Corporate Board Profile
Tech Score: 0/100
| Filing Date | Source Excerpt |
|---|---|
| 2002-04-01 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2003-04-15 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association. Former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2004-04-14 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association. Former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2005-04-21 | Kent Dixon Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2006-04-19 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2007-07-02 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2008-07-31 | Consultant/Investor since 1988. |
| 2009-07-17 | Consultant/Investor since 1988. |
| Filing Date | Source Excerpt |
|---|---|
| 2002-04-01 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2003-04-15 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association. Former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2004-04-14 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association. Former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2005-04-21 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2006-04-19 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2007-07-02 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2008-07-31 | Consultant/Investor since 1988. |
| 2009-07-17 | Consultant/Investor since 1988. |
| Filing Date | Source Excerpt |
|---|---|
| 2007-07-02 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2008-07-31 | Consultant/Investor since 1988. |
| 2009-07-17 | Consultant/Investor since 1988. |
| Filing Date | Source Excerpt |
|---|---|
| 2007-07-02 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2008-07-31 | Consultant/Investor since 1988. |
| 2009-07-17 | Consultant/Investor since 1988. |
| Filing Date | Source Excerpt |
|---|---|
| 2001-04-17 | Kent Dixon - Consultant/Investor ... Age: 63 ... Class III ... The members of the Audit Committee of each Trust are Messrs. Brimmer, Cavanagh, Dixon, Fabozzi, La Force and Mondale ... Kent Dixon $148,000 (2) ... Total Compensation from the Fund Complex $160,000 (4) ... Each Independent Director receives an annual fee ... The total annual aggregate compensation for each Independent Director is capped at $160,000 per annum. |
| 2002-04-01 | Kent Dixon Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2003-04-15 | Kent Dixon Consultant/Investor. Former President and Chief Former Director of ISFA (the owner of INVEST, a P.O. Box 4546 Executive Officer of Empire Federal Savings Bank national securities brokerage service designed for New York, NY 10163 of America and Banc PLUS Savings Association. banks and thrift institutions). Age: 65 Former Chairman of the Board, President and Class III Chief Executive Officer of Northeast Savings. |
| 2004-04-14 | Kent Dixon Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association. Former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2005-04-21 | Kent Dixon Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. The members of the Audit Committee of each Trust are Messrs. Brimmer (Chairman of the Audit Committee), Cavanagh, Dixon and Fabozzi, all of whom are Independent Directors. |
| 2006-04-19 | Kent Dixon P.O. Box 4546 New York, NY 10163 Age: 68 Class III Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2007-07-02 | Kent Dixon(1) Age: 69 Board Member of certain Funds Since 1988 Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. 60 registered investment companies 112 registered investment companies Former Director of ISFA (the owner of INVEST, a national securities brokerage service designed for banks and thrift institutions). |
| 2008-07-31 | Kent Dixon (1) Director/ Trustee 2007 to present Consultant/Investor since 1988. ... The Audit Committee of each Fund, except BQR, consists of the following Board Members: Karen P. Robards (Chair), Kent Dixon, Frank J. Fabozzi, James T. Flynn, W. Carl Kester and Robert S. Salomon, Jr. ... The Governance and Nominating Committee, except BQRs, is comprised of R. Glenn Hubbard, G. Nicholas Beckwith, III, Richard E. Cavanagh, Jerrold B. Harris and Kathleen F. Feldstein, each of whom is not an interested persons within the meaning of the 1940 Act. ... Each Fund, except BQR, has a Compliance Committee composed of Kathleen F. Feldstein, G. Nicholas Beckwith, III, Richard E. Cavanagh, Jerrold B. Harris and R. Glenn Hubbard, each of whom is not an interested persons within the meaning of the 1940 Act. ... Each Fund, except BQR, has a Performance Oversight Committee composed of all of the Independent Board Members. |
| 2009-07-17 | Kent Dixon Director/ Trustee and Member of the Audit Committee. |
| Filing Date | Source Excerpt |
|---|---|
| 2001-04-17 | Kent Dixon, Age: 63, Independent Director, member of Audit Committee, annual compensation $160,000. |
