NICHOLAS DALMASO

Corporate Board Profile

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ADVENT CONVERTIBLE & INCOME FUND

Filing Date	Source Excerpt
2004-10-01	Senior Managing Director and General Counsel of Claymore Advisors, LLC and Claymore Securities, Inc. from 2001-present. Formerly, Assistant General Counsel, John Nuveen and Company Inc. (asset manager) (1999-2001).
2005-08-29	Senior Managing Director and General Counsel of Claymore Advisors, LLC and Claymore Securities, Inc. (2001-present). Formerly, Assistant General Counsel, John Nuveen and Company Inc. (asset manager) (1999-2001).
2006-08-21	Senior Managing Director and General Counsel of Claymore Advisors, LLC and Claymore Securities, Inc. (2001-present). Formerly, Assistant General Counsel, John Nuveen and Company Inc. (asset manager) (1999-2001). Former Vice President and Associate General Counsel of Van Kampen Investments, Inc. (1992-1999).
2007-08-24	Senior Managing Director and General Counsel of Claymore Advisors, LLC and Claymore Securities, Inc. (2001-present). Formerly, Assistant General Counsel, John Nuveen and Company Inc. (asset manager) (1999-2001). Former Vice President and Associate General Counsel of Van Kampen Investments, Inc. (1992-1999).
2008-08-21	Attorney. Formerly Chief Administrative Officer of Claymore Advisors, LLC and Claymore Securities, Inc. from 2007-2008. Former Senior Managing Director and General Counsel of Claymore Advisors, LLC and Claymore Securities, Inc. (2001-2007).
2009-08-27	Attorney. Formerly, Senior Managing Director and Chief Administrative Officer (2007-2008) and General Counsel (2001-2008) of Claymore Advisors, LLC and Claymore Securities, Inc.

FLAHERTY & CRUMRINE PREFERRED & INCOME FUND INC

Filing Date	Source Excerpt
2024-03-04	Nicholas Dalmaso 301 E. Colorado Boulevard Suite 800 Pasadena, CA 91101 Age: 58 Director and Nominating and Governance Committee Chair Class II Director FFC – since 2024 FLC – since 2024 Class III Director PFD – since 2024 PFO – since 2024 DFP – since 2024 General Counsel of EquityBee, Inc.; Founder and CEO of Sound Capital Holdings LLC, Sound Capital Distributors LLC (a registered broker/dealer) and Sound Capital Solutions LLC (a registered investment advisor); Founder and General Counsel of M1 Finance, Inc.(a registered broker/dealer). 5 Independent Chair of the Destra Capital Investment Company Boards (4 funds); Independent Chair of the Milliman Variable Insurance Trust Boards (2 funds) The members of each Audit Committee are Ms. Hogan and Messrs. Dalmaso and Gale. The Nominating Committee of each Fund is composed entirely of each Fund’s Independent Directors who are also “independent” (as such term is defined by the NYSE Listing Standards), The Nominating Committee of each Fund met two times during the fiscal year ended November 30, 2023. As of the date of this Joint Proxy Statement, the current members of the Nominating Committee are Ms. Hogan and Messrs. Dalmaso and Gale. $0 – PFD $0 – PFO $0 – FFC $0 – FLC $0 – DFP $0 (5)
2025-03-17	Nicholas Dalmaso 301 E. Colorado Boulevard Suite 800 Pasadena, CA 91101 Age: 59 Director and Nominating and Governance Committee Chair General Counsel of EquityBee, Inc.; Founder and CEO of Sound Capital Holdings LLC, Sound Capital Distributors LLC (a registered broker/dealer) and Sound Capital Solutions LLC (a registered investment advisor); Founder and General Counsel of M1 Finance, Inc.(a registered broker/dealer). 5 Independent Trustee and Chair of the Destra Capital Investment Company Boards (3 funds); Lead Independent Trustee of the Milliman Variable Insurance Trust (2 funds)

