020-08-31
Name Title Start Date Direct/Indirect % Ownership
HIRSCHMANN, JAMES, WILLIAM DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT 04/01/1989 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT direct 1989-04-01
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR, PRESIDENT & CEO direct 1989-04-01 2006-02-24
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR AND CHIEF EXECUTIVE OFFICER direct 1989-04-01 2009-04-27
WESTERN ASSET MANAGEMENT CO LTD MANAGING DIRECTOR AND DIRECTOR direct 1997-01-01 2012-06-29
LEGG MASON, INC. SOLE SHAREHOLDER OF APPLICANT 12/01/1986 Direct 75% or more
Fund Name Position direct/indirect start date end date
LEGG MASON FUND ADVISER INC SOLE SHAREHOLDER direct 1982-01-01
CLEARBRIDGE, LLC SOLE MEMBER direct 1982-10-01
WESTERN ASSET MANAGEMENT COMPANY SOLE SHAREHOLDER OF APPLICANT direct 1986-12-01
LM FINANCIAL PARTNERS, INC. STOCKHOLDER direct 1992-10-01
GRAY SEIFERT & CO INC SOLE SHAREHOLDER direct 1994-04-01
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC. SHAREHOLDER direct 1994-09-01
BARTLETT & CO SOLE SHAREHOLDER direct 1996-01-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 1996-02-01
LM INSTITUTIONAL ADVISORS INC SOLE SHAREHOLDER direct 1998-02-01
LEGG MASON INVESTMENT COUNSEL & TRUST COMPANY, N.A. SOLE OWNER direct 1999-05-01
BINGHAM LEGG ADVISERS LLC OWNER direct 1999-09-01
LEGG MASON FUNDS MANAGEMENT INC. SOLE SHAREHOLDER direct 2000-06-01
LEGG MASON FOCUS CAPITAL, INC. SOLE SHAREHOLDER direct 2001-05-01
PRIVATE CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER / SOLE MEMBER indirect 2001-08-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 2005-03-01
LEGG MASON INTERNATIONAL EQUITIES (SINGAPORE) PTE. LIMITED SOLE STOCKHOLDER indirect 2005-05-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-12-01
WESTERN ASSET MANAGEMENT COMPANY LTD SOLE SHAREHOLDER OF APPLICANT direct 2005-12-01
TIMCO ASSET MANAGEMENT, INC. SOLE SHAREHOLDER direct 2005-12-01
MASTHOLM ASSET MANAGEMENT LLC SOLE SHAREHOLDER OF SALOMON ASSET MANAGEMENT indirect 2005-12-01
LEGG MASON INTERNATIONAL EQUITIES LIMITED 100% SHAREHOLDER indirect 2005-12-01
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE STOCKHOLDER direct 2005-12-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC SOLE MEMBER direct 2006-10-01
LEGG MASON GLOBAL ASSET ALLOCATION, LLC SOLE MEMBER direct 2006-10-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC SOLE MEMBER direct 2007-11-01
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2011-03-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED SOLE STOCKHOLDER indirect 2011-03-01
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC SOLE MEMBER indirect 2014-03-01
QS INVESTORS, LLC SOLE MEMBER indirect 2014-05-01
MARTIN CURRIE INC INDIRECT SHAREHOLDER indirect 2014-10-01
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED INDIRECT OWNER indirect 2014-10-01
RARE INFRASTRUCTURE (NORTH AMERICA) PTY LTD SHAREHOLDER indirect 2015-10-01
ROYCE & ASSOCIATES, LP SOLE MEMBER indirect 2016-03-01
CLARION PARTNERS, LLC MEMBER indirect 2016-04-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
FINANCIAL GUARD, LLC MAJORITY MEMBER direct 2016-08-01
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER OF LM HOLDINGS LIMITED direct 1996-02-01 2001-04-26
ROYCE & ASSOCIATES, INC. SOLE MEMBER indirect 2001-10-01 2002-02-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2001-02-01 2002-06-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2002-06-01 2004-09-29
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER direct 2004-10-01 2004-11-09
LEGG MASON REAL ESTATE SERVICES INC SOLE SHAREHOLDER OF APPLICANT direct 1990-10-01 2005-06-30
LEGG MASON WOOD WALKER, INCORPORATED STOCKHOLDER direct 1981-03-01 2005-11-18
LEGG MASON INVESTMENT COUNSEL, LLC SOLE MEMBER direct 2004-10-01 2005-12-02
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE MEMBER direct 2005-12-01 2006-01-09
TIMCO ASSET MANAGEMENT, INC. SOLE MEMBER direct 2005-12-01 2006-01-11
CITIGROUP ASSET MANAGEMENT LIMITED 100% SHAREHOLDER indirect 2005-12-01 2006-02-23
BERKSHIRE ASSET MANAGEMENT INC SOLE SHAREHOLDER direct 1999-09-01 2007-06-21
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER indirect 1996-02-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SHAREHOLDER indirect 2005-12-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-03-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DTVM LIMITADA JOINT SHAREHOLDER indirect 2008-01-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2010-07-27
LEGG MASON CAPITAL MANAGEMENT INC SOLE SHAREHOLDER direct 1982-10-01 2011-01-18
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2005-05-01 2011-01-19
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2011-03-31
PRIVATE CAPITAL MANAGEMENT, LP SOLE SHAREHOLDER/SOLE MEMBER indirect 2001-08-01 2013-06-17
CLEARBRIDGE ADVISORS, LLC SOLE MEMBER direct 2005-12-01 2013-07-19
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-09-30
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-10-27
QS INVESTORS, LLC SOLE MEMBER direct 2014-05-01 2015-06-17
ROYCE & ASSOCIATES, LLC SOLE MEMBER direct 2001-10-01 2015-06-24
LMM LLC MEMBER direct 1999-10-01 2016-03-29
EHRLICH, KEVIN CHIEF COMPLIANCE OFFICER 02/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY LIMITED CHIEF COMPLIANCE OFFICER direct 2007-01-01
WESTERN ASSET MANAGEMENT COMPANY CHIEF COMPLIANCE OFFICER direct 2007-02-01
RUYS DE PEREZ, CHARLES, ANTONY GENERAL COUNSEL AND SECRETARY 04/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
PUTNAM INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
THE PUTNAM ADVISORY COMPANY, LLC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
PUTNAM FUTURES ADVISORS INC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED GENERAL COUNSEL AND DIRECTOR direct 2007-04-01
WESTERN ASSET MANAGEMENT CO LTD GENERAL COUNSEL direct 2007-04-01
WESTERN ASSET MANAGEMENT COMPANY GENERAL COUNSEL AND SECRETARY direct 2007-04-01
TH LEE, PUTNAM CAPITAL MANAGEMENT, L.L.C. MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
PUTNAM INVESTMENTS LIMITED (U.K.) MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
PUTNAM INVESTMENTS LIMITED (U.K.) MANAGING DIRECTOR direct 2004-02-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD NON-EXECUTIVE DIRECTOR direct 2012-03-01
WESTERN ASSET MANAGEMENT COMPANY LTD NON-EMPLOYEE DIRECTOR direct 2012-02-01
WILLIAMS MURPHY, JENNIFER DIRECTOR AND CHIEF OPERATING OFFICER 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEGG MASON FUNDS MANAGEMENT INC. SENIOR VICE PRESIDENT,CHIEF FINANCIAL OFFICER, AND DIRECTOR direct 2000-06-01
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR AND CHIEF OPERATING OFFICER direct 2015-05-01
LEGG MASON FUNDS MANAGEMENT INC. SENIOR VICE PRESIDENT, COO, CFO AND DIRECTOR direct 2000-06-01 2004-06-30
LEGG MASON CAPITAL MANAGEMENT INC SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2004-07-01 2004-12-07
LEGG MASON CAPITAL MANAGEMENT INC SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND DIRECTOR direct 2004-07-01 2008-06-20
LEGG MASON CAPITAL MANAGEMENT INC SENIOR VICE PRESIDENT AND DIRECTOR direct 2004-07-01 2009-06-12
LEGG MASON CAPITAL MANAGEMENT INC CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR direct 2009-07-01 2011-01-18
LMM LLC CHIEF OPERATIONS OFFICER direct 1999-10-01 2012-06-20
LEGG MASON CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER direct 2009-07-01 2013-01-24
LEGG MASON CAPITAL MANAGEMENT, LLC MANAGER direct 2013-06-01 2014-03-10
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC NON-EMPLOYEE MANAGER direct 2013-08-01 2015-06-29
BERNARDI, MARZO, NMN DIRECTOR OF CLIENT SERVICE AND MARKETING 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR OF CLIENT SERVICE AND MARKETING direct 2015-05-01
WESTERN ASSET MANAGEMENT COMPANY DTVM LIMITADA EXECUTIVE DIRECTOR AND DIRECTOR direct 2008-08-01
MCNAMARA, DENNIS DIRECTOR OF PORTFOLIO OPERATIONS 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR OF PORTFOLIO OPERATIONS direct 2016-07-01
JOHNSON, JENNIFER, MORROW NON-EMPLOYEE DIRECTOR 07/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
TEMPLETON GLOBAL ADVISORS LIMITED DIRECTOR direct 2006-12-01
NICHOLLS, MATTHEW NON-EMPLOYEE DIRECTOR 07/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
FRANKLIN ADVISERS, INC. CHIEF FINANCIAL OFFICER direct 2019-07-01
PLAFKER, JED, ANDREW NON-EMPLOYEE DIRECTOR 07/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
FRANKLIN TEMPLETON ALTERNATIVE STRATEGIES, INC. EXECUTIVE VICE PRESIDENT direct 2003-03-01
FRANKLIN TEMPLETON INVESTIMENTOS (BRASIL) LTDA. MEMBER OF THE CONSULTING BOARD direct 2006-07-01
FRANKLIN TEMPLETON INSTITUTIONAL, LLC EXECUTIVE VICE PRESIDENT direct 2009-04-01
FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED DIRECTOR direct 2009-10-01
TEMPLETON ASSET MANAGEMENT LTD. DIRECTOR direct 2009-11-01
FRANKLIN TEMPLETON ASSET STRATEGIES, LLC DIRECTOR-INTERNATIONAL direct 2002-08-01 2003-01-10
FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED DIRECTOR direct 2001-08-01 2004-11-19
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED DIRECTOR direct 2003-04-01 2007-03-30
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED DIRECTOR AND JOINT CEO direct 2003-04-01 2008-10-16
FRANKLIN TEMPLETON PORTFOLIO ADVISORS, INC. DIRECTOR direct 2009-04-01 2010-12-23
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED DIRECTOR direct 2008-09-01 2012-08-08
FRANKLIN TEMPLETON ASSET MANAGEMENT (INDIA) PRIVATE LIMITED ALTERNATE DIRECTOR TO MARK MOBIUS direct 2008-10-01 2014-04-09
FRANKLIN RESOURCES, INC. SOLE SHAREHOLDER OF LEGG MASON, INC. LEGG MASON, INC. 07/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FRANKLIN TEMPLETON PORTFOLIO ADVISORS, INC. STOCKHOLDER direct 1978-03-01
FRANKLIN ADVISERS, INC. SHAREHOLDER direct 1978-03-01
TEMPLETON GLOBAL ADVISORS LIMITED PARENT CORPORATION indirect 1992-10-01
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LTD. PARENT CORPORATION indirect 1992-10-01
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC. SHAREHOLDER indirect 1992-10-01
HOLOWESKO PARTNERS LTD. PARENT indirect 1992-10-01
FRANKLIN TEMPLETON INVESTMENTS (ME) LIMITED PARENT CORPORATION OF TEMPLETON WORLDWIDE, INC. indirect 1992-10-01
TEMPLETON ASSET MANAGEMENT LTD. SHAREHOLDER indirect 1992-10-01
FRANKLIN TEMPLETON INVESTMENTS CORP. SHAREHOLDER indirect 1992-10-01
FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED SHAREHOLDER indirect 1993-03-01
FRANKLIN TEMPLETON ASSET MANAGEMENT (INDIA) PRIVATE LIMITED PARENT CORPORATION OF TEMPLETON WORLDWIDE, INC. indirect 1995-10-01
FRANKLIN TEMPLETON INVESTMENTS JAPAN LTD. PARENT CORPORATION OF TWI indirect 1996-09-01
FRANKLIN TEMPLETON INVESTMENT TRUST MANAGEMENT CO., LTD. SHAREHOLDER indirect 1997-01-01
FRANKLIN TEMPLETON ALTERNATIVE STRATEGIES, LLC PARENT CORPORATION OF TWI: 100% indirect 1999-04-01
FRANKLIN ADVISORY SERVICES, LLC PARENT CORPORATION OF FTDI: 100% indirect 1999-04-01
FRANKLIN MUTUAL ADVISERS, LLC PARENT CORPORATION OF FTDI: 100% indirect 1999-04-01
TEMPLETON INVESTMENT COUNSEL, LLC PARENT CORPORATION OF TWI:100% indirect 2001-01-01