| 2002-04-01 | Kent Dixon Consultant/Investor. 30(2) Former Director of ISFA (the P.O. Box 4546 Former President and Chief owner of INVEST, a national New York, NY 10163 Executive Officer of Empire securities brokerage service Age: 64 Federal Savings Bank of designed for banks and thrift Class III America and Banc PLUS institutions). |
| 2003-04-15 | The members of the Audit Committee of each Trust are Messrs. Brimmer (Chairman of the Audit Committee), Cavanagh and Dixon. The Board of each Trust has determined that each Trust has two audit committee financial experts serving on its audit committee, Dr. Brimmer and Mr. Dixon, both of whom are independent for the purpose of the definition of audit committee financial expert as applicable to the Trusts. The following table sets forth certain information regarding the compensation of the Trusts' Directors. TOTAL COMPENSATION FROM THE FUND COMPLEX NAME OF DIRECTOR PAID TO DIRECTORS (1) -------------------------------- -------------------------------- Kent Dixon $160,000(2) (2) Represents the aggregate compensation earned by such persons during the calendar year ended December 31, 2002. Of this amount, Messrs. Brimmer, Cavanagh, Dixon, Fabozzi, La Force and Mondale deferred $24,000, $24,000, $0, $0, $148,000 and $55,500, respectively, pursuant to the Fund Complex's deferred compensation plan (described below). |
| 2004-04-14 | Kent Dixon Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association. Former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2005-04-21 | Kent Dixon Age: 67 Class III Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. The members of the Audit Committee of each Trust are Messrs. Brimmer (Chairman of the Audit Committee), Cavanagh, Dixon and Fabozzi, all of whom are Independent Directors. Total compensation: $210,000. |
| 2006-04-19 | Kent Dixon Age: 68 Class III Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. The members of the Audit Committee of each Trust are Messrs. Brimmer (Chairman of the Audit Committee), Cavanagh, Dixon and Fabozzi, all of whom are Independent Directors. Kent Dixon is a member of the Portfolio Review Committee. |
| 2007-07-02 | Kent Dixon(1) Age: 69 Board Member of certain Funds Since 1988 Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. 60 registered investment companies 112 registered investment companies Former Director of ISFA (the owner of INVEST, a national securities brokerage service designed for banks and thrift institutions). |
| 2008-07-31 | Kent Dixon (1) Director/Trustee since 2007 to present. He receives $250,000 per annum retainer and additional fees for committee services totaling $299,365. |
| 2009-07-17 | Kent Dixon Director/ Trustee 1937 Member of the Audit Committee Mr. Dixon will receive an additional $25,000 per annum from the funds in the Fund Complex for their service on each Audit Committee. |
| Filing Date | Source Excerpt |
|---|---|
| 2004-04-14 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association. Former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2005-04-21 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2006-04-19 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2007-07-02 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2008-07-31 | Consultant/Investor since 1988. |
| 2009-07-17 | Consultant/Investor since 1988. |
| Filing Date | Source Excerpt |
|---|---|
| 2007-07-02 | Kent Dixon(1) Age: 69 Board Member of certain Funds Since 1988 Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. 60 registered investment companies 112 registered investment companies Former Director of ISFA (the owner of INVEST, a national securities brokerage service designed for banks and thrift institutions). |
| 2008-07-31 | Kent Dixon (1) Director/Trustee since 2007 to present. He receives $250,000 per annum retainer, $25,000 for Audit Committee, and other fees totaling $251,005 from the Fund Complex. |
| 2009-07-17 | Kent Dixon Director/ Trustee and Member of the Audit Committee 40 East 52nd Street New York, NY 10022-5911 1937 The Independent Board Members receive retainer fees which includes meeting fees (up to six meetings per year) for Board and committee meetings and are reimbursed for all out-of-pocket expenses relating to attendance at such meetings. Mr. Dixon will receive an additional $25,000 per annum from the funds in the Fund Complex for their service on each Audit Committee. |
| Filing Date | Source Excerpt |
|---|---|
| 2003-04-15 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association. Former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2004-04-14 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association. Former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2005-04-21 | Former President and CEO of Empire Federal Savings Bank; former Director of ISFA, a securities brokerage service; no mention of software or programming skills. |