Filing Date

Source Excerpt

2024-03-04

Nicholas Dalmaso 301 E. Colorado Boulevard Suite 800 Pasadena, CA 91101 Age: 58 Director and Nominating and Governance Committee Chair Class II Director FFC – since 2024 FLC – since 2024 Class III Director PFD – since 2024 PFO – since 2024 DFP – since 2024 General Counsel of EquityBee, Inc.; Founder and CEO of Sound Capital Holdings LLC, Sound Capital Distributors LLC (a registered broker/dealer) and Sound Capital Solutions LLC (a registered investment advisor); Founder and General Counsel of M1 Finance, Inc.(a registered broker/dealer). 5 Independent Chair of the Destra Capital Investment Company Boards (4 funds); Independent Chair of the Milliman Variable Insurance Trust Boards (2 funds) The members of each Audit Committee are Ms. Hogan and Messrs. Dalmaso and Gale. The Nominating Committee of each Fund is composed entirely of each Fund’s Independent Directors who are also “independent” (as such term is defined by the NYSE Listing Standards), The Nominating Committee of each Fund met two times during the fiscal year ended November 30, 2023. As of the date of this Joint Proxy Statement, the current members of the Nominating Committee are Ms. Hogan and Messrs. Dalmaso and Gale. $0 – PFD $0 – PFO $0 – FFC $0 – FLC $0 – DFP $0 (5)

2025-03-17

Nicholas Dalmaso 301 E. Colorado Boulevard Suite 800 Pasadena, CA 91101 Age: 59 Director and Nominating and Governance Committee Chair General Counsel of EquityBee, Inc.; Founder and CEO of Sound Capital Holdings LLC, Sound Capital Distributors LLC (a registered broker/dealer) and Sound Capital Solutions LLC (a registered investment advisor); Founder and General Counsel of M1 Finance, Inc.(a registered broker/dealer). 5 Independent Trustee and Chair of the Destra Capital Investment Company Boards (3 funds); Lead Independent Trustee of the Milliman Variable Insurance Trust (2 funds)

Flaherty & Crumrine PREFERRED & INCOME OPPORTUNITY FUND INC

Filing Date	Source Excerpt
2024-03-04	Nicholas Dalmaso 301 E. Colorado Boulevard Suite 800 Pasadena, CA 91101 Age: 58 Director and Nominating and Governance Committee Chair Class II Director FFC – since 2024 FLC – since 2024 Class III Director PFD – since 2024 PFO – since 2024 DFP – since 2024 General Counsel of EquityBee, Inc.; Founder and CEO of Sound Capital Holdings LLC, Sound Capital Distributors LLC (a registered broker/dealer) and Sound Capital Solutions LLC (a registered investment advisor); Founder and General Counsel of M1 Finance, Inc.(a registered broker/dealer). 5 Independent Chair of the Destra Capital Investment Company Boards (4 funds); Independent Chair of the Milliman Variable Insurance Trust Boards (2 funds) The current members of the Audit Committee are Ms. Hogan and Messrs. Dalmaso and Gale. The Nominating Committee of each Fund is composed entirely of each Fund’s Independent Directors who are also “independent” (as such term is defined by the NYSE Listing Standards), The Nominating Committee of each Fund met two times during the fiscal year ended November 30, 2023. As of the date of this Joint Proxy Statement, the current members of the Nominating Committee are Ms. Hogan and Messrs. Dalmaso and Gale. $0 – PFD $0 – PFO $0 – FFC $0 – FLC $0 – DFP $0 (5)
2025-03-17	Nicholas Dalmaso 301 E. Colorado Boulevard Suite 800 Pasadena, CA 91101 Age: 59 Director and Nominating and Governance Committee Chair Audit Committee member Nominating Committee Chair Aggregate compensation $63,750