FIDUCIARY TRUST INTERNATIONAL LTD SHAREHOLDER indirect 2001-04-01
FIDUCIARY INVESTMENT MGMT INTL INC SHAREHOLDER indirect 2001-04-01
FIDUCIARY INTERNATIONAL INC SHAREHOLDER indirect 2001-04-01
FRANKLIN TEMPLETON INVESTIMENTOS (BRASIL) LTDA. PARENT CORPORATION OF TWI indirect 2001-07-01
FT ALPHAPARITY, LLC MEMBER indirect 2001-10-01
DARBY OVERSEAS PARTNERS, LP SHAREHOLDER indirect 2003-07-01
FRANKLIN INVESTMENT ADVISORY SERVICES, INC. PARENT CORPORATION OF FTDI indirect 2004-09-01
K2/D&S MANAGEMENT CO., L.L.C. PARENT ORGANIZATION: 100% indirect 2012-10-01
K2 ADVISORS, L.L.C. PARENT ORGANIZATION: 100% indirect 2012-10-01
FRANKLIN TEMPLETON INSTITUTIONAL, LLC MEMBER direct 2012-10-01
FRANKLIN ADVISERS, INC. STOCKHOLDER direct 1978-03-01 2000-11-11
TEMPLETON ASSET MANAGEMENT LTD. PARENT CORPORATION OF TWI:100% indirect 1999-04-01 2001-08-17
FRANKLIN INVESTMENT ADVISORY SERVICES, INC. PARENT CORPORATION direct 1996-05-01 2004-06-25
FRANKLIN MANAGEMENT, INC. STOCKHOLDER direct 1992-10-01 2004-12-17
FRANKLIN TEMPLETON ASSET STRATEGIES, LLC PARENT CORPORATION OF TWI: 100% indirect 2003-05-01 2004-12-18
FRANKLIN TEMPLETON ASSET MANAGEMENT (INDIA) PRIVATE LIMITED PARENT CORPORATION OF TWI - 100% indirect 1995-10-01 2008-09-25
FRANKLIN TEMPLETON ASSET MANAGEMENT (INDIA) PRIVATE LIMITED PARENT CORPORATION OF TWI indirect 1995-10-01 2011-12-23
FRANKLIN TEMPLETON INVESTMENT TRUST MANAGEMENT CO., LTD. PARENT CORPORATION OF TWI indirect 1997-01-01 2012-06-28
FTI INSTITUTIONAL, LLC PARENT CORPORATION OF FTDI: 100% indirect 2001-10-01 2012-06-29
PELAGOS CAPITAL MANAGEMENT, LLC PARENT CORPORATION OF FTDI: 100% indirect 2001-10-01 2013-03-22
FRANKLIN ADVISORY SERVICES, LLC PARENT CORPORATION OF FTDI: 100% indirect 1999-04-01 2015-03-17
FRANKLIN MUTUAL ADVISERS, LLC PARENT CORPORATION OF FTDI: 100% indirect 1999-04-01 2015-04-08
FRANKLIN TEMPLETON INVESTMENT TRUST MANAGEMENT CO., LTD. PARENT CORPORATION OF TWI indirect 1997-01-01 2015-04-09
FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED PARENT CORPORATION OF TWI: 100% indirect 1993-03-01 2015-04-23
FRANKLIN TEMPLETON INVESTMENT TRUST MANAGEMENT CO., LTD. PARENT CORPORATION OF TWW indirect 1997-01-01 2016-06-22
FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED PARENT CORPORATION OF TWW: 100% indirect 1993-03-01 2016-12-23
FRANKLIN TEMPLETON INSTITUTIONAL, LLC PARENT CORPORATION OF REGISTRANT: 100% direct 2012-10-01 2016-12-23
FRANKLIN TEMPLETON INVESTMENTS CORP. PARENT CORPORATION OF TWI: 100% indirect 1992-10-01 2017-03-02
FRANKLIN ADVISERS, INC. PARENT CORPORATION OF REGISTRANT: 100% direct 1978-03-01 2017-03-09
PELAGOS CAPITAL MANAGEMENT, LLC PARENT CORPORATION OF FTILLC: 100% indirect 2001-10-01 2017-03-28
TEMPLETON ASSET MANAGEMENT LTD. PARENT CORPORATION OF TWI:100% indirect 1992-10-01 2017-04-21

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WESTERN ASSET US ESG CORE PLUS FUND L.L.C. United States 805-2540405943 Securitized Asset Fund 35,028,522 0 Master Fund
PALISADES CDO United States 805-4536842599 Securitized Asset Fund 73,859,543 0
WESTERN ASSET MACRO OPPORTUNITIES PORTFOLIO MASTER Cayman Islands 805-4217090495 Hedge Fund 2,225,277,708 0 Master Fund
WESTERN ASSET FLOATING RATE HIGH INCOME FUND LLC United States 805-4443145568 Hedge Fund 1,261,001,728 0 Master Fund
WESTERN ASSET US CORE PLUS LLC United States 805-4485912178 Hedge Fund 3,840,196,942 0 Master Fund
WESTERN ASSET US LONG DURATION LLC United States 805-7973953568 Hedge Fund 590,281,197 0 Master Fund
HUNTINGTON CDO United States 805-7001789936 Securitized Asset Fund 101,519,628 0
WESTERN ASSET MORTGAGE BACKED SECURITIES PORTFOLIO LLC United States 805-8612401366 Hedge Fund 2,142,408,565 0 Master Fund
WESTERN ASSET CHINA BOND FUND, LLC United States 805-8843964888 Hedge Fund 202,339,614 0 Master Fund
WESTERN ASSET OPPORTUNITY FUND LP Cayman Islands 805-2241593210 Hedge Fund 50,523,592 0
WESTERN ASSET GLOBAL REAL BOND FUND LTD Cayman Islands 805-4013580629 Hedge Fund 666,789,628 0
WESTERN ASSET BRAZIL BOND MASTER FUND LTD Cayman Islands 805-8353713217 Hedge Fund 64,437,947 0 Master Fund
WESTERN ASSET OPPORTUNISTIC STRUCTURED SECURITIES PORTFOLIO LLC United States 805-3445112971 Hedge Fund 310,030,855 0 Master Fund
DASH II CDO United States 805-8241424119 Securitized Asset Fund 15,634,153 0
MT. WILSON II CLO-CDO United States 805-2893605739 Securitized Asset Fund 256,337 0
WESTERN ASSET DYNAMIC FIXED INCOME PORTFOLIO MASTER FUND, LTD. Cayman Islands 805-6900543135 Hedge Fund 206,069,292 0 Master Fund
MOUNTAIN HAWK II CLO United States 805-5913372003 Securitized Asset Fund 121,618,454 0
WESTERN ASSET GLOBAL SOVEREIGN FIXED INCOME LTD Cayman Islands 805-1665535677 Hedge Fund 35,748,742 0 Master Fund
WESTERN ASSET CLAYMORE INFLATION-LINKED OPPORTUNITIES & INCOME FUND CFC Cayman Islands 805-9876726500 Other Private Fund CONTROLLED FOREIGN CORPORATION 9,849,286 0
WESTERN ASSET CLAYMORE INFLATION-LINKED SECURITIES & INCOME FUND CFC Cayman Islands 805-3546741016 Other Private Fund CONTROLLED FOREIGN CORPORATION 4,862,578 0
WESTERN ASSET INDIA BOND FUND LLC United States 805-8142187611 Hedge Fund 249,192,009 0
WESTERN ASSET EMERGING MARKETS CORPORATE CREDIT PORTFOLIO LLC United States 805-9929439135 Hedge Fund 192,897,014 0 Master Fund
PASADENA CDO United States 805-6742426764 Securitized Asset Fund 8,644,693 0
WESTERN ASSET GLOBAL MULTI-SECTOR LLC United States 805-2293466756 Hedge Fund 130,718,380 0 Master Fund
WESTERN ASSET CREDIT OPPORTUNITIES PORTFOLIO LLC United States 805-2755470242 Hedge Fund 1,645,581 0
WA OPPORTUNISTIC ASIAN SECURITIES PORTFOLIO LLC United States 805-7088501937 Hedge Fund 50,793,027 0 Master Fund
WESTERN ASSET EMERGING MARKETS LOCAL DEBT PORTFOLIO LLC United States 805-2178845430 Hedge Fund 404,743,460 0 Master Fund
WESTERN ASSET OPPORTUNISTIC US$ HIGH YIELD SECURITIES PORTFOLIO LLC United States 805-1448078922 Hedge Fund 254,005,885 0 Master Fund
WESTERN ASSET MORTGAGE OPPORTUNITY FUND, LP Cayman Islands 805-8627525723 Private Equity Fund 12,202,447 0
WESTERN ASSET STRUCTURED PRODUCT OPPORTUNITIES MASTER FUND, LTD Cayman Islands 805-3225488841 Hedge Fund 112,281,599 0 Master Fund
WESTERN ASSET OPPORTUNISTIC VALUE PORTFOLIO LLC United States 805-3533282887 Hedge Fund 34,968,748 0 Master Fund
WESTERN ASSET US CORE BOND FUND LLC United States 805-2369943542 Hedge Fund 1,069,133,891 0 Master Fund
WESTERN ASSET OPPORTUNISTIC NON-DOLLAR HEDGED PORTFOLIO LLC United States 805-1805738542 Hedge Fund 885,191 0 Master Fund
SIERRA MADRE FUNDING United States 805-7832503248 Securitized Asset Fund 224,760,920 0
WESTERN ASSET INSTITUTIONAL CASH RESERVES, LTD. Cayman Islands 805-2668706074 Liquidity Fund 3,325,229,543 1,000,000
WESTERN ASSET STRATEGIC US$ HIGH YIELD PORTFOLIO LLC United States 805-1075489256 Hedge Fund 141,179,434 0 Master Fund
WESTERN ASSET SHORT-DATED HIGH YIELD PORTFOLIO MASTER FUND, LTD Cayman Islands 805-8190008671 Hedge Fund 121,735,463 0 Master Fund
WESTERN ASSET MANAGED CURRENCY LTD Cayman Islands 805-4954703031 Hedge Fund 89,781,086 0 Master Fund
WESTERN ASSET GLOBAL SOVEREIGNQ FIXED INCOME LTD Cayman Islands 805-7856604379 Hedge Fund 5,700,916 0 Master Fund
WESTERN ASSET US INTERMEDIATE PLUS LLC United States 805-2490977163 Hedge Fund 474,951,929 0
MOUNTAIN HAWK III CLO, LTD. Cayman Islands 805-1673029911 Securitized Asset Fund 277,432,131 0
WESTERN ASSET TOTAL RETURN UNCONSTRAINED (TRU) BOND MASTER FUND LTD. Cayman Islands 805-3336260606 Hedge Fund 1,489,788,028 0 Master Fund
WESTERN ASSET MACRO OPPORTUNITIES ALTERNATIVES FUND, LTD. Cayman Islands 805-3149128969 Hedge Fund 563,817,254 0 Master Fund
CROWN CITY CLO I Cayman Islands 805-1902941657 Securitized Asset Fund 86,951,379 0

WESTERN ASSET MANAGEMENT COMPANY, LLC

ownership team - last updated 2020-06-26
Name Title Start Date Direct/Indirect % Ownership
HIRSCHMANN, JAMES, WILLIAM DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT 04/01/1989 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT direct 1989-04-01
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR, PRESIDENT & CEO direct 1989-04-01 2006-02-24
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR AND CHIEF EXECUTIVE OFFICER direct 1989-04-01 2009-04-27
WESTERN ASSET MANAGEMENT CO LTD MANAGING DIRECTOR AND DIRECTOR direct 1997-01-01 2012-06-29
LEGG MASON, INC. SOLE SHAREHOLDER OF APPLICANT 12/01/1986 Direct 75% or more
Fund Name Position direct/indirect start date end date
LEGG MASON FUND ADVISER INC SOLE SHAREHOLDER direct 1982-01-01
CLEARBRIDGE, LLC SOLE MEMBER direct 1982-10-01
WESTERN ASSET MANAGEMENT COMPANY SOLE SHAREHOLDER OF APPLICANT direct 1986-12-01
LM FINANCIAL PARTNERS, INC. STOCKHOLDER direct 1992-10-01
GRAY SEIFERT & CO INC SOLE SHAREHOLDER direct 1994-04-01
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC. SHAREHOLDER direct 1994-09-01
BARTLETT & CO SOLE SHAREHOLDER direct 1996-01-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 1996-02-01
LM INSTITUTIONAL ADVISORS INC SOLE SHAREHOLDER direct 1998-02-01
LEGG MASON INVESTMENT COUNSEL & TRUST COMPANY, N.A. SOLE OWNER direct 1999-05-01
BINGHAM LEGG ADVISERS LLC OWNER direct 1999-09-01
LEGG MASON FUNDS MANAGEMENT INC. SOLE SHAREHOLDER direct 2000-06-01
LEGG MASON FOCUS CAPITAL, INC. SOLE SHAREHOLDER direct 2001-05-01
PRIVATE CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER / SOLE MEMBER indirect 2001-08-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 2005-03-01
LEGG MASON INTERNATIONAL EQUITIES (SINGAPORE) PTE. LIMITED SOLE STOCKHOLDER indirect 2005-05-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-12-01
WESTERN ASSET MANAGEMENT COMPANY LTD SOLE SHAREHOLDER OF APPLICANT direct 2005-12-01
TIMCO ASSET MANAGEMENT, INC. SOLE SHAREHOLDER direct 2005-12-01
MASTHOLM ASSET MANAGEMENT LLC SOLE SHAREHOLDER OF SALOMON ASSET MANAGEMENT indirect 2005-12-01
LEGG MASON INTERNATIONAL EQUITIES LIMITED 100% SHAREHOLDER indirect 2005-12-01
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE STOCKHOLDER direct 2005-12-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC SOLE MEMBER direct 2006-10-01
LEGG MASON GLOBAL ASSET ALLOCATION, LLC SOLE MEMBER direct 2006-10-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC SOLE MEMBER direct 2007-11-01
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2011-03-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED SOLE STOCKHOLDER indirect 2011-03-01
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC SOLE MEMBER indirect 2014-03-01
QS INVESTORS, LLC SOLE MEMBER indirect 2014-05-01
MARTIN CURRIE INC INDIRECT SHAREHOLDER indirect 2014-10-01
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED INDIRECT OWNER indirect 2014-10-01
RARE INFRASTRUCTURE (NORTH AMERICA) PTY LTD SHAREHOLDER indirect 2015-10-01
ROYCE & ASSOCIATES, LP SOLE MEMBER indirect 2016-03-01
CLARION PARTNERS, LLC MEMBER indirect 2016-04-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
FINANCIAL GUARD, LLC MAJORITY MEMBER direct 2016-08-01
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER OF LM HOLDINGS LIMITED direct 1996-02-01 2001-04-26