| 2006-04-19 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2007-07-02 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2008-07-31 | Consultant/Investor since 1988. |
| 2009-07-17 | Consultant/Investor since 1988. |
| Filing Date | Source Excerpt |
|---|---|
| 2002-04-01 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2003-04-15 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association. Former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2004-04-14 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association. Former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2005-04-21 | Kent Dixon Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2006-04-19 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2007-07-02 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2008-07-31 | Consultant/Investor since 1988. |
| 2009-07-17 | Consultant/Investor since 1988. |
| Filing Date | Source Excerpt |
|---|---|
| 2003-04-15 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association. Former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2004-04-14 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association. Former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2005-04-21 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2006-04-19 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2007-07-02 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2008-07-31 | Consultant/Investor since 1988. |
| 2009-07-17 | Consultant/Investor since 1988. |
| Filing Date | Source Excerpt |
|---|---|
| 2007-07-02 | Kent Dixon(1) Age: 69 Board Member of certain Funds Since 1988 Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. 60 registered investment companies 112 registered investment companies Former Director of ISFA (the owner of INVEST, a national securities brokerage service designed for banks and thrift institutions). |
| 2008-07-31 | Kent Dixon Director/ Trustee since 1988; Consultant/Investor since 1988. The Independent Board Members receive retainer fees which includes meeting fees (up to six meetings per year) for Board and committee meetings and are reimbursed for all out-of-pocket expenses relating to attendance at such meetings. The Funds do not provide compensation to any Board Member who is an "interested person," as defined in the 1940 Act. Mr. Dixon will receive an additional $25,000 per annum from the funds in the Fund Complex for their service on each Audit Committee. The table below sets forth the aggregate compensation paid to each Independent Board Member by each Fund during its most recently completed fiscal year (based on each Fund's pre-amended fiscal year end). The total compensation from Fund Complex for Mr. Dixon is $251,005. |
| 2009-07-17 | Kent Dixon is a Director/Trustee and member of the Audit Committee. He will receive an additional $25,000 per annum from the funds in the Fund Complex for his service on each Audit Committee. The Independent Board Members receive retainer fees which includes meeting fees (up to six meetings per year) for Board and committee meetings. Each Fund shall pay a pro rata portion quarterly (based on the relative net assets) of the following Board Member fees paid by the funds in the Fund Complex for which they serve: (i)$250,000 per annum for each Independent Board Member as a retainer. |
| Filing Date | Source Excerpt |
|---|---|
| 2007-07-02 | Kent Dixon(1) Age: 69 Board Member of certain Funds Since 1988 Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. BlackRock Debt Strategies Fund, Inc., BlackRock Senior High Income Fund, Inc., BlackRock Floating Rate Income Strategies Fund, Inc., BlackRock Floating Rate Income Strategies Fund II, Inc. and BlackRock Diversified Income Strategies Fund, Inc. pays each non-interested Board Member a combined fee for service on the Board and the Audit Committee of $4,400 per year plus a fee of $325 per in-person Board meeting attended and $325 per in-person Committee meeting attended. The Chairman of the Audit Committee is paid an additional annual fee of $2,206 per Fund. The Fund reimburses each non-interested Board Member for his/her out-of-pocket expenses relating to attendance at Board and Audit Committee meetings. For the year ended December 31, 2006, all Funds supervised by Board 5 reimbursed Board Member expenses in an aggregate amount of $41,757.69. |
