THOMAS JOSEPH LAVIA

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First Name

: THOMAS

Middle Name

: JOSEPH

Last Name

: LAVIA

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EXECUTIVE OFFICER

NWQ INVESTMENT MANAGEMENT COMPANY, LLC

CRAIG ODELL BAILEY, JON D. BOSSE, JON DANIEL BOSSE, JOHN E. CONLIN, MARY ANN C. IUDICE, AVI M. MIZRACHI, AVI MARK MIZRACHI, N/A NUVEEN INVESTMENTS, INC., N/A NUVEEN NWQ HOLDINGS, LLC, N/A NWQ PARTNERS, LLC, THOMAS RAY, PHYLLIS GREGORY THOMAS

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Securities

First Sale Date

D/A

OTHER BANKING AND FINANCIAL SERVICES

DECLINE TO DISCLOSE

Equity

2019-02-28

D

OTHER BANKING AND FINANCIAL SERVICES

DECLINE TO DISCLOSE

Equity

2019-02-28