ROYCE & ASSOCIATES, INC. SOLE MEMBER indirect 2001-10-01 2002-02-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2001-02-01 2002-06-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2002-06-01 2004-09-29
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER direct 2004-10-01 2004-11-09
LEGG MASON REAL ESTATE SERVICES INC SOLE SHAREHOLDER OF APPLICANT direct 1990-10-01 2005-06-30
LEGG MASON WOOD WALKER, INCORPORATED STOCKHOLDER direct 1981-03-01 2005-11-18
LEGG MASON INVESTMENT COUNSEL, LLC SOLE MEMBER direct 2004-10-01 2005-12-02
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE MEMBER direct 2005-12-01 2006-01-09
TIMCO ASSET MANAGEMENT, INC. SOLE MEMBER direct 2005-12-01 2006-01-11
CITIGROUP ASSET MANAGEMENT LIMITED 100% SHAREHOLDER indirect 2005-12-01 2006-02-23
BERKSHIRE ASSET MANAGEMENT INC SOLE SHAREHOLDER direct 1999-09-01 2007-06-21
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER indirect 1996-02-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SHAREHOLDER indirect 2005-12-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-03-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DTVM LIMITADA JOINT SHAREHOLDER indirect 2008-01-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2010-07-27
LEGG MASON CAPITAL MANAGEMENT INC SOLE SHAREHOLDER direct 1982-10-01 2011-01-18
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2005-05-01 2011-01-19
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2011-03-31
PRIVATE CAPITAL MANAGEMENT, LP SOLE SHAREHOLDER/SOLE MEMBER indirect 2001-08-01 2013-06-17
CLEARBRIDGE ADVISORS, LLC SOLE MEMBER direct 2005-12-01 2013-07-19
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-09-30
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-10-27
QS INVESTORS, LLC SOLE MEMBER direct 2014-05-01 2015-06-17
ROYCE & ASSOCIATES, LLC SOLE MEMBER direct 2001-10-01 2015-06-24
LMM LLC MEMBER direct 1999-10-01 2016-03-29
EHRLICH, KEVIN CHIEF COMPLIANCE OFFICER 02/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY LIMITED CHIEF COMPLIANCE OFFICER direct 2007-01-01
WESTERN ASSET MANAGEMENT COMPANY CHIEF COMPLIANCE OFFICER direct 2007-02-01
RUYS DE PEREZ, CHARLES, ANTONY GENERAL COUNSEL AND SECRETARY 04/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
PUTNAM INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
THE PUTNAM ADVISORY COMPANY, LLC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
PUTNAM FUTURES ADVISORS INC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED GENERAL COUNSEL AND DIRECTOR direct 2007-04-01
WESTERN ASSET MANAGEMENT CO LTD GENERAL COUNSEL direct 2007-04-01
WESTERN ASSET MANAGEMENT COMPANY GENERAL COUNSEL AND SECRETARY direct 2007-04-01
TH LEE, PUTNAM CAPITAL MANAGEMENT, L.L.C. MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
PUTNAM INVESTMENTS LIMITED (U.K.) MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
PUTNAM INVESTMENTS LIMITED (U.K.) MANAGING DIRECTOR direct 2004-02-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD NON-EXECUTIVE DIRECTOR direct 2012-03-01
WESTERN ASSET MANAGEMENT COMPANY LTD NON-EMPLOYEE DIRECTOR direct 2012-02-01
NACHTWEY, PETER, HAMILTON NON-EMPLOYEE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE ASSET MANAGEMENT INC DIRECTOR direct 2011-03-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS direct 2011-04-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS AND LIMITED PARTNER direct 2011-04-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS indirect 2011-04-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS AND MEMBER indirect 2011-04-01
LEGG MASON INTERNATIONAL EQUITIES LIMITED NON-EXECUTIVE DIRECTOR direct 2011-07-01
WESTERN ASSET MANAGEMENT COMPANY NON-EMPLOYEE DIRECTOR direct 2015-06-01
BATTERYMARCH FINANCIAL MANAGEMENT INC NON-EMPLOYEE DIRECTOR direct 2011-03-01
LEGG MASON CAPITAL MANAGEMENT, LLC MANAGER direct 2011-10-01
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC NON-EMPLOYEE MANAGER direct 2011-04-01
CARLYLE INVESTMENT MANAGEMENT L.L.C. MANAGING DIRECTOR/CFO direct 2007-07-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2011-03-01
LEGG MASON PARTNERS FUND ADVISOR, LLC MANAGER direct 2011-03-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC DIRECTOR direct 2011-03-01
LEGG MASON GLOBAL ASSET ALLOCATION, LLC DIRECTOR direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2011-03-01
MERCHANT, THOMAS, CLIFTON NON-EMPLOYEE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY LIMITED NON-EXECUTIVE DIRECTOR direct 2014-01-01
WESTERN ASSET MANAGEMENT COMPANY NON-EMPLOYEE DIRECTOR direct 2015-06-01
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC. DIRECTOR direct 2015-06-01
LEGG MASON CAPITAL MANAGEMENT, LLC SECRETARY direct 2011-03-01
LEGG MASON FUND ADVISER INC VICE PRESIDENT AND ASSISTANT SECRETARY direct 2007-06-01
BRANDYWINE ASSET MANAGEMENT, LLC ASSISTANT SECRETARY direct 2001-10-01
LEGG MASON INVESTMENT COUNSEL, LLC SECRETARY direct 2004-10-01
PERMAL CAPITAL MANAGEMENT, LLC MANAGER direct 2016-05-01
QS LEGG MASON GLOBAL ASSET ALLOCATION, LLC DIRECTOR direct 2015-06-01
QS INVESTORS, LLC DIRECTOR direct 2015-06-01
WILLIAMS MURPHY, JENNIFER DIRECTOR AND CHIEF OPERATING OFFICER 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEGG MASON FUNDS MANAGEMENT INC. SENIOR VICE PRESIDENT,CHIEF FINANCIAL OFFICER, AND DIRECTOR direct 2000-06-01
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR AND CHIEF OPERATING OFFICER direct 2015-05-01
LEGG MASON FUNDS MANAGEMENT INC. SENIOR VICE PRESIDENT, COO, CFO AND DIRECTOR direct 2000-06-01 2004-06-30
LEGG MASON CAPITAL MANAGEMENT INC SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2004-07-01 2004-12-07
LEGG MASON CAPITAL MANAGEMENT INC SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND DIRECTOR direct 2004-07-01 2008-06-20
LEGG MASON CAPITAL MANAGEMENT INC SENIOR VICE PRESIDENT AND DIRECTOR direct 2004-07-01 2009-06-12
LEGG MASON CAPITAL MANAGEMENT INC CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR direct 2009-07-01 2011-01-18
LMM LLC CHIEF OPERATIONS OFFICER direct 1999-10-01 2012-06-20
LEGG MASON CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER direct 2009-07-01 2013-01-24
LEGG MASON CAPITAL MANAGEMENT, LLC MANAGER direct 2013-06-01 2014-03-10
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC NON-EMPLOYEE MANAGER direct 2013-08-01 2015-06-29
BERNARDI, MARZO, NMN DIRECTOR OF CLIENT SERVICE AND MARKETING 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR OF CLIENT SERVICE AND MARKETING direct 2015-05-01
WESTERN ASSET MANAGEMENT COMPANY DTVM LIMITADA EXECUTIVE DIRECTOR AND DIRECTOR direct 2008-08-01
MCNAMARA, DENNIS DIRECTOR OF PORTFOLIO OPERATIONS 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR OF PORTFOLIO OPERATIONS direct 2016-07-01
TRUST, JANE, ELIZABETH NON-EMPLOYEE DIRECTOR 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEGG MASON PARTNERS FUND ADVISOR, LLC SENIOR VICE PRESIDENT direct 2015-04-01
LEGG MASON PARTNERS FUND ADVISOR, LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2015-08-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PALISADES CDO United States 805-4536842599 Securitized Asset Fund 73,859,543 0
WESTERN ASSET MACRO OPPORTUNITIES PORTFOLIO MASTER Cayman Islands 805-4217090495 Hedge Fund 2,225,277,708 0 Master Fund
WESTERN ASSET FLOATING RATE HIGH INCOME FUND LLC United States 805-4443145568 Hedge Fund 1,261,001,728 0 Master Fund
WESTERN ASSET US CORE PLUS LLC United States 805-4485912178 Hedge Fund 3,840,196,942 0 Master Fund
WESTERN ASSET US LONG DURATION LLC United States 805-7973953568 Hedge Fund 590,281,197 0 Master Fund
HUNTINGTON CDO United States 805-7001789936 Securitized Asset Fund 101,519,628 0
WESTERN ASSET MORTGAGE BACKED SECURITIES PORTFOLIO LLC United States 805-8612401366 Hedge Fund 2,142,408,565 0 Master Fund
WESTERN ASSET CHINA BOND FUND, LLC United States 805-8843964888 Hedge Fund 202,339,614 0 Master Fund
WESTERN ASSET OPPORTUNITY FUND LP Cayman Islands 805-2241593210 Hedge Fund 50,523,592 0
WESTERN ASSET GLOBAL REAL BOND FUND LTD Cayman Islands 805-4013580629 Hedge Fund 666,789,628 0
WESTERN ASSET BRAZIL BOND MASTER FUND LTD Cayman Islands 805-8353713217 Hedge Fund 64,437,947 0 Master Fund
WESTERN ASSET OPPORTUNISTIC STRUCTURED SECURITIES PORTFOLIO LLC United States 805-3445112971 Hedge Fund 310,030,855 0 Master Fund
DASH II CDO United States 805-8241424119 Securitized Asset Fund 15,634,153 0
MT. WILSON II CLO-CDO United States 805-2893605739 Securitized Asset Fund 256,337 0
WESTERN ASSET DYNAMIC FIXED INCOME PORTFOLIO MASTER FUND, LTD. Cayman Islands 805-6900543135 Hedge Fund 206,069,292 0 Master Fund
MOUNTAIN HAWK II CLO United States 805-5913372003 Securitized Asset Fund 121,618,454 0
WESTERN ASSET GLOBAL SOVEREIGN FIXED INCOME LTD Cayman Islands 805-1665535677 Hedge Fund 35,748,742 0 Master Fund
WESTERN ASSET CLAYMORE INFLATION-LINKED OPPORTUNITIES & INCOME FUND CFC Cayman Islands 805-9876726500 Other Private Fund CONTROLLED FOREIGN CORPORATION 9,849,286 0
WESTERN ASSET CLAYMORE INFLATION-LINKED SECURITIES & INCOME FUND CFC Cayman Islands 805-3546741016 Other Private Fund CONTROLLED FOREIGN CORPORATION 4,862,578 0
WESTERN ASSET INDIA BOND FUND LLC United States 805-8142187611 Hedge Fund 249,192,009 0
WESTERN ASSET EMERGING MARKETS CORPORATE CREDIT PORTFOLIO LLC United States 805-9929439135 Hedge Fund 192,897,014 0 Master Fund
PASADENA CDO United States 805-6742426764 Securitized Asset Fund 8,644,693 0
WESTERN ASSET GLOBAL MULTI-SECTOR LLC United States 805-2293466756 Hedge Fund 130,718,380 0 Master Fund
WESTERN ASSET CREDIT OPPORTUNITIES PORTFOLIO LLC United States 805-2755470242 Hedge Fund 1,645,581 0
WA OPPORTUNISTIC ASIAN SECURITIES PORTFOLIO LLC United States 805-7088501937 Hedge Fund 50,793,027 0 Master Fund
WESTERN ASSET EMERGING MARKETS LOCAL DEBT PORTFOLIO LLC United States 805-2178845430 Hedge Fund 404,743,460 0 Master Fund
WESTERN ASSET OPPORTUNISTIC US$ HIGH YIELD SECURITIES PORTFOLIO LLC United States 805-1448078922 Hedge Fund 254,005,885 0 Master Fund
WESTERN ASSET MORTGAGE OPPORTUNITY FUND, LP Cayman Islands 805-8627525723 Private Equity Fund 12,202,447 0
WESTERN ASSET STRUCTURED PRODUCT OPPORTUNITIES MASTER FUND, LTD Cayman Islands 805-3225488841 Hedge Fund 112,281,599 0 Master Fund
WESTERN ASSET OPPORTUNISTIC VALUE PORTFOLIO LLC United States 805-3533282887 Hedge Fund 34,968,748 0 Master Fund
WESTERN ASSET US CORE BOND FUND LLC United States 805-2369943542 Hedge Fund 1,069,133,891 0 Master Fund
WESTERN ASSET OPPORTUNISTIC NON-DOLLAR HEDGED PORTFOLIO LLC United States 805-1805738542 Hedge Fund 885,191 0 Master Fund
SIERRA MADRE FUNDING United States 805-7832503248 Securitized Asset Fund 224,760,920 0
WESTERN ASSET INSTITUTIONAL CASH RESERVES, LTD. Cayman Islands 805-2668706074 Liquidity Fund 3,325,229,543 1,000,000
WESTERN ASSET STRATEGIC US$ HIGH YIELD PORTFOLIO LLC United States 805-1075489256 Hedge Fund 141,179,434 0 Master Fund
WESTERN ASSET MANAGED CURRENCY LTD Cayman Islands 805-4954703031 Hedge Fund 89,781,086 0 Master Fund
WESTERN ASSET GLOBAL SOVEREIGNQ FIXED INCOME LTD Cayman Islands 805-7856604379 Hedge Fund 5,700,916 0 Master Fund
WESTERN ASSET US INTERMEDIATE PLUS LLC United States 805-2490977163 Hedge Fund 474,951,929 0