Filing Date

Source Excerpt

2024-03-04

Nicholas Dalmaso 301 E. Colorado Boulevard Suite 800 Pasadena, CA 91101 Age: 58 Director and Nominating and Governance Committee Chair Class II Director FFC – since 2024 FLC – since 2024 Class III Director PFD – since 2024 PFO – since 2024 DFP – since 2024 General Counsel of EquityBee, Inc.; Founder and CEO of Sound Capital Holdings LLC, Sound Capital Distributors LLC (a registered broker/dealer) and Sound Capital Solutions LLC (a registered investment advisor); Founder and General Counsel of M1 Finance, Inc.(a registered broker/dealer). 5 Independent Chair of the Destra Capital Investment Company Boards (4 funds); Independent Chair of the Milliman Variable Insurance Trust Boards (2 funds) The current members of the Audit Committee are Ms. Hogan and Messrs. Dalmaso and Gale. The Nominating Committee of each Fund is composed entirely of each Fund’s Independent Directors who are also “independent” (as such term is defined by the NYSE Listing Standards), The Nominating Committee of each Fund met two times during the fiscal year ended November 30, 2023. As of the date of this Joint Proxy Statement, the current members of the Nominating Committee are Ms. Hogan and Messrs. Dalmaso and Gale. $0 – PFD $0 – PFO $0 – FFC $0 – FLC $0 – DFP $0 (5)

2025-03-17

Nicholas Dalmaso 301 E. Colorado Boulevard Suite 800 Pasadena, CA 91101 Age: 59 Director and Nominating and Governance Committee Chair Audit Committee member Nominating Committee Chair Aggregate compensation $63,750

Flaherty & Crumrine PREFERRED & INCOME SECURITIES FUND INC

Filing Date	Source Excerpt
2004-02-17	NICHOLAS DALMASO Director, Vice President and Assistant Secretary Senior Managing Director and General Counsel of Claymore Securities, Inc.
2005-02-17	NICHOLAS DALMASO Director, Vice President and Assistant Secretary Director of Claymore Group, LLC since January 2002. Senior Managing Director and General Counsel of Claymore Securities, Inc. since November 2001. Partner of DBN Group since April 2001. Assistant General Counsel of Nuveen Investments from July 1999 to November 2001. Prior to that, Vice President and Associate General Counsel of Van Kampen Investments.
2024-03-04	General Counsel of EquityBee, Inc.; Founder and CEO of Sound Capital Holdings LLC, Sound Capital Distributors LLC (a registered broker/dealer) and Sound Capital Solutions LLC (a registered investment advisor); Founder and General Counsel of M1 Finance, Inc.(a registered broker/dealer).
2025-03-17	General Counsel of EquityBee, Inc.; Founder and CEO of Sound Capital Holdings LLC, Sound Capital Distributors LLC (a registered broker/dealer) and Sound Capital Solutions LLC (a registered investment advisor); Founder and General Counsel of M1 Finance, Inc.(a registered broker/dealer).

FLAHERTY & CRUMRINE TOTAL RETURN FUND INC

Filing Date	Source Excerpt
2004-02-17	Nicholas Dalmaso - Senior Managing Director and General Counsel of Claymore Securities, Inc.; Partner of DBN Group; Assistant General Counsel of Nuveen Investments; Vice President and Associate General Counsel of Van Kampen Investments.
2005-02-17	NICHOLAS DALMASO Director, Vice President and Assistant Secretary Director of Claymore Group, LLC since January 2002. Senior Managing Director and General Counsel of Claymore Securities, Inc. since November 2001. Partner of DBN Group since April 2001. Assistant General Counsel of Nuveen Investments from July 1999 to November 2001. Vice President and Associate General Counsel of Van Kampen Investments.
2024-03-04	General Counsel of EquityBee, Inc.; Founder and CEO of Sound Capital Holdings LLC, Sound Capital Distributors LLC (a registered broker/dealer) and Sound Capital Solutions LLC (a registered investment advisor); Founder and General Counsel of M1 Finance, Inc.(a registered broker/dealer).
2025-03-17	General Counsel of EquityBee, Inc.; Founder and CEO of Sound Capital Holdings LLC, Sound Capital Distributors LLC (a registered broker/dealer) and Sound Capital Solutions LLC (a registered investment advisor); Founder and General Counsel of M1 Finance, Inc.(a registered broker/dealer).