| 2008-07-31 | Kent Dixon Director/ Trustee and Member of the Audit Committee since 1988. The Independent Board Members who are not “interested persons,” as defined in the 1940 Act, receive retainer fees which includes meeting fees (up to six meetings per year) for Board and committee meetings and are reimbursed for all out-of-pocket expenses relating to attendance at such meetings. The Funds do not provide compensation to any Board Member who is an “interested person,” as defined in the 1940 Act. The table below sets forth the aggregate compensation paid to each Independent Board Member by each Fund during its most recently completed fiscal year (based on each Fund’s pre-amended fiscal year end). Total Compensation from Fund Complex (8) $299,365 The Audit Committee of each Fund consists of the following Board Members: Karen P. Robards (Chair), Kent Dixon, Frank J. Fabozzi, James T. Flynn, W. Carl Kester and Robert S. Salomon, Jr. |
| 2009-07-17 | Kent Dixon Director/ Trustee and Member of the Audit Committee 2006 to present 40 East 52nd Street New York, NY 10022-5911 1937 |
| Filing Date | Source Excerpt |
|---|---|
| 2007-07-02 | Kent Dixon(1) Age: 69 Board Member of certain Funds Since 1988 Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. 60 registered investment companies 112 registered investment companies Former Director of ISFA (the owner of INVEST, a national securities brokerage service designed for banks and thrift institutions). |
| 2008-07-31 | Kent Dixon is a Director and Trustee and a member of the Audit Committee. Compensation table shows total compensation of $299,365 for Dixon. |
| 2009-07-17 | Kent Dixon is a Director/Trustee and Member of the Audit Committee. The Independent Board Members receive retainer fees of $250,000 per annum. |
| Filing Date | Source Excerpt |
|---|---|
| 2007-07-02 | Kent Dixon(1) Age: 69 Board Member of certain Funds Since 1988 Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. 60 registered investment companies 112 registered investment companies Former Director of ISFA (the owner of INVEST, a national securities brokerage service designed for banks and thrift institutions). |
| 2008-07-31 | Kent Dixon Director/ Trustee since 1988; Consultant/Investor since 1988. The Independent Board Members receive retainer fees which includes meeting fees (up to six meetings per year) for Board and committee meetings and are reimbursed for all out-of-pocket expenses. The Audit Committee of each Fund consists of the following Board Members: Karen P. Robards (Chair), Kent Dixon, Frank J. Fabozzi, James T. Flynn, W. Carl Kester and Robert S. Salomon, Jr. |
| 2009-07-17 | Kent Dixon is Director/Trustee and Member of the Audit Committee since 2006 to present. Total compensation from Fund Complex is $287,730. |
| Filing Date | Source Excerpt |
|---|---|
| 2007-07-02 | Kent Dixon(1) Age: 69 Board Member of certain Funds Since 1988 Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. Former Director of ISFA (the owner of INVEST, a national securities brokerage service designed for banks and thrift institutions). |
| 2008-07-31 | Kent Dixon Director/ Trustee since 1988; Consultant/Investor since 1988. The Audit Committee of each Fund consists of the following Board Members: Karen P. Robards (Chair), Kent Dixon, Frank J. Fabozzi, James T. Flynn, W. Carl Kester and Robert S. Salomon, Jr. |
| 2009-07-17 | Kent Dixon is a Director/Trustee and a member of the Audit Committee. The Independent Board Members receive retainer fees which includes meeting fees (up to six meetings per year) for Board and committee meetings. Each Fund shall pay a pro rata portion quarterly (based on the relative net assets) of the following Board Member fees paid by the funds in the Fund Complex for which they serve: (i)$250,000 per annum for each Independent Board Member as a retainer. |
| Filing Date | Source Excerpt |
|---|---|
| 2007-07-02 | Kent Dixon(1) Age: 69 Board Member of certain Funds Since 1988 Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. Board 5 currently oversees many Funds. Mr. Dixon receives an additional $30,000 per annum from the Funds in the Fund complex for which he serves for their service on the Audit Committee of such Funds. |
| 2008-07-31 | Kent Dixon Director/ Trustee since 1988; Consultant/Investor since 1988. Member of the Audit Committee. The Independent Board Members receive retainer fees which includes meeting fees (up to six meetings per year) for Board and committee meetings and are reimbursed for all out-of-pocket expenses. The table below sets forth the aggregate compensation paid to each Independent Board Member by each Fund during its most recently completed fiscal year (based on each Fund's pre-amended fiscal year end). Total Compensation from Fund Complex: $299,365. |
| 2009-07-17 | Kent Dixon Director/ Trustee Age: 72 (born 1937) Committees: Audit Committee Compensation: $287,730 from Fund Complex Excerpt: "Kent Dixon is a member of the Audit Committee." |
| Filing Date | Source Excerpt |
|---|---|