WESTERN ASSET SHORT-DATED HIGH YIELD PORTFOLIO MASTER FUND, LTD Cayman Islands 805-8190008671 Hedge Fund 121,735,463 0 Master Fund
MOUNTAIN HAWK III CLO, LTD. Cayman Islands 805-1673029911 Securitized Asset Fund 277,432,131 0
WESTERN ASSET TOTAL RETURN UNCONSTRAINED (TRU) BOND MASTER FUND LTD. Cayman Islands 805-3336260606 Hedge Fund 1,489,788,028 0 Master Fund
WESTERN ASSET MACRO OPPORTUNITIES ALTERNATIVES FUND, LTD. Cayman Islands 805-3149128969 Hedge Fund 563,817,254 0 Master Fund

WESTERN ASSET MANAGEMENT COMPANY, LLC

ownership team - last updated 2020-03-24
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WESTERN ASSET US CORE PLUS LLC United States 805-4485912178 Hedge Fund 3,686,145,647 0 Master Fund
WESTERN ASSET US LONG DURATION LLC United States 805-7973953568 Hedge Fund 647,702,054 0 Master Fund
WAM GOVERNMENT CASH MANAGEMENT PORTFOLIO, LLC United States 805-8235074419 Liquidity Fund 2,339,643,623 0 Master Fund
WESTERN ASSET MORTGAGE BACKED SECURITIES PORTFOLIO LLC United States 805-8612401366 Hedge Fund 2,480,413,071 0 Master Fund
WESTERN ASSET CHINA BOND FUND, LLC United States 805-8843964888 Hedge Fund 46,773,248 0 Master Fund
WESTERN ASSET OPPORTUNISTIC VALUE PORTFOLIO LLC United States 805-3533282887 Hedge Fund 38,754,272 0 Master Fund
WESTERN ASSET US CORE BOND FUND LLC United States 805-2369943542 Hedge Fund 1,037,943,279 0
WESTERN ASSET OPPORTUNISTIC NON-DOLLAR HEDGED PORTFOLIO LLC United States 805-1805738542 Hedge Fund 1,044,379 0 Master Fund
WESTERN ASSET MACRO OPPORTUNITIES PORTFOLIO MASTER Cayman Islands 805-4217090495 Hedge Fund 2,239,216,634 0 Master Fund
WESTERN ASSET FLOATING RATE HIGH INCOME FUND LLC United States 805-4443145568 Hedge Fund 952,783,745 0 Master Fund
SIERRA MADRE FUNDING United States 805-7832503248 Securitized Asset Fund 288,678,782 0
HUNTINGTON CDO United States 805-7001789936 Securitized Asset Fund 124,712,587 0
WESTERN ASSET DYNAMIC FIXED INCOME PORTFOLIO MASTER FUND, LTD. Cayman Islands 805-6900543135 Hedge Fund 239,004,703 0 Master Fund
WESTERN ASSET INDIA BOND FUND LLC United States 805-8142187611 Hedge Fund 262,907,965 0
MOUNTAIN HAWK I CLO, LTD United States 805-4889903305 Securitized Asset Fund 2,169,663 0
PALISADES CDO United States 805-4536842599 Securitized Asset Fund 89,959,663 0
WESTERN ASSET GLOBAL REAL BOND FUND LTD Cayman Islands 805-4013580629 Hedge Fund 677,129,985 0
PASADENA CDO United States 805-6742426764 Securitized Asset Fund 11,477,089 0
WESTERN ASSET GLOBAL MULTI-SECTOR LLC United States 805-2293466756 Hedge Fund 183,319,861 0 Master Fund
WESTERN ASSET BRAZIL BOND MASTER FUND LTD Cayman Islands 805-8353713217 Hedge Fund 71,824,740 0 Master Fund
WESTERN ASSET CREDIT OPPORTUNITIES PORTFOLIO LLC United States 805-2755470242 Hedge Fund 1,699,404 0
WESTERN ASSET OPPORTUNITY FUND LP Cayman Islands 805-2241593210 Hedge Fund 284,220,219 0
WA OPPORTUNISTIC ASIAN SECURITIES PORTFOLIO LLC United States 805-7088501937 Hedge Fund 73,502,043 0 Master Fund
WESTERN ASSET EMERGING MARKETS LOCAL DEBT PORTFOLIO LLC United States 805-2178845430 Hedge Fund 404,743,460 0 Master Fund
WESTERN ASSET OPPORTUNISTIC US$ HIGH YIELD SECURITIES PORTFOLIO LLC United States 805-1448078922 Hedge Fund 419,295,749 0 Master Fund
WESTERN ASSET MORTGAGE OPPORTUNITY FUND, LP Cayman Islands 805-8627525723 Hedge Fund 34,234,965 0
WESTERN ASSET STRUCTURED PRODUCT OPPORTUNITIES MASTER FUND, LTD Cayman Islands 805-3225488841 Hedge Fund 164,137,654 0 Master Fund
WESTERN ASSET INSTITUTIONAL CASH RESERVES, LTD. Cayman Islands 805-2668706074 Liquidity Fund 4,098,328,089 1,000,000
WESTERN ASSET EMERGING MARKETS CORPORATE CREDIT PORTFOLIO LLC United States 805-9929439135 Hedge Fund 271,160,741 0 Master Fund
WESTERN ASSET MANAGED CURRENCY LTD Cayman Islands 805-4954703031 Hedge Fund 86,657,999 0 Master Fund
WESTERN ASSET GLOBAL SOVEREIGNQ FIXED INCOME LTD Cayman Islands 805-7856604379 Hedge Fund 5,546,218 0 Master Fund
WESTERN ASSET STRATEGIC US$ HIGH YIELD PORTFOLIO LLC United States 805-1075489256 Hedge Fund 195,528,822 0 Master Fund
WESTERN ASSET SHORT-DATED HIGH YIELD PORTFOLIO MASTER FUND, LTD Cayman Islands 805-8190008671 Hedge Fund 167,859,639 0 Master Fund
MOUNTAIN HAWK III CLO, LTD. Cayman Islands 805-1673029911 Securitized Asset Fund 416,243,112 0
WESTERN ASSET US INTERMEDIATE PLUS LLC United States 805-2490977163 Hedge Fund 484,244,136 0
WESTERN ASSET ANGELES CREST OPPORTUNITY FUND LLC Cayman Islands 805-1198593275 Hedge Fund 58,502,377 0
MOUNTAIN HAWK II CLO United States 805-5913372003 Securitized Asset Fund 251,648,169 0
WESTERN ASSET TOTAL RETURN UNCONSTRAINED (TRU) BOND MASTER FUND LTD. Cayman Islands 805-3336260606 Hedge Fund 1,613,869,792 0 Master Fund
WESTERN ASSET BRAZIL INTERNATIONAL FUND, LTD Cayman Islands 805-5911860116 Hedge Fund 1,137,767 0 Master Fund
WESTERN ASSET MACRO OPPORTUNITIES ALTERNATIVES FUND, LTD. Cayman Islands 805-3149128969 Hedge Fund 627,518,334 0 Master Fund
MT. WILSON II CLO-CDO United States 805-2893605739 Securitized Asset Fund 6,179,484 0
WESTERN ASSET CLAYMORE INFLATION-LINKED OPPORTUNITIES & INCOME FUND CFC Cayman Islands 805-9876726500 Other Private Fund CONTROLLED FOREIGN CORPORATION 17,893,926 0
WESTERN ASSET CLAYMORE INFLATION-LINKED SECURITIES & INCOME FUND CFC Cayman Islands 805-3546741016 Other Private Fund CONTROLLED FOREIGN CORPORATION 8,767,930 0
WESTERN ASSET OPPORTUNISTIC STRUCTURED SECURITIES PORTFOLIO LLC United States 805-3445112971 Hedge Fund 407,100,874 0 Master Fund
WESTERN ASSET GLOBAL SOVEREIGN FIXED INCOME LTD Cayman Islands 805-1665535677 Hedge Fund 34,228,096 0 Master Fund
DASH II CDO United States 805-8241424119 Securitized Asset Fund 30,411,127 0

WESTERN ASSET MANAGEMENT COMPANY, LLC

ownership team - last updated 2019-12-10
Name Title Start Date Direct/Indirect % Ownership
ALBERTS, BRUCE, DANIEL CHIEF FINANCIAL OFFICER 03/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY CHIEF FINANCIAL OFFICER direct 1999-03-01
HIRSCHMANN, JAMES, WILLIAM DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT 04/01/1989 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT direct 1989-04-01
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR, PRESIDENT & CEO direct 1989-04-01 2006-02-24
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR AND CHIEF EXECUTIVE OFFICER direct 1989-04-01 2009-04-27
WESTERN ASSET MANAGEMENT CO LTD MANAGING DIRECTOR AND DIRECTOR direct 1997-01-01 2012-06-29
LEGG MASON, INC. SOLE SHAREHOLDER OF APPLICANT 12/01/1986 Direct 75% or more
Fund Name Position direct/indirect start date end date
LEGG MASON FUND ADVISER INC SOLE SHAREHOLDER direct 1982-01-01
CLEARBRIDGE, LLC SOLE MEMBER direct 1982-10-01
WESTERN ASSET MANAGEMENT COMPANY SOLE SHAREHOLDER OF APPLICANT direct 1986-12-01
LM FINANCIAL PARTNERS, INC. STOCKHOLDER direct 1992-10-01
GRAY SEIFERT & CO INC SOLE SHAREHOLDER direct 1994-04-01
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC. SHAREHOLDER direct 1994-09-01
BARTLETT & CO SOLE SHAREHOLDER direct 1996-01-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 1996-02-01
LM INSTITUTIONAL ADVISORS INC SOLE SHAREHOLDER direct 1998-02-01
LEGG MASON INVESTMENT COUNSEL & TRUST COMPANY, N.A. SOLE OWNER direct 1999-05-01
BINGHAM LEGG ADVISERS LLC OWNER direct 1999-09-01
LEGG MASON FUNDS MANAGEMENT INC. SOLE SHAREHOLDER direct 2000-06-01
LEGG MASON FOCUS CAPITAL, INC. SOLE SHAREHOLDER direct 2001-05-01
PRIVATE CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER / SOLE MEMBER indirect 2001-08-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 2005-03-01
LEGG MASON INTERNATIONAL EQUITIES (SINGAPORE) PTE. LIMITED SOLE STOCKHOLDER indirect 2005-05-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-12-01
WESTERN ASSET MANAGEMENT COMPANY LTD SOLE SHAREHOLDER OF APPLICANT direct 2005-12-01
TIMCO ASSET MANAGEMENT, INC. SOLE SHAREHOLDER direct 2005-12-01
MASTHOLM ASSET MANAGEMENT LLC SOLE SHAREHOLDER OF SALOMON ASSET MANAGEMENT indirect 2005-12-01
LEGG MASON INTERNATIONAL EQUITIES LIMITED 100% SHAREHOLDER indirect 2005-12-01
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE STOCKHOLDER direct 2005-12-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC SOLE MEMBER direct 2006-10-01
LEGG MASON GLOBAL ASSET ALLOCATION, LLC SOLE MEMBER direct 2006-10-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC SOLE MEMBER direct 2007-11-01
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2011-03-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED SOLE STOCKHOLDER indirect 2011-03-01
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC SOLE MEMBER indirect 2014-03-01
QS INVESTORS, LLC SOLE MEMBER indirect 2014-05-01
MARTIN CURRIE INC INDIRECT SHAREHOLDER indirect 2014-10-01
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED INDIRECT OWNER indirect 2014-10-01
RARE INFRASTRUCTURE (NORTH AMERICA) PTY LTD SHAREHOLDER indirect 2015-10-01
ROYCE & ASSOCIATES, LP SOLE MEMBER indirect 2016-03-01
CLARION PARTNERS, LLC MEMBER indirect 2016-04-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
FINANCIAL GUARD, LLC MAJORITY MEMBER direct 2016-08-01
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER OF LM HOLDINGS LIMITED direct 1996-02-01 2001-04-26
ROYCE & ASSOCIATES, INC. SOLE MEMBER indirect 2001-10-01 2002-02-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2001-02-01 2002-06-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2002-06-01 2004-09-29
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER direct 2004-10-01 2004-11-09
LEGG MASON REAL ESTATE SERVICES INC SOLE SHAREHOLDER OF APPLICANT direct 1990-10-01 2005-06-30
LEGG MASON WOOD WALKER, INCORPORATED STOCKHOLDER direct 1981-03-01 2005-11-18
LEGG MASON INVESTMENT COUNSEL, LLC SOLE MEMBER direct 2004-10-01 2005-12-02
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE MEMBER direct 2005-12-01 2006-01-09
TIMCO ASSET MANAGEMENT, INC. SOLE MEMBER direct 2005-12-01 2006-01-11
CITIGROUP ASSET MANAGEMENT LIMITED 100% SHAREHOLDER indirect 2005-12-01 2006-02-23
BERKSHIRE ASSET MANAGEMENT INC SOLE SHAREHOLDER direct 1999-09-01 2007-06-21
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER indirect 1996-02-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SHAREHOLDER indirect 2005-12-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-03-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DTVM LIMITADA JOINT SHAREHOLDER indirect 2008-01-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2010-07-27
LEGG MASON CAPITAL MANAGEMENT INC SOLE SHAREHOLDER direct 1982-10-01 2011-01-18
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2005-05-01 2011-01-19
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2011-03-31
PRIVATE CAPITAL MANAGEMENT, LP SOLE SHAREHOLDER/SOLE MEMBER indirect 2001-08-01 2013-06-17
CLEARBRIDGE ADVISORS, LLC SOLE MEMBER direct 2005-12-01 2013-07-19
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-09-30
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-10-27
QS INVESTORS, LLC SOLE MEMBER direct 2014-05-01 2015-06-17
ROYCE & ASSOCIATES, LLC SOLE MEMBER direct 2001-10-01 2015-06-24
LMM LLC MEMBER direct 1999-10-01 2016-03-29
