Jacqueline Reeves

D. A. Davidson & Co. is a dually SEC-registered investment adviser and FINRA broker-dealer headquartered in Great Falls, Montana. The firm was founded in 1935 and is a subsidiary of D.A. Davidson Companies, a financial service holding company. They provide liquidity and execution in small & mid-cap stocks to a wide range of institutional investors, including mutual fund and money managers around the world.

BAMCO, Inc. is a SEC-registered investment advisor headquartered in New York City. The firm was founded in 1987 by Ron Baron and is a wholly-owned subsidiary of Baron Capital Group, Inc. (BCG). BAMCO provides advisory services to investment companies, the Baron Collective Investment Trusts, UCITS funds, and other pooled investment vehicles.

Credit Agricole Securities (USA), Inc. (Credit Agricole Securities USA) is a full service broker-dealer headquartered in New York City. The firm was founded in 2004 and formerly known as Calyon Securities USA, Inc. and Credit Lyonnais Securities, Inc. They are a subsidiary of Crédit Agricole Global Partners, Inc., which is owned by Rue la Boétie SAS’s Credit Agricole SA (EPA: ACA) in France. Credit Agricole Securities USA provides investors’ customized solutions to ensure they achieve their execution objectives in the tradition of service excellence and product innovation.

Part of Financial Technology Partners LP, FTP Securities LLC is a brokerage firm. The company is based in San Francisco, CA. The company was founded in 2002 by Steven Joseph McLaughlin. Steven Joseph McLaughlin has been the CEO since 2002.

Founded in 1969, HSBC Securities (U.S.A.) Inc. is an SEC-registered brokerage firm and registered futures commission merchant located in New York City. The firm is a wholly-owned subsidiary of HSBC North America Holdings, Inc. and their ultimate parent is HSBC Holdings Plc. (NYSE: HBC). HSBC Securities (U.S.A.) is a member of FINRA, the NYSE and the SIPC. Their securities and annuity products are provided by registered representatives and insurance agents of HSBC Securities (U.S.A.). In California, HSBC Securities (U.S.A.) conducts insurance business as HSBC Securities Insurance Services. Insurance products are offered through insurance agents of HSBC Insurance Agency (U.S.A.) Inc., a wholly-owned subsidiary of HSBC Bank U.S.A. NA and an indirectly wholly-owned subsidiary of HSBC Holdings plc. The company also engages in investment banking underwriting, dealing and brokering of debt and equity securities and futures contracts and is a primary dealer in U.S. Government and federal agency securities.

Tenor Capital Management Co. LP (Tenor Capital) is a SEC-registered investment advisor and hedge fund management subsidiary of Tenor Management GP LLC. The firm was founded in 2004 by Robin Shah and Alexander Robinson. Headquartered in New York City, Tenor Capital provides investment management services to private pooled investment vehicles offered to investors on a private placement basis. The investment vehicles are structured as Delaware limited partnerships, Cayman Island corporations, or Cayman Island limited partnerships.

Harvard University engages in the provision of teaching and research. It has twelve degree-granting Schools in addition to the Radcliffe Institute for Advanced Study, offering a global education. The university was founded in 1636 and is headquartered in Cambridge, MA.

Neuberger Berman BD LLC is a SEC-registered investment advisor and mutual fund manager headquartered in New York City. It is directly owned by Neuberger Berman Investment Advisers LLC, which is an indirect, wholly-owned subsidiary of Neuberger Berman Group LLC, which is owned by NBSH Acquisition LLC. The firm traces their origin back to the 1939 founding of Neuberger & Berman, its predecessor firm. In 1950, Neuberger Berman became one of the first firms to offer a no-load mutual fund to individual investors. Neuberger Berman BD manages a range of equity, fixed income, private equity and hedge fund strategies on behalf of institutions, advisors and individual investors worldwide.

Moody's Investors Service, Inc. is a credit rating and investment research firm headquartered in New York City. They are a subsidiary of Moody's Corp. (NYSE: MCO). The firm performs international financial research and analysis on commercial and government entities and provides a variety of analytic tools for assessing credit risk. Their clients include creditors, investment banks and commercial banks.

HSBC Bank USA NA engages in the provision of banking services. Its lines of business are Retail Banking and Wealth Management, Commercial Banking, Global Banking and Markets, and Private Bank. The company is headquartered in McLean, VA.

Sanford C. Bernstein & Co. LLC is a registered broker-dealer headquartered in New York City. The firm was founded in 1967 and is a subsidiary of Alliance Capital Management LLC, ultimately held by Equitable Holdings, Inc. (NYSE: EQH). Sanford C. Bernstein & Co. provides trading and executions services to their clients.

The New York Society of Security Analysts, Inc. operates as a financial services trade group and networking forum for wall street and provides Chartered Financial Analyst (CFA) exam. The company was founded in 1937 and is headquartered in New York, NY.

CFA Institute operates as non-profit organization, which engages in the provision of chartered financial analyst programs. It offers certificate in investment performance measurement program, investment foundations, and scholarship. The company was founded in 1965 and is headquartered in Charlottesville, VA.

Putnam Lovell NBF Group, Inc. provides international investment banking services. It offers merger and acquisition advice, Canadian equity sales and trading, U.S. Equity Derivatives, fixed income sales, trading and general corporate finance advisory services. The firm has offices in New York, San Francisco, Boston and London. The company was founded in 1987 and is headquartered in Boston, MA.

Fordham University provides college and university. It offers undergraduate colleges and graduate & professional schools. The company was founded in 1841 and is headquartered in Bronx, NY.

Overture Asset Managers LLC acquires boutique money managers and provides investment management services. The private company is based in New York, NY.

CLSA Americas LLC is a FINRA registered broker-dealer headquartered in New York City. The firm was founded in 2012 and is a wholly owned subsidiary of CLSA Americas Holdings, Inc., which is ultimately owned by CITIC Securities Co., Ltd. (SHA: 600030) in China. CLSA Americas offers a full suite of execution services throughout North America and Latin America.

Autonomous Research US LP is an investment research firm located in New York City. The firm is a subsidiary of Autonomous Research LLP. The firm provides coverage of all major European banks and insurers and US banks, asset managers and payment processors. The company publishes research for both equity and credit investors. The company also offers execution service across the capital structure.

Lehman Brothers Bancorp, Inc. provides banking and financial services. It offers savings, credit cards, and brokerage and mortgage services. The firm also provides home financing, asset based lending, and residential real estate finance. The company was founded in 1850 and is headquartered in Wilmington, DE.