WESTERN ASSET INFLATION-LINKED INCOME FUND

Filing Date	Source Excerpt
2004-03-31	Senior Managing Director and General Counsel of Claymore Securities, Inc. (2001-present) and Claymore Advisors, LLC (2003-present); Vice President and Assistant Secretary of Flaherty & Crumrine/Claymore Preferred Securities Income Fund, Inc. (2002-present) and Flaherty & Crumrine/Claymore Total Return Fund, Inc. (2003-present); Manager of Claymore Fund Management Company LLC (2002-present); Vice President of Boyar Value Fund (2003-present). Formerly: Assistant General Counsel of John Nuveen and Company, Inc. (1999-2001); Vice President and Associate General Counsel of Van Kampen Investments (1992-1999).
2005-03-31	Senior Managing Director and General Counsel of Claymore Securities, Inc. Fund (2000-present) and Claymore Advisors, LLC (2003-present); Manager of Claymore Fund Management Company LLC (2002-present); Chief Executive Officer, Chief Legal Officer and Chief Compliance Officer to funds in the Claymore Advisors, LLC fund complex. Formerly: Assistant General Counsel of John Nuveen and Company, Inc. (1999-2001); Vice President and Associate General Counsel of Van Kampen Investments (1992-1999).
2006-04-03	Senior Managing Director and General Counsel of Claymore Securities, Inc. (2000-present) and Claymore Advisors, LLC (2003-present); Formerly: Assistant General Counsel of John Nuveen & Company, Inc. (1999-2001).
2007-03-30	Senior Managing Director and General Counsel of Claymore Securities, Inc. (2000-present) and Claymore Advisors, LLC (2003-present); Chief Executive Officer, Chief Legal Officer and Chief Compliance Officer to funds in Claymore Advisors, LLC fund complex (2004-present).
2008-04-11	Senior Managing Director and Chief Administrative Officer of Claymore Advisors, LLC and Claymore Securities, Inc. (2007-present); Chief Executive Officer and Chief Legal Officer of certain funds in Claymore Advisors, LLC fund complex (2004-present); Director, Claymore Investments, Inc. (2004-present); Senior Managing Director and General Counsel, Claymore Advisors, LLC (2003-2007) and Claymore Securities, Inc. (2000-2007); Director, Claymore Group Inc. (2004-2007).
2009-04-06	Attorney. Formerly, Senior Managing Director and Chief Administrative Officer (2007-2008) and General Counsel (2001-2007) of Claymore Advisors, LLC and Claymore Securities, Inc.

WESTERN ASSET INFLATION-LINKED OPPORTUNITIES & INCOME FUND

Filing Date	Source Excerpt
2005-03-31	Senior Managing Director and General Counsel of Claymore Securities, Inc. (2001-present) and Claymore Advisors, LLC (2003-present); Manager of Claymore Fund Management Company LLC (2002-present); Chief Executive Officer, Chief Legal Officer and Chief Compliance Officer to funds in the Claymore Advisors, LLC fund complex. Formerly: Assistant General Counsel of John Nuveen and Company, Inc. (1999-2001); Vice President and Associate General Counsel of Van Kampen Investments (1992-1999).
2006-04-03	Senior Managing Director and General Counsel of Claymore Securities, Inc. (2000-present) and Claymore Advisors, LLC (2003-present); Chief Executive Officer, Chief Legal Officer and Chief Compliance Officer to funds in Claymore Advisors, LLC fund complex (2004-present).
2007-03-30	Senior Managing Director and General Counsel of Claymore Securities, Inc. (2000-present) and Claymore Advisors, LLC (2003-present); Director of Claymore Investments, Inc. (2004-present); Chief Executive Officer and Chief Legal Officer to funds in Claymore Advisors, LLC fund complex (2004-present). Formerly: Assistant General Counsel of John Nuveen & Company, Inc. (1999-2001) and Assistant General Counsel of Van Kampen Investments (1992-1999).
2008-04-11	Senior Managing Director and Chief Administrative Officer of Claymore Advisors, LLC and Claymore Securities, Inc. (2007-present); Chief Executive Officer and Chief Legal Officer of certain funds in Claymore Advisors, LLC fund complex (2004-present); Director, Claymore Investments, Inc. (2004-present); Senior Managing Director and General Counsel, Claymore Advisors, LLC (2003-2007) and Claymore Securities, Inc. (2000-2007).
2009-04-06	Attorney. Formerly, Senior Managing Director and Chief Administrative Officer (2007-2008) and General Counsel (2001-2007) of Claymore Advisors, LLC and Claymore Securities, Inc.

Data sourced from SEC filings. Last updated: 2026-02-03