EHRLICH, KEVIN CHIEF COMPLIANCE OFFICER 02/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY LIMITED CHIEF COMPLIANCE OFFICER direct 2007-01-01
WESTERN ASSET MANAGEMENT COMPANY CHIEF COMPLIANCE OFFICER direct 2007-02-01
RUYS DE PEREZ, CHARLES, ANTONY GENERAL COUNSEL AND SECRETARY 04/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
PUTNAM INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
THE PUTNAM ADVISORY COMPANY, LLC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
PUTNAM FUTURES ADVISORS INC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED GENERAL COUNSEL AND DIRECTOR direct 2007-04-01
WESTERN ASSET MANAGEMENT CO LTD GENERAL COUNSEL direct 2007-04-01
WESTERN ASSET MANAGEMENT COMPANY GENERAL COUNSEL AND SECRETARY direct 2007-04-01
TH LEE, PUTNAM CAPITAL MANAGEMENT, L.L.C. MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
PUTNAM INVESTMENTS LIMITED (U.K.) MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
PUTNAM INVESTMENTS LIMITED (U.K.) MANAGING DIRECTOR direct 2004-02-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD NON-EXECUTIVE DIRECTOR direct 2012-03-01
WESTERN ASSET MANAGEMENT COMPANY LTD NON-EMPLOYEE DIRECTOR direct 2012-02-01
KENNEY, JOHN, DUFF NON-EMPLOYEE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS indirect 2015-06-01
ROYCE & ASSOCIATES, LLC MEMBER OF BOARD OF MANAGERS AND MEMBER indirect 2015-06-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS AND LIMITED PARTNER direct 2015-06-01
ROYCE & ASSOCIATES, LLC MEMBER OF BOARD OF MANAGERS direct 2015-06-01
WESTERN ASSET MANAGEMENT COMPANY NON-EMPLOYEE DIRECTOR direct 2015-06-01
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC. DIRECTOR direct 2014-05-01
BATTERYMARCH FINANCIAL MANAGEMENT INC NON-EMPLOYEE DIRECTOR direct 2014-05-01
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC ELECTED MANAGER direct 2015-07-01
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC NON-EMPLOYEE MANAGER direct 2015-07-01
PERMAL CAPITAL MANAGEMENT, LLC MANAGER direct 2016-05-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
LEGG MASON GLOBAL ASSET ALLOCATION, LLC CHIEF EXECUTIVE OFFICER direct 2011-09-01
QS LEGG MASON GLOBAL ASSET ALLOCATION, LLC DIRECTOR direct 2014-05-01
RARE INFRASTRUCTURE (NORTH AMERICA) PTY LIMITED DIRECTOR direct 2015-11-01
QS INVESTORS, LLC DIRECTOR direct 2014-05-01
NACHTWEY, PETER, HAMILTON NON-EMPLOYEE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE ASSET MANAGEMENT INC DIRECTOR direct 2011-03-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS direct 2011-04-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS AND LIMITED PARTNER direct 2011-04-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS indirect 2011-04-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS AND MEMBER indirect 2011-04-01
LEGG MASON INTERNATIONAL EQUITIES LIMITED NON-EXECUTIVE DIRECTOR direct 2011-07-01
WESTERN ASSET MANAGEMENT COMPANY NON-EMPLOYEE DIRECTOR direct 2015-06-01
BATTERYMARCH FINANCIAL MANAGEMENT INC NON-EMPLOYEE DIRECTOR direct 2011-03-01
LEGG MASON CAPITAL MANAGEMENT, LLC MANAGER direct 2011-10-01
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC NON-EMPLOYEE MANAGER direct 2011-04-01
CARLYLE INVESTMENT MANAGEMENT L.L.C. MANAGING DIRECTOR/CFO direct 2007-07-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2011-03-01
LEGG MASON PARTNERS FUND ADVISOR, LLC MANAGER direct 2011-03-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC DIRECTOR direct 2011-03-01
LEGG MASON GLOBAL ASSET ALLOCATION, LLC DIRECTOR direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2011-03-01
MERCHANT, THOMAS, CLIFTON NON-EMPLOYEE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY LIMITED NON-EXECUTIVE DIRECTOR direct 2014-01-01
WESTERN ASSET MANAGEMENT COMPANY NON-EMPLOYEE DIRECTOR direct 2015-06-01
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC. DIRECTOR direct 2015-06-01
LEGG MASON CAPITAL MANAGEMENT, LLC SECRETARY direct 2011-03-01
LEGG MASON FUND ADVISER INC VICE PRESIDENT AND ASSISTANT SECRETARY direct 2007-06-01
BRANDYWINE ASSET MANAGEMENT, LLC ASSISTANT SECRETARY direct 2001-10-01
LEGG MASON INVESTMENT COUNSEL, LLC SECRETARY direct 2004-10-01
PERMAL CAPITAL MANAGEMENT, LLC MANAGER direct 2016-05-01
QS LEGG MASON GLOBAL ASSET ALLOCATION, LLC DIRECTOR direct 2015-06-01
QS INVESTORS, LLC DIRECTOR direct 2015-06-01
WILLIAMS MURPHY, JENNIFER DIRECTOR AND CHIEF OPERATING OFFICER 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEGG MASON FUNDS MANAGEMENT INC. SENIOR VICE PRESIDENT,CHIEF FINANCIAL OFFICER, AND DIRECTOR direct 2000-06-01
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR AND CHIEF OPERATING OFFICER direct 2015-05-01
LEGG MASON FUNDS MANAGEMENT INC. SENIOR VICE PRESIDENT, COO, CFO AND DIRECTOR direct 2000-06-01 2004-06-30
LEGG MASON CAPITAL MANAGEMENT INC SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2004-07-01 2004-12-07
LEGG MASON CAPITAL MANAGEMENT INC SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND DIRECTOR direct 2004-07-01 2008-06-20
LEGG MASON CAPITAL MANAGEMENT INC SENIOR VICE PRESIDENT AND DIRECTOR direct 2004-07-01 2009-06-12
LEGG MASON CAPITAL MANAGEMENT INC CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR direct 2009-07-01 2011-01-18
LMM LLC CHIEF OPERATIONS OFFICER direct 1999-10-01 2012-06-20
LEGG MASON CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER direct 2009-07-01 2013-01-24
LEGG MASON CAPITAL MANAGEMENT, LLC MANAGER direct 2013-06-01 2014-03-10
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC NON-EMPLOYEE MANAGER direct 2013-08-01 2015-06-29
BERNARDI, MARZO, NMN DIRECTOR OF CLIENT SERVICE AND MARKETING 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR OF CLIENT SERVICE AND MARKETING direct 2015-05-01
WESTERN ASSET MANAGEMENT COMPANY DTVM LIMITADA EXECUTIVE DIRECTOR AND DIRECTOR direct 2008-08-01
MCNAMARA, DENNIS DIRECTOR OF PORTFOLIO OPERATIONS 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR OF PORTFOLIO OPERATIONS direct 2016-07-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WESTERN ASSET US LONG DURATION LLC United States 805-7973953568 Hedge Fund 647,702,054 0 Master Fund
WAM GOVERNMENT CASH MANAGEMENT PORTFOLIO, LLC United States 805-8235074419 Liquidity Fund 2,339,643,623 0 Master Fund
WESTERN ASSET MORTGAGE BACKED SECURITIES PORTFOLIO LLC United States 805-8612401366 Hedge Fund 2,480,413,071 0 Master Fund
WESTERN ASSET EMERGING MARKETS LOCAL DEBT PORTFOLIO LLC United States 805-2178845430 Hedge Fund 404,743,460 0 Master Fund
WESTERN ASSET OPPORTUNISTIC US$ HIGH YIELD SECURITIES PORTFOLIO LLC United States 805-1448078922 Hedge Fund 419,295,749 0 Master Fund
WESTERN ASSET MORTGAGE OPPORTUNITY FUND, LP Cayman Islands 805-8627525723 Hedge Fund 34,234,965 0
WESTERN ASSET STRUCTURED PRODUCT OPPORTUNITIES MASTER FUND, LTD Cayman Islands 805-3225488841 Hedge Fund 164,137,654 0 Master Fund
WESTERN ASSET INSTITUTIONAL CASH RESERVES, LTD. Cayman Islands 805-2668706074 Liquidity Fund 4,098,328,089 1,000,000
WESTERN ASSET EMERGING MARKETS CORPORATE CREDIT PORTFOLIO LLC United States 805-9929439135 Hedge Fund 271,160,741 0 Master Fund
WESTERN ASSET MANAGED CURRENCY LTD Cayman Islands 805-4954703031 Hedge Fund 86,657,999 0 Master Fund
WESTERN ASSET GLOBAL SOVEREIGNQ FIXED INCOME LTD Cayman Islands 805-7856604379 Hedge Fund 5,546,218 0 Master Fund
WESTERN ASSET GLOBAL MULTI-SECTOR LLC United States 805-2293466756 Hedge Fund 183,319,861 0 Master Fund
WESTERN ASSET GLOBAL REAL BOND FUND LTD Cayman Islands 805-4013580629 Hedge Fund 677,129,985 0
PASADENA CDO United States 805-6742426764 Securitized Asset Fund 11,477,089 0
WESTERN ASSET BRAZIL BOND MASTER FUND LTD Cayman Islands 805-8353713217 Hedge Fund 71,824,740 0 Master Fund
WESTERN ASSET CREDIT OPPORTUNITIES PORTFOLIO LLC United States 805-2755470242 Hedge Fund 1,699,404 0
WESTERN ASSET OPPORTUNITY FUND LP Cayman Islands 805-2241593210 Hedge Fund 284,220,219 0
WA OPPORTUNISTIC ASIAN SECURITIES PORTFOLIO LLC United States 805-7088501937 Hedge Fund 73,502,043 0 Master Fund
WESTERN ASSET MACRO OPPORTUNITIES ALTERNATIVES FUND, LTD. Cayman Islands 805-3149128969 Hedge Fund 627,518,334 0 Master Fund
MT. WILSON II CLO-CDO United States 805-2893605739 Securitized Asset Fund 6,179,484 0
WESTERN ASSET CLAYMORE INFLATION-LINKED OPPORTUNITIES & INCOME FUND CFC Cayman Islands 805-9876726500 Other Private Fund CONTROLLED FOREIGN CORPORATION 17,893,926 0
WESTERN ASSET CLAYMORE INFLATION-LINKED SECURITIES & INCOME FUND CFC Cayman Islands 805-3546741016 Other Private Fund CONTROLLED FOREIGN CORPORATION 8,767,930 0
WESTERN ASSET OPPORTUNISTIC STRUCTURED SECURITIES PORTFOLIO LLC United States 805-3445112971 Hedge Fund 407,100,874 0 Master Fund
WESTERN ASSET GLOBAL SOVEREIGN FIXED INCOME LTD Cayman Islands 805-1665535677 Hedge Fund 34,228,096 0 Master Fund
DASH II CDO United States 805-8241424119 Securitized Asset Fund 30,411,127 0
WESTERN ASSET US CORE PLUS LLC United States 805-4485912178 Hedge Fund 3,686,145,647 0 Master Fund
MOUNTAIN HAWK III CLO, LTD. Cayman Islands 805-1673029911 Securitized Asset Fund 416,243,112 0
WESTERN ASSET US INTERMEDIATE PLUS LLC United States 805-2490977163 Hedge Fund 484,244,136 0
WESTERN ASSET ANGELES CREST OPPORTUNITY FUND LLC Cayman Islands 805-1198593275 Hedge Fund 58,502,377 0
MOUNTAIN HAWK II CLO United States 805-5913372003 Securitized Asset Fund 251,648,169 0
WESTERN ASSET TOTAL RETURN UNCONSTRAINED (TRU) BOND MASTER FUND LTD. Cayman Islands 805-3336260606 Hedge Fund 1,613,869,792 0 Master Fund
WESTERN ASSET BRAZIL INTERNATIONAL FUND, LTD Cayman Islands 805-5911860116 Hedge Fund 1,137,767 0 Master Fund
WESTERN ASSET STRATEGIC US$ HIGH YIELD PORTFOLIO LLC United States 805-1075489256 Hedge Fund 195,528,822 0 Master Fund
WESTERN ASSET CHINA BOND FUND, LLC United States 805-8843964888 Hedge Fund 46,773,248 0 Master Fund
WESTERN ASSET OPPORTUNISTIC VALUE PORTFOLIO LLC United States 805-3533282887 Hedge Fund 38,754,272 0 Master Fund
WESTERN ASSET US CORE BOND FUND LLC United States 805-2369943542 Hedge Fund 1,037,943,279 0
WESTERN ASSET OPPORTUNISTIC NON-DOLLAR HEDGED PORTFOLIO LLC United States 805-1805738542 Hedge Fund 1,044,379 0 Master Fund
WESTERN ASSET MACRO OPPORTUNITIES PORTFOLIO MASTER Cayman Islands 805-4217090495 Hedge Fund 2,239,216,634 0 Master Fund
WESTERN ASSET FLOATING RATE HIGH INCOME FUND LLC United States 805-4443145568 Hedge Fund 952,783,745 0 Master Fund
SIERRA MADRE FUNDING United States 805-7832503248 Securitized Asset Fund 288,678,782 0
HUNTINGTON CDO United States 805-7001789936 Securitized Asset Fund 124,712,587 0
WESTERN ASSET DYNAMIC FIXED INCOME PORTFOLIO MASTER FUND, LTD. Cayman Islands 805-6900543135 Hedge Fund 239,004,703 0 Master Fund
WESTERN ASSET INDIA BOND FUND LLC United States 805-8142187611 Hedge Fund 262,907,965 0
MOUNTAIN HAWK I CLO, LTD United States 805-4889903305 Securitized Asset Fund 2,169,663 0
PALISADES CDO United States 805-4536842599 Securitized Asset Fund 89,959,663 0
WESTERN ASSET SHORT-DATED HIGH YIELD PORTFOLIO MASTER FUND, LTD Cayman Islands 805-8190008671 Hedge Fund 167,859,639 0 Master Fund

WESTERN ASSET MANAGEMENT COMPANY, LLC