| 2007-07-02 | Kent Dixon(1) Age: 69 Board Member of certain Funds Since 1988 Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. 60 registered investment companies 112 registered investment companies Former Director of ISFA (the owner of INVEST, a national securities brokerage service designed for banks and thrift institutions). |
| 2008-07-31 | Kent Dixon is a Director/Trustee since 2007 and a member of the Audit Committee. The Independent Board Members receive retainer fees which includes meeting fees (up to six meetings per year) for Board and committee meetings. The table in Appendix B shows aggregate compensation paid to each Independent Board Member, including Mr. Dixon, totaling $251,005. |
| 2009-07-17 | Kent Dixon Director/ Trustee and Member of the Audit Committee 40 East 52nd Street New York, NY 10022-5911 1937 The Independent Board Members receive retainer fees which includes meeting fees (up to six meetings per year) for Board and committee meetings and are reimbursed for all out-of-pocket expenses relating to attendance at such meetings. Mr. Dixon's compensation from Fund Complex is $287,730. |
| Filing Date | Source Excerpt |
|---|---|
| 2007-07-02 | Kent Dixon(1) Age: 69 Board Member of certain Funds Since 1988 Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. 60 registered investment companies 112 registered investment companies Former Director of ISFA (the owner of INVEST, a national securities brokerage service designed for banks and thrift institutions). |
| 2008-07-31 | Kent Dixon Director/ Trustee since 1988; Consultant/Investor since 1988. Member of the Audit Committee. The table below sets forth the aggregate compensation paid to each Independent Board Member by each Fund during its most recently completed fiscal year (based on each Fund's pre-amended fiscal year end). Total Compensation from Fund Complex: $299,365. |
| 2009-07-17 | Kent Dixon 40 East 52nd Street New York, NY 10022-5911 1937 Director/ Trustee and Member of the Audit Committee 2006 to present The Independent Board Members receive retainer fees which includes meeting fees (up to six meetings per year) for Board and committee meetings. |
| Filing Date | Source Excerpt |
|---|---|
| 2007-07-02 | Kent Dixon(1) Age: 69 Board Member of certain Funds Since 1988 Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. 60 registered investment companies 112 registered investment companies Former Director of ISFA (the owner of INVEST, a national securities brokerage service designed for banks and thrift institutions). |
| 2008-07-31 | Kent Dixon Director/ Trustee and Member of the Audit Committee since 2007 to present ...The Audit Committee of each Fund consists of the following Board Members: Karen P. Robards (Chair), Kent Dixon, Frank J. Fabozzi, James T. Flynn, W. Carl Kester and Robert S. Salomon, Jr. |
| 2009-07-17 | Kent Dixon Director/ Trustee and Member of the Audit Committee 2006 to present ... The Audit Committee of each Fund consists of the following Board Members: Karen P. Robards (Chair); Kent Dixon; Frank J. Fabozzi; James T. Flynn; and W. Carl Kester. |
| Filing Date | Source Excerpt |
|---|---|
| 2002-04-01 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2003-04-15 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association. Former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2004-04-14 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association. Former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2005-04-21 | Kent Dixon Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. Former Director of ISFA (the owner of INVEST, a national securities brokerage service designed for banks and thrift institutions). |
| 2006-04-19 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2007-07-02 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2008-07-31 | Consultant/Investor since 1988. |
| 2009-07-17 | Consultant/Investor since 1988. |
| Filing Date | Source Excerpt |
|---|---|
| 2003-04-15 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association. Former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2004-04-14 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association. Former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2005-04-21 | Kent Dixon Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2006-04-19 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association, former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2007-07-02 | Consultant/Investor. Former President and Chief Executive Officer of Empire Federal Savings Bank of America and Banc PLUS Savings Association; former Chairman of the Board, President and Chief Executive Officer of Northeast Savings. |
| 2008-07-31 | Consultant/Investor since 1988. |
| 2009-07-17 | Consultant/Investor since 1988. |
Data sourced from SEC filings. Last updated: 2026-02-03