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Company Executives

Officer Age In this role Joined Pay Source
James A. Dinsmore Also a director
President
Title from the Form 4 dated Dec 17, 2025
Not stated Not stated Not stated Not reported
Richard J. Walz
Chief Compliance Officer
Not stated Since 2015
11 years
Not stated Not reported
John C. Ball
Treasurer and Principal Financial and Accounting Officer
Not stated Since 2017
9 years
Not stated Not reported
Peter Goldstein
Secretary and Vice President
Not stated Since 2020
6 years
Not stated Not reported
Laurissa M. Martire
Vice President and Ombudsman
Not stated Since 2015
11 years
Not stated Not reported
Bethany A. Uhlein
Vice President and Ombudsman
Not stated Since 2017
9 years
Not stated Not reported
J Christopher Jackson
Secretary
Title from the Form 3 dated Aug 12, 2026
Not stated Not stated Not stated Not reported

Each officer opens the passage of the filing that names them. A title that changed since the list comes from the officer's latest Form 3, 4 or 5, and its start year is not stated there. "Not stated" means the filing does not say. Pay is the proxy's Summary Compensation Table, which reports only the named executive officers.

Directors
11
serving now
Independent
9 of 9
stated in the proxy; 2 not stated
Average tenure
15.9 years
from year joined
CEO also chairs the board
No
Mario J. Gabelli
Director Age On board Independent Committees Other public boards Pay Source
Mario J. Gabelli
Not stated 2015
11 years
Not stated None stated LICT Corp. Not stated
James P. Conn
Not stated 2015
11 years
Independent
Pricing ad hoc Proxy Voting
None stated Not stated
James A. Dinsmore
Not stated 2013
13 years
Not stated None stated None stated Not stated
Kinchen C. Bizzell
Not stated 2008
18 years
Independent
Audit
None stated Not stated
Frank J. Fahrenkopf, Jr.
Not stated 2015
11 years
Independent
ad hoc Proxy Voting · Chair
First Republic Bank Not stated
Michael J. Melarkey
Not stated 2015
11 years
Independent None stated None stated Not stated
Elizabeth C. Bogan
Not stated 1986
40 years
Independent
Audit
None stated Not stated
Colin J. Kilrain
Not stated 2025
1 year
Independent None stated LGL Group, Inc. Not stated
Anthonie C. van Ekris
Not stated 2015
11 years
Independent None stated None stated Not stated
Daniel D. Harding
Not stated 2007
19 years
Independent None stated None stated Not stated
Nicolas W. Platt
Not stated 1997
29 years
Independent
Nominating ad hoc Proxy Voting
None stated Not stated

Each director opens the passage of the proxy that names them. "Not stated" means the proxy does not say; it never means "no". Pay is the proxy's Director Compensation table; the CEO is paid as an executive.

The latest proxy has no related-party section

The proxy filed Mar 19, 2026 does not include one, and no earlier proxy on record does.

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