ownership team - last updated 2019-06-28
Name Title Start Date Direct/Indirect % Ownership
ALBERTS, BRUCE, DANIEL CHIEF FINANCIAL OFFICER 03/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY CHIEF FINANCIAL OFFICER direct 1999-03-01
HIRSCHMANN, JAMES, WILLIAM DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT 04/01/1989 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT direct 1989-04-01
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR, PRESIDENT & CEO direct 1989-04-01 2006-02-24
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR AND CHIEF EXECUTIVE OFFICER direct 1989-04-01 2009-04-27
WESTERN ASSET MANAGEMENT CO LTD MANAGING DIRECTOR AND DIRECTOR direct 1997-01-01 2012-06-29
LEGG MASON, INC. SOLE SHAREHOLDER OF APPLICANT 12/01/1986 Direct 75% or more
Fund Name Position direct/indirect start date end date
LEGG MASON FUND ADVISER INC SOLE SHAREHOLDER direct 1982-01-01
CLEARBRIDGE, LLC SOLE MEMBER direct 1982-10-01
WESTERN ASSET MANAGEMENT COMPANY SOLE SHAREHOLDER OF APPLICANT direct 1986-12-01
LM FINANCIAL PARTNERS, INC. STOCKHOLDER direct 1992-10-01
GRAY SEIFERT & CO INC SOLE SHAREHOLDER direct 1994-04-01
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC. SHAREHOLDER direct 1994-09-01
BARTLETT & CO SOLE SHAREHOLDER direct 1996-01-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 1996-02-01
LM INSTITUTIONAL ADVISORS INC SOLE SHAREHOLDER direct 1998-02-01
LEGG MASON INVESTMENT COUNSEL & TRUST COMPANY, N.A. SOLE OWNER direct 1999-05-01
BINGHAM LEGG ADVISERS LLC OWNER direct 1999-09-01
LEGG MASON FUNDS MANAGEMENT INC. SOLE SHAREHOLDER direct 2000-06-01
LEGG MASON FOCUS CAPITAL, INC. SOLE SHAREHOLDER direct 2001-05-01
PRIVATE CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER / SOLE MEMBER indirect 2001-08-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 2005-03-01
LEGG MASON INTERNATIONAL EQUITIES (SINGAPORE) PTE. LIMITED SOLE STOCKHOLDER indirect 2005-05-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-12-01
WESTERN ASSET MANAGEMENT COMPANY LTD SOLE SHAREHOLDER OF APPLICANT direct 2005-12-01
TIMCO ASSET MANAGEMENT, INC. SOLE SHAREHOLDER direct 2005-12-01
MASTHOLM ASSET MANAGEMENT LLC SOLE SHAREHOLDER OF SALOMON ASSET MANAGEMENT indirect 2005-12-01
LEGG MASON INTERNATIONAL EQUITIES LIMITED 100% SHAREHOLDER indirect 2005-12-01
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE STOCKHOLDER direct 2005-12-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC SOLE MEMBER direct 2006-10-01
LEGG MASON GLOBAL ASSET ALLOCATION, LLC SOLE MEMBER direct 2006-10-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC SOLE MEMBER direct 2007-11-01
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2011-03-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED SOLE STOCKHOLDER indirect 2011-03-01
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC SOLE MEMBER indirect 2014-03-01
QS INVESTORS, LLC SOLE MEMBER indirect 2014-05-01
MARTIN CURRIE INC INDIRECT SHAREHOLDER indirect 2014-10-01
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED INDIRECT OWNER indirect 2014-10-01
RARE INFRASTRUCTURE (NORTH AMERICA) PTY LTD SHAREHOLDER indirect 2015-10-01
ROYCE & ASSOCIATES, LP SOLE MEMBER indirect 2016-03-01
CLARION PARTNERS, LLC MEMBER indirect 2016-04-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
FINANCIAL GUARD, LLC MAJORITY MEMBER direct 2016-08-01
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER OF LM HOLDINGS LIMITED direct 1996-02-01 2001-04-26
ROYCE & ASSOCIATES, INC. SOLE MEMBER indirect 2001-10-01 2002-02-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2001-02-01 2002-06-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2002-06-01 2004-09-29
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER direct 2004-10-01 2004-11-09
LEGG MASON REAL ESTATE SERVICES INC SOLE SHAREHOLDER OF APPLICANT direct 1990-10-01 2005-06-30
LEGG MASON WOOD WALKER, INCORPORATED STOCKHOLDER direct 1981-03-01 2005-11-18
LEGG MASON INVESTMENT COUNSEL, LLC SOLE MEMBER direct 2004-10-01 2005-12-02
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE MEMBER direct 2005-12-01 2006-01-09
TIMCO ASSET MANAGEMENT, INC. SOLE MEMBER direct 2005-12-01 2006-01-11
CITIGROUP ASSET MANAGEMENT LIMITED 100% SHAREHOLDER indirect 2005-12-01 2006-02-23
BERKSHIRE ASSET MANAGEMENT INC SOLE SHAREHOLDER direct 1999-09-01 2007-06-21
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER indirect 1996-02-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SHAREHOLDER indirect 2005-12-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-03-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DTVM LIMITADA JOINT SHAREHOLDER indirect 2008-01-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2010-07-27
LEGG MASON CAPITAL MANAGEMENT INC SOLE SHAREHOLDER direct 1982-10-01 2011-01-18
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2005-05-01 2011-01-19
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2011-03-31
PRIVATE CAPITAL MANAGEMENT, LP SOLE SHAREHOLDER/SOLE MEMBER indirect 2001-08-01 2013-06-17
CLEARBRIDGE ADVISORS, LLC SOLE MEMBER direct 2005-12-01 2013-07-19
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-09-30
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-10-27
QS INVESTORS, LLC SOLE MEMBER direct 2014-05-01 2015-06-17
ROYCE & ASSOCIATES, LLC SOLE MEMBER direct 2001-10-01 2015-06-24
LMM LLC MEMBER direct 1999-10-01 2016-03-29
EHRLICH, KEVIN CHIEF COMPLIANCE OFFICER 02/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY LIMITED CHIEF COMPLIANCE OFFICER direct 2007-01-01
WESTERN ASSET MANAGEMENT COMPANY CHIEF COMPLIANCE OFFICER direct 2007-02-01
RUYS DE PEREZ, CHARLES, ANTONY GENERAL COUNSEL AND SECRETARY 04/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
PUTNAM INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
THE PUTNAM ADVISORY COMPANY, LLC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
PUTNAM FUTURES ADVISORS INC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED GENERAL COUNSEL AND DIRECTOR direct 2007-04-01
WESTERN ASSET MANAGEMENT CO LTD GENERAL COUNSEL direct 2007-04-01
WESTERN ASSET MANAGEMENT COMPANY GENERAL COUNSEL AND SECRETARY direct 2007-04-01
TH LEE, PUTNAM CAPITAL MANAGEMENT, L.L.C. MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
PUTNAM INVESTMENTS LIMITED (U.K.) MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
PUTNAM INVESTMENTS LIMITED (U.K.) MANAGING DIRECTOR direct 2004-02-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD NON-EXECUTIVE DIRECTOR direct 2012-03-01
WESTERN ASSET MANAGEMENT COMPANY LTD NON-EMPLOYEE DIRECTOR direct 2012-02-01
KENNEY, JOHN, DUFF NON-EMPLOYEE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS indirect 2015-06-01
ROYCE & ASSOCIATES, LLC MEMBER OF BOARD OF MANAGERS AND MEMBER indirect 2015-06-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS AND LIMITED PARTNER direct 2015-06-01
ROYCE & ASSOCIATES, LLC MEMBER OF BOARD OF MANAGERS direct 2015-06-01
WESTERN ASSET MANAGEMENT COMPANY NON-EMPLOYEE DIRECTOR direct 2015-06-01
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC. DIRECTOR direct 2014-05-01
BATTERYMARCH FINANCIAL MANAGEMENT INC NON-EMPLOYEE DIRECTOR direct 2014-05-01
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC ELECTED MANAGER direct 2015-07-01
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC NON-EMPLOYEE MANAGER direct 2015-07-01
PERMAL CAPITAL MANAGEMENT, LLC MANAGER direct 2016-05-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
LEGG MASON GLOBAL ASSET ALLOCATION, LLC CHIEF EXECUTIVE OFFICER direct 2011-09-01
QS LEGG MASON GLOBAL ASSET ALLOCATION, LLC DIRECTOR direct 2014-05-01
RARE INFRASTRUCTURE (NORTH AMERICA) PTY LIMITED DIRECTOR direct 2015-11-01
QS INVESTORS, LLC DIRECTOR direct 2014-05-01
NACHTWEY, PETER, HAMILTON NON-EMPLOYEE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE ASSET MANAGEMENT INC DIRECTOR direct 2011-03-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS direct 2011-04-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS AND LIMITED PARTNER direct 2011-04-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS indirect 2011-04-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS AND MEMBER indirect 2011-04-01
LEGG MASON INTERNATIONAL EQUITIES LIMITED NON-EXECUTIVE DIRECTOR direct 2011-07-01
WESTERN ASSET MANAGEMENT COMPANY NON-EMPLOYEE DIRECTOR direct 2015-06-01
BATTERYMARCH FINANCIAL MANAGEMENT INC NON-EMPLOYEE DIRECTOR direct 2011-03-01
LEGG MASON CAPITAL MANAGEMENT, LLC MANAGER direct 2011-10-01
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC NON-EMPLOYEE MANAGER direct 2011-04-01
CARLYLE INVESTMENT MANAGEMENT L.L.C. MANAGING DIRECTOR/CFO direct 2007-07-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2011-03-01
LEGG MASON PARTNERS FUND ADVISOR, LLC MANAGER direct 2011-03-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC DIRECTOR direct 2011-03-01
LEGG MASON GLOBAL ASSET ALLOCATION, LLC DIRECTOR direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2011-03-01
MERCHANT, THOMAS, CLIFTON NON-EMPLOYEE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY LIMITED NON-EXECUTIVE DIRECTOR direct 2014-01-01
WESTERN ASSET MANAGEMENT COMPANY NON-EMPLOYEE DIRECTOR direct 2015-06-01
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC. DIRECTOR direct 2015-06-01
LEGG MASON CAPITAL MANAGEMENT, LLC SECRETARY direct 2011-03-01
LEGG MASON FUND ADVISER INC VICE PRESIDENT AND ASSISTANT SECRETARY direct 2007-06-01
BRANDYWINE ASSET MANAGEMENT, LLC ASSISTANT SECRETARY direct 2001-10-01
LEGG MASON INVESTMENT COUNSEL, LLC SECRETARY direct 2004-10-01
PERMAL CAPITAL MANAGEMENT, LLC MANAGER direct 2016-05-01
QS LEGG MASON GLOBAL ASSET ALLOCATION, LLC DIRECTOR direct 2015-06-01
QS INVESTORS, LLC DIRECTOR direct 2015-06-01
WILLIAMS MURPHY, JENNIFER DIRECTOR AND CHIEF OPERATING OFFICER 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEGG MASON FUNDS MANAGEMENT INC. SENIOR VICE PRESIDENT,CHIEF FINANCIAL OFFICER, AND DIRECTOR direct 2000-06-01
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR AND CHIEF OPERATING OFFICER direct 2015-05-01
LEGG MASON FUNDS MANAGEMENT INC. SENIOR VICE PRESIDENT, COO, CFO AND DIRECTOR direct 2000-06-01 2004-06-30
LEGG MASON CAPITAL MANAGEMENT INC SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2004-07-01 2004-12-07
LEGG MASON CAPITAL MANAGEMENT INC SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND DIRECTOR direct 2004-07-01 2008-06-20
LEGG MASON CAPITAL MANAGEMENT INC SENIOR VICE PRESIDENT AND DIRECTOR direct 2004-07-01 2009-06-12
LEGG MASON CAPITAL MANAGEMENT INC CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR direct 2009-07-01 2011-01-18
LMM LLC CHIEF OPERATIONS OFFICER direct 1999-10-01 2012-06-20
LEGG MASON CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER direct 2009-07-01 2013-01-24
LEGG MASON CAPITAL MANAGEMENT, LLC MANAGER direct 2013-06-01 2014-03-10
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC NON-EMPLOYEE MANAGER direct 2013-08-01 2015-06-29
BERNARDI, MARZO, NMN DIRECTOR OF CLIENT SERVICE AND MARKETING 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR OF CLIENT SERVICE AND MARKETING direct 2015-05-01
WESTERN ASSET MANAGEMENT COMPANY DTVM LIMITADA EXECUTIVE DIRECTOR AND DIRECTOR direct 2008-08-01
MCNAMARA, DENNIS DIRECTOR OF PORTFOLIO OPERATIONS 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR OF PORTFOLIO OPERATIONS direct 2016-07-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WESTERN ASSET MORTGAGE BACKED SECURITIES PORTFOLIO LLC United States 805-8612401366 Hedge Fund 2,480,413,071 0 Master Fund
WESTERN ASSET US LONG DURATION LLC United States 805-7973953568 Hedge Fund 647,702,054 0 Master Fund
WAM GOVERNMENT CASH MANAGEMENT PORTFOLIO, LLC United States 805-8235074419 Liquidity Fund 2,339,643,623 0 Master Fund
WESTERN ASSET EMERGING MARKETS LOCAL DEBT PORTFOLIO LLC United States 805-2178845430 Hedge Fund 404,743,460 0 Master Fund
WESTERN ASSET OPPORTUNISTIC US$ HIGH YIELD SECURITIES PORTFOLIO LLC United States 805-1448078922 Hedge Fund 419,295,749 0 Master Fund
WESTERN ASSET MORTGAGE OPPORTUNITY FUND, LP Cayman Islands 805-8627525723 Hedge Fund 34,234,965 0
WESTERN ASSET STRUCTURED PRODUCT OPPORTUNITIES MASTER FUND, LTD Cayman Islands 805-3225488841 Hedge Fund 164,137,654 0 Master Fund
WESTERN ASSET INSTITUTIONAL CASH RESERVES, LTD. Cayman Islands 805-2668706074 Liquidity Fund 4,098,328,089 1,000,000
WESTERN ASSET US CORE PLUS LLC United States 805-4485912178 Hedge Fund 3,686,145,647 0 Master Fund
MOUNTAIN HAWK III CLO, LTD. Cayman Islands 805-1673029911 Securitized Asset Fund 416,243,112 0
WESTERN ASSET US INTERMEDIATE PLUS LLC United States 805-2490977163 Hedge Fund 484,244,136 0
WESTERN ASSET ANGELES CREST OPPORTUNITY FUND LLC Cayman Islands 805-1198593275 Hedge Fund 58,502,377 0
MOUNTAIN HAWK II CLO United States 805-5913372003 Securitized Asset Fund 251,648,169 0
WESTERN ASSET TOTAL RETURN UNCONSTRAINED (TRU) BOND MASTER FUND LTD. Cayman Islands 805-3336260606 Hedge Fund 1,613,869,792 0 Master Fund
WESTERN ASSET BRAZIL INTERNATIONAL FUND, LTD Cayman Islands 805-5911860116 Hedge Fund 1,137,767 0 Master Fund
WESTERN ASSET STRATEGIC US$ HIGH YIELD PORTFOLIO LLC United States 805-1075489256 Hedge Fund 195,528,822 0 Master Fund
WESTERN ASSET CHINA BOND FUND, LLC United States 805-8843964888 Hedge Fund 46,773,248 0 Master Fund
WESTERN ASSET OPPORTUNISTIC VALUE PORTFOLIO LLC United States 805-3533282887 Hedge Fund 38,754,272 0 Master Fund
WESTERN ASSET US CORE BOND FUND LLC United States 805-2369943542 Hedge Fund 1,037,943,279 0
WESTERN ASSET OPPORTUNISTIC NON-DOLLAR HEDGED PORTFOLIO LLC United States 805-1805738542 Hedge Fund 1,044,379 0 Master Fund
WESTERN ASSET MACRO OPPORTUNITIES PORTFOLIO MASTER Cayman Islands 805-4217090495 Hedge Fund 2,239,216,634 0 Master Fund
WESTERN ASSET FLOATING RATE HIGH INCOME FUND LLC United States 805-4443145568 Hedge Fund 952,783,745 0 Master Fund
SIERRA MADRE FUNDING United States 805-7832503248 Securitized Asset Fund 288,678,782 0
HUNTINGTON CDO United States 805-7001789936 Securitized Asset Fund 124,712,587 0
WESTERN ASSET MACRO OPPORTUNITIES ALTERNATIVES FUND, LTD. Cayman Islands 805-3149128969 Hedge Fund 627,518,334 0 Master Fund
MT. WILSON II CLO-CDO United States 805-2893605739 Securitized Asset Fund 6,179,484 0
WESTERN ASSET CLAYMORE INFLATION-LINKED OPPORTUNITIES & INCOME FUND CFC Cayman Islands 805-9876726500 Other Private Fund CONTROLLED FOREIGN CORPORATION 17,893,926 0
WESTERN ASSET CLAYMORE INFLATION-LINKED SECURITIES & INCOME FUND CFC Cayman Islands 805-3546741016 Other Private Fund CONTROLLED FOREIGN CORPORATION 8,767,930 0
DASH II CDO United States 805-8241424119 Securitized Asset Fund 30,411,127 0
WA OPPORTUNISTIC ASIAN SECURITIES PORTFOLIO LLC United States 805-7088501937 Hedge Fund 73,502,043 0 Master Fund
WESTERN ASSET OPPORTUNISTIC STRUCTURED SECURITIES PORTFOLIO LLC United States 805-3445112971 Hedge Fund 407,100,874 0 Master Fund
WESTERN ASSET GLOBAL SOVEREIGN FIXED INCOME LTD Cayman Islands 805-1665535677 Hedge Fund 34,228,096 0 Master Fund
WESTERN ASSET EMERGING MARKETS CORPORATE CREDIT PORTFOLIO LLC United States 805-9929439135 Hedge Fund 271,160,741 0 Master Fund
WESTERN ASSET MANAGED CURRENCY LTD Cayman Islands 805-4954703031 Hedge Fund 86,657,999 0 Master Fund
WESTERN ASSET GLOBAL SOVEREIGNQ FIXED INCOME LTD Cayman Islands 805-7856604379 Hedge Fund 5,546,218 0 Master Fund
WESTERN ASSET GLOBAL MULTI-SECTOR LLC United States 805-2293466756 Hedge Fund 183,319,861 0 Master Fund
WESTERN ASSET GLOBAL REAL BOND FUND LTD Cayman Islands 805-4013580629 Hedge Fund 677,129,985 0
PASADENA CDO United States 805-6742426764 Securitized Asset Fund 11,477,089 0
WESTERN ASSET BRAZIL BOND MASTER FUND LTD Cayman Islands 805-8353713217 Hedge Fund 71,824,740 0 Master Fund
WESTERN ASSET CREDIT OPPORTUNITIES PORTFOLIO LLC United States 805-2755470242 Hedge Fund 1,699,404 0
WESTERN ASSET OPPORTUNITY FUND LP Cayman Islands 805-2241593210 Hedge Fund 284,220,219 0
WESTERN ASSET DYNAMIC FIXED INCOME PORTFOLIO MASTER FUND, LTD. Cayman Islands 805-6900543135 Hedge Fund 239,004,703 0 Master Fund
WESTERN ASSET INDIA BOND FUND LLC United States 805-8142187611 Hedge Fund 262,907,965 0
MOUNTAIN HAWK I CLO, LTD United States 805-4889903305 Securitized Asset Fund 2,169,663 0
PALISADES CDO United States 805-4536842599 Securitized Asset Fund 89,959,663 0
WESTERN ASSET SHORT-DATED HIGH YIELD PORTFOLIO MASTER FUND, LTD Cayman Islands 805-8190008671 Hedge Fund 167,859,639 0 Master Fund

WESTERN ASSET MANAGEMENT COMPANY

ownership team - last updated 2018-06-26
Name Title Start Date Direct/Indirect % Ownership
ALBERTS, BRUCE, DANIEL CHIEF FINANCIAL OFFICER 03/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY CHIEF FINANCIAL OFFICER direct 1999-03-01
HIRSCHMANN, JAMES, WILLIAM DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT 04/01/1989 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT direct 1989-04-01
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR, PRESIDENT & CEO direct 1989-04-01 2006-02-24
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR AND CHIEF EXECUTIVE OFFICER direct 1989-04-01 2009-04-27
WESTERN ASSET MANAGEMENT CO LTD MANAGING DIRECTOR AND DIRECTOR direct 1997-01-01 2012-06-29
LEGG MASON, INC. SOLE SHAREHOLDER OF APPLICANT 12/01/1986 Direct 75% or more
Fund Name Position direct/indirect start date end date
LEGG MASON FUND ADVISER INC SOLE SHAREHOLDER direct 1982-01-01
CLEARBRIDGE, LLC SOLE MEMBER direct 1982-10-01
WESTERN ASSET MANAGEMENT COMPANY SOLE SHAREHOLDER OF APPLICANT direct 1986-12-01
LM FINANCIAL PARTNERS, INC. STOCKHOLDER direct 1992-10-01
GRAY SEIFERT & CO INC SOLE SHAREHOLDER direct 1994-04-01
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC. SHAREHOLDER direct 1994-09-01
BARTLETT & CO SOLE SHAREHOLDER direct 1996-01-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 1996-02-01
LM INSTITUTIONAL ADVISORS INC SOLE SHAREHOLDER direct 1998-02-01
LEGG MASON INVESTMENT COUNSEL & TRUST COMPANY, N.A. SOLE OWNER direct 1999-05-01
BINGHAM LEGG ADVISERS LLC OWNER direct 1999-09-01
LEGG MASON FUNDS MANAGEMENT INC. SOLE SHAREHOLDER direct 2000-06-01
LEGG MASON FOCUS CAPITAL, INC. SOLE SHAREHOLDER direct 2001-05-01
PRIVATE CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER / SOLE MEMBER indirect 2001-08-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED SOLE SHAREHOLDER indirect 2005-03-01
LEGG MASON INTERNATIONAL EQUITIES (SINGAPORE) PTE. LIMITED SOLE STOCKHOLDER indirect 2005-05-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-12-01
WESTERN ASSET MANAGEMENT COMPANY LTD SOLE SHAREHOLDER OF APPLICANT direct 2005-12-01
TIMCO ASSET MANAGEMENT, INC. SOLE SHAREHOLDER direct 2005-12-01
MASTHOLM ASSET MANAGEMENT LLC SOLE SHAREHOLDER OF SALOMON ASSET MANAGEMENT indirect 2005-12-01
LEGG MASON INTERNATIONAL EQUITIES LIMITED 100% SHAREHOLDER indirect 2005-12-01
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE STOCKHOLDER direct 2005-12-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC SOLE MEMBER direct 2006-10-01
LEGG MASON GLOBAL ASSET ALLOCATION, LLC SOLE MEMBER direct 2006-10-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC SOLE MEMBER direct 2007-11-01
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2011-03-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED SOLE STOCKHOLDER indirect 2011-03-01
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2011-03-01
CLEARBRIDGE INVESTMENTS, LLC SOLE MEMBER indirect 2014-03-01
QS INVESTORS, LLC SOLE MEMBER indirect 2014-05-01
MARTIN CURRIE INC INDIRECT SHAREHOLDER indirect 2014-10-01
MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED INDIRECT OWNER indirect 2014-10-01
RARE INFRASTRUCTURE (NORTH AMERICA) PTY LTD SHAREHOLDER indirect 2015-10-01
ROYCE & ASSOCIATES, LP SOLE MEMBER indirect 2016-03-01
CLARION PARTNERS, LLC MEMBER indirect 2016-04-01
ENTRUST PARTNERS LLC OWNER indirect 2016-05-01
FINANCIAL GUARD, LLC MAJORITY MEMBER direct 2016-08-01
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER OF LM HOLDINGS LIMITED direct 1996-02-01 2001-04-26
ROYCE & ASSOCIATES, INC. SOLE MEMBER indirect 2001-10-01 2002-02-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2001-02-01 2002-06-20
BARRETT ASSOCIATES INC SHAREHOLDER direct 2002-06-01 2004-09-29
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER direct 2004-10-01 2004-11-09
LEGG MASON REAL ESTATE SERVICES INC SOLE SHAREHOLDER OF APPLICANT direct 1990-10-01 2005-06-30
LEGG MASON WOOD WALKER, INCORPORATED STOCKHOLDER direct 1981-03-01 2005-11-18
LEGG MASON INVESTMENT COUNSEL, LLC SOLE MEMBER direct 2004-10-01 2005-12-02
SALOMON BROTHERS ASSET MANAGEMENT INC SOLE MEMBER direct 2005-12-01 2006-01-09
TIMCO ASSET MANAGEMENT, INC. SOLE MEMBER direct 2005-12-01 2006-01-11
CITIGROUP ASSET MANAGEMENT LIMITED 100% SHAREHOLDER indirect 2005-12-01 2006-02-23
BERKSHIRE ASSET MANAGEMENT INC SOLE SHAREHOLDER direct 1999-09-01 2007-06-21
WESTERN ASSET MANAGEMENT CO LTD SOLE SHAREHOLDER indirect 1996-02-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SHAREHOLDER indirect 2005-12-01 2008-06-27
WESTERN ASSET MANAGEMENT COMPANY PTE LTD SOLE SHAREHOLDER indirect 2005-03-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DTVM LIMITADA JOINT SHAREHOLDER indirect 2008-01-01 2010-06-30
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2010-07-27
LEGG MASON CAPITAL MANAGEMENT INC SOLE SHAREHOLDER direct 1982-10-01 2011-01-18
LEGG MASON ASSET MANAGEMENT HONG KONG LIMITED SOLE STOCKHOLDER indirect 2005-05-01 2011-01-19
WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TÍTULOS E VALO SHAREHOLDER indirect 2008-01-01 2011-03-31
PRIVATE CAPITAL MANAGEMENT, LP SOLE SHAREHOLDER/SOLE MEMBER indirect 2001-08-01 2013-06-17
CLEARBRIDGE ADVISORS, LLC SOLE MEMBER direct 2005-12-01 2013-07-19
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-09-30
LEGG MASON INVESTMENT COUNSEL, LLC SOLE SHAREHOLDER indirect 1999-05-01 2014-10-27
QS INVESTORS, LLC SOLE MEMBER direct 2014-05-01 2015-06-17
ROYCE & ASSOCIATES, LLC SOLE MEMBER direct 2001-10-01 2015-06-24
LMM LLC MEMBER direct 1999-10-01 2016-03-29
EHRLICH, KEVIN CHIEF COMPLIANCE OFFICER 02/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY LIMITED CHIEF COMPLIANCE OFFICER direct 2007-01-01
WESTERN ASSET MANAGEMENT COMPANY CHIEF COMPLIANCE OFFICER direct 2007-02-01
RUYS DE PEREZ, CHARLES, ANTONY GENERAL COUNSEL AND SECRETARY 04/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
PUTNAM INVESTMENT MANAGEMENT, LLC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
THE PUTNAM ADVISORY COMPANY, LLC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
PUTNAM FUTURES ADVISORS INC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
WESTERN ASSET MANAGEMENT COMPANY LIMITED GENERAL COUNSEL AND DIRECTOR direct 2007-04-01
WESTERN ASSET MANAGEMENT CO LTD GENERAL COUNSEL direct 2007-04-01
WESTERN ASSET MANAGEMENT COMPANY GENERAL COUNSEL AND SECRETARY direct 2007-04-01
TH LEE, PUTNAM CAPITAL MANAGEMENT, L.L.C. MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
PUTNAM INVESTMENTS LIMITED (U.K.) MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-02-01
PUTNAM INVESTMENTS LIMITED (U.K.) MANAGING DIRECTOR direct 2004-02-01
WESTERN ASSET MANAGEMENT COMPANY PTE LTD NON-EXECUTIVE DIRECTOR direct 2012-03-01
WESTERN ASSET MANAGEMENT COMPANY LTD NON-EMPLOYEE DIRECTOR direct 2012-02-01
KENNEY, JOHN, DUFF NON-EMPLOYEE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS indirect 2015-06-01
ROYCE & ASSOCIATES, LLC MEMBER OF BOARD OF MANAGERS AND MEMBER indirect 2015-06-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS AND LIMITED PARTNER direct 2015-06-01
ROYCE & ASSOCIATES, LLC MEMBER OF BOARD OF MANAGERS direct 2015-06-01
WESTERN ASSET MANAGEMENT COMPANY NON-EMPLOYEE DIRECTOR direct 2015-06-01
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC. DIRECTOR direct 2014-05-01
BATTERYMARCH FINANCIAL MANAGEMENT INC NON-EMPLOYEE DIRECTOR direct 2014-05-01
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC ELECTED MANAGER direct 2015-07-01
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC NON-EMPLOYEE MANAGER direct 2015-07-01
PERMAL CAPITAL MANAGEMENT, LLC MANAGER direct 2016-05-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2015-06-01
LEGG MASON GLOBAL ASSET ALLOCATION, LLC CHIEF EXECUTIVE OFFICER direct 2011-09-01
QS LEGG MASON GLOBAL ASSET ALLOCATION, LLC DIRECTOR direct 2014-05-01
RARE INFRASTRUCTURE (NORTH AMERICA) PTY LIMITED DIRECTOR direct 2015-11-01
QS INVESTORS, LLC DIRECTOR direct 2014-05-01
NACHTWEY, PETER, HAMILTON NON-EMPLOYEE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARBRIDGE ASSET MANAGEMENT INC DIRECTOR direct 2011-03-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS direct 2011-04-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS AND LIMITED PARTNER direct 2011-04-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS indirect 2011-04-01
ROYCE & ASSOCIATES, LP MEMBER OF BOARD OF MANAGERS AND MEMBER indirect 2011-04-01
LEGG MASON INTERNATIONAL EQUITIES LIMITED NON-EXECUTIVE DIRECTOR direct 2011-07-01
WESTERN ASSET MANAGEMENT COMPANY NON-EMPLOYEE DIRECTOR direct 2015-06-01
BATTERYMARCH FINANCIAL MANAGEMENT INC NON-EMPLOYEE DIRECTOR direct 2011-03-01
LEGG MASON CAPITAL MANAGEMENT, LLC MANAGER direct 2011-10-01
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC NON-EMPLOYEE MANAGER direct 2011-04-01
CARLYLE INVESTMENT MANAGEMENT L.L.C. MANAGING DIRECTOR/CFO direct 2007-07-01
CLEARBRIDGE INVESTMENTS, LLC DIRECTOR direct 2011-03-01
LEGG MASON PARTNERS FUND ADVISOR, LLC MANAGER direct 2011-03-01
LEGG MASON PRIVATE PORTFOLIO GROUP, LLC DIRECTOR direct 2011-03-01
LEGG MASON GLOBAL ASSET ALLOCATION, LLC DIRECTOR direct 2011-03-01
GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2011-03-01
MERCHANT, THOMAS, CLIFTON NON-EMPLOYEE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY LIMITED NON-EXECUTIVE DIRECTOR direct 2014-01-01
WESTERN ASSET MANAGEMENT COMPANY NON-EMPLOYEE DIRECTOR direct 2015-06-01
QS BATTERYMARCH FINANCIAL MANAGEMENT, INC. DIRECTOR direct 2015-06-01
LEGG MASON CAPITAL MANAGEMENT, LLC SECRETARY direct 2011-03-01
LEGG MASON FUND ADVISER INC VICE PRESIDENT AND ASSISTANT SECRETARY direct 2007-06-01
BRANDYWINE ASSET MANAGEMENT, LLC ASSISTANT SECRETARY direct 2001-10-01
LEGG MASON INVESTMENT COUNSEL, LLC SECRETARY direct 2004-10-01
PERMAL CAPITAL MANAGEMENT, LLC MANAGER direct 2016-05-01
QS LEGG MASON GLOBAL ASSET ALLOCATION, LLC DIRECTOR direct 2015-06-01
QS INVESTORS, LLC DIRECTOR direct 2015-06-01
WILLIAMS MURPHY, JENNIFER DIRECTOR AND CHIEF OPERATING OFFICER 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEGG MASON FUNDS MANAGEMENT INC. SENIOR VICE PRESIDENT,CHIEF FINANCIAL OFFICER, AND DIRECTOR direct 2000-06-01
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR AND CHIEF OPERATING OFFICER direct 2015-05-01
LEGG MASON FUNDS MANAGEMENT INC. SENIOR VICE PRESIDENT, COO, CFO AND DIRECTOR direct 2000-06-01 2004-06-30
LEGG MASON CAPITAL MANAGEMENT INC SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2004-07-01 2004-12-07
LEGG MASON CAPITAL MANAGEMENT INC SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND DIRECTOR direct 2004-07-01 2008-06-20
LEGG MASON CAPITAL MANAGEMENT INC SENIOR VICE PRESIDENT AND DIRECTOR direct 2004-07-01 2009-06-12
LEGG MASON CAPITAL MANAGEMENT INC CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR direct 2009-07-01 2011-01-18
LMM LLC CHIEF OPERATIONS OFFICER direct 1999-10-01 2012-06-20
LEGG MASON CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER direct 2009-07-01 2013-01-24
LEGG MASON CAPITAL MANAGEMENT, LLC MANAGER direct 2013-06-01 2014-03-10
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC NON-EMPLOYEE MANAGER direct 2013-08-01 2015-06-29
BERNARDI, MARZO, NMN DIRECTOR OF CLIENT SERVICE AND MARKETING 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR OF CLIENT SERVICE AND MARKETING direct 2015-05-01
WESTERN ASSET MANAGEMENT COMPANY DTVM LIMITADA EXECUTIVE DIRECTOR AND DIRECTOR direct 2008-08-01
MCNAMARA, DENNIS DIRECTOR OF PORTFOLIO OPERATIONS 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTERN ASSET MANAGEMENT COMPANY DIRECTOR OF PORTFOLIO OPERATIONS direct 2016-07-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WESTERN ASSET GLOBAL SOVEREIGNQ FIXED INCOME LTD Cayman Islands 805-7856604379 Hedge Fund 5,626,059 0 Master Fund
WESTERN ASSET GLOBAL MULTI-SECTOR LLC United States 805-2293466756 Hedge Fund 229,137,727 0 Master Fund
WESTERN ASSET GLOBAL REAL BOND FUND LTD Cayman Islands 805-4013580629 Hedge Fund 464,869,107 0
WESTERN ASSET OPPORTUNISTIC VALUE PORTFOLIO LLC United States 805-3533282887 Hedge Fund 42,362,143 0 Master Fund
WESTERN ASSET US CORE BOND FUND LLC United States 805-2369943542 Hedge Fund 882,381,025 0
WESTERN ASSET OPPORTUNISTIC NON-DOLLAR HEDGED PORTFOLIO LLC United States 805-1805738542 Hedge Fund 174,043,557 0 Master Fund
WESTERN ASSET MACRO OPPORTUNITIES PORTFOLIO MASTER Cayman Islands 805-4217090495 Hedge Fund 2,461,994,769 0 Master Fund
WESTERN ASSET FLOATING RATE HIGH INCOME FUND LLC United States 805-4443145568 Hedge Fund 2,414,577,512 0 Master Fund
SIERRA MADRE FUNDING United States 805-7832503248 Securitized Asset Fund 346,394,839 0
HUNTINGTON CDO United States 805-7001789936 Securitized Asset Fund 140,245,822 0
WESTERN ASSET MACRO OPPORTUNITIES ALTERNATIVES FUND, LTD, Cayman Islands 805-3149128969 Hedge Fund 761,191,067 0 Master Fund
MT. WILSON II CLO-CDO United States 805-2893605739 Securitized Asset Fund 6,183,914 0
WESTERN ASSET CLAYMORE INFLATION-LINKED OPPORTUNITIES & INCOME FUND CFC Cayman Islands 805-9876726500 Other Private Fund CONTROLLED FOREIGN CORPORATION 14,688,698 0
WESTERN ASSET CLAYMORE INFLATION-LINKED SECURITIES & INCOME FUND CFC Cayman Islands 805-3546741016 Other Private Fund CONTROLLED FOREIGN CORPORATION 7,135,884 0
DASH II CDO United States 805-8241424119 Securitized Asset Fund 38,904,002 0
PASADENA CDO United States 805-6742426764 Securitized Asset Fund 15,323,734 0
WESTERN ASSET BRAZIL BOND MASTER FUND LTD Cayman Islands 805-8353713217 Hedge Fund 78,492,828 0 Master Fund
WESTERN ASSET CREDIT OPPORTUNITIES PORTFOLIO LLC United States 805-2755470242 Hedge Fund 1,708,515 0
WESTERN ASSET OPPORTUNITY FUND LP Cayman Islands 805-2241593210 Hedge Fund 337,793,522 0
WESTERN ASSET HIGH YIELD CREDIT ENERGY PORTFOLIO United States 805-9771222358 Hedge Fund 31,184,864 0
WESTERN ASSET INDIA BOND FUND LLC United States 805-8142187611 Hedge Fund 281,668,473 0
MOUNTAIN HAWK I CLO, LTD United States 805-4889903305 Securitized Asset Fund 308,428,509 0
PALISADES CDO United States 805-4536842599 Securitized Asset Fund 100,282,042 0
WESTERN ASSET DYNAMIC FIXED INCOME PORTFOLIO MASTER FUND, LTD. Cayman Islands 805-6900543135 Hedge Fund 108,028,569 0 Master Fund
WESTERN ASSET SHORT-DATED HIGH YIELD PORTFOLIO MASTER FUND, LTD Cayman Islands 805-8190008671 Hedge Fund 162,101,766 0 Master Fund
WESTERN ASSET US CORE PLUS LLC United States 805-4485912178 Hedge Fund 3,564,501,917 0 Master Fund
MOUNTAIN HAWK III CLO, LTD. Cayman Islands 805-1673029911 Securitized Asset Fund 541,510,784 0
WESTERN ASSET TOTAL RETURN UNCONSTRAINED (TRU) BOND MASTER FUND LTD. Cayman Islands 805-3336260606 Hedge Fund 1,614,156,615 0 Master Fund
WESTERN ASSET MORTGAGE BACKED SECURITIES PORTFOLIO LLC United States 805-8612401366 Hedge Fund 2,220,552,636 0 Master Fund
WESTERN ASSET US LONG DURATION LLC United States 805-7973953568 Hedge Fund 623,464,076 0 Master Fund
WESTERN ASSET GLOBAL INFLATION LINKED PLUS LLC United States 805-8254532159 Hedge Fund 567,297,733 0
WESTERN ASSET GOVERNMENT CASH MANAGEMENT PORTFOLIO, LLC United States 805-8235074419 Liquidity Fund 4,342,807,934 0 Master Fund
WESTERN ASSET EMERGING MARKETS LOCAL DEBT PORTFOLIO LLC United States 805-2178845430 Hedge Fund 474,836,953 0 Master Fund
WESTERN ASSET OPPORTUNISTIC US$ HIGH YIELD SECURITIES PORTFOLIO LLC United States 805-1448078922 Hedge Fund 329,149,108 0 Master Fund
WESTERN ASSET MORTGAGE OPPORTUNITY FUND, LP Cayman Islands 805-8627525723 Hedge Fund 87,954,442 0
WESTERN ASSET STRUCTURED PRODUCT OPPORTUNITIES MASTER FUND, LTD Cayman Islands 805-3225488841 Hedge Fund 168,257,356 0 Master Fund
WESTERN ASSET INSTITUTIONAL CASH RESERVES, LTD. Cayman Islands 805-2668706074 Liquidity Fund 3,255,005,307 1,000,000
WESTERN ASSET US INTERMEDIATE PLUS LLC United States 805-2490977163 Hedge Fund 455,623,725 0
ANGELES CREST OPPORTUNITY MASTER FUND LP Cayman Islands 805-1198593275 Hedge Fund 51,824,348 0
MOUNTAIN HAWK II CLO United States 805-5913372003 Securitized Asset Fund 441,652,615 0
WESTERN ASSET BRAZIL INTERNATIONAL FUND, LTD Cayman Islands 805-5911860116 Hedge Fund 3,518,124 0 Master Fund
WA OPPORTUNISTIC ASIAN SECURITIES PORTFOLIO LLC United States 805-7088501937 Hedge Fund 76,634,245 0 Master Fund
WESTERN ASSET OPPORTUNISTIC STRUCTURED SECURITIES PORTFOLIO LLC United States 805-3445112971 Hedge Fund 504,083,923 0 Master Fund
WESTERN ASSET GLOBAL SOVEREIGN FIXED INCOME LTD Cayman Islands 805-1665535677 Hedge Fund 35,965,665 0 Master Fund
WESTERN ASSET EMERGING MARKETS CORPORATE CREDIT PORTFOLIO LLC United States 805-9929439135 Hedge Fund 284,332,742 0 Master Fund
WESTERN ASSET MANAGED CURRENCY LTD Cayman Islands 805-4954703031 Hedge Fund 77,446,971 0 Master Fund
WESTERN ASSET STRATEGIC US$ HIGH YIELD PORTFOLIO LLC United States 805-1075489256 Hedge Fund 195,134,709 0 Master Fund

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