Corporate Board Profile
Tech Score: 0/100
| Filing Date | Source Excerpt |
|---|---|
| 2025-02-21 | R. Jay Gerken, 73, Independent Director, Member of the Audit Committee, the Governance and Nominating Committee, and the Independent Directors Committee for each Fund. Compensation from the Funds during fiscal years ended 2024: $0; Compensation from the AB Funds Complex during 2024: $315,000. |
| Filing Date | Source Excerpt |
|---|---|
| 2025-02-21 | Formerly, President and Chief Executive Officer of Legg Mason Partners Fund Advisor, LLC, and President & Board Member of The Legg Mason and Western Asset mutual funds from 2005 until June 2013. Previously, he was the President and Chair of the boards of the Citigroup Asset Management mutual funds from 2002 to 2005; Portfolio Manager and Managing Director, Smith Barney Asset Management from 1993 to 2001 and President & CEO, Directions Management of Shearson Lehman, Inc. from 1988 to 1993. |
| Filing Date | Source Excerpt |
|---|---|
| 2021-03-12 | Mr. Gerken’s qualifications to serve as a director of Associated, Chair of the Enterprise Risk Committee and member of the Audit Committee... Director Compensation in 2020: R. Jay Gerken $205,000. |
| 2022-03-11 | Mr. Gerken is a director of 17 mutual funds with approximately $38 billion in assets associated with Sanford C. Bernstein Fund, Inc., the Bernstein Fund, Inc. and the AB Multi-Manager Alternative Fund, which are mutual fund complexes. Mr. Gerken served as the President and Chief Executive Officer of Legg Mason Partners Fund Advisor, LLC from 2005 until June 2013. During that period, he was also the President and a director of the Legg Mason and Western Asset mutual funds complexes with combined assets in excess of $100 billion. Previously, Mr. Gerken served in a similar capacity at Citigroup Asset Management Mutual Funds from 2002 to 2005. Mr. Gerken’s qualifications to serve as a director of Associated, Chair of the Enterprise Risk Committee and member of the Audit Committee include his extensive investment and financial experience, as well as his executive leadership roles at several large mutual funds. Mr. Gerken is certified as a National Association of Corporate Directors (NACD) Board Leadership Fellow and completed 13 hours of NACD director educational classes from January 1, 2021 through December 31, 2021. As a Chartered Financial Analyst with experience as a portfolio manager and in overseeing the preparation of financial statements, Mr. Gerken also meets the requirements of an audit committee financial expert. |
| 2023-03-10 | Mr. Gerken is a director of 17 mutual funds with approximately $30 billion in assets associated with Sanford C. Bernstein Fund, Inc., the Bernstein Fund, Inc. and the AB Multi-Manager Alternative Fund, which are mutual fund complexes. Mr. Gerken served as the President and Chief Executive Officer of Legg Mason Partners Fund Advisor, LLC from 2005 until June 2013. During that period, he was also the President and a director of the Legg Mason and Western Asset mutual funds complexes with combined assets in excess of $100 billion. Previously, Mr. Gerken served in a similar capacity at Citigroup Asset Management Mutual Funds from 2002 to 2005. Mr. Gerken’s qualifications to serve as a director of Associated, member of the Audit Committee and of the Enterprise Risk Committee include his extensive investment and financial experience, as well as his executive leadership roles at several large mutual funds. Mr. Gerken is certified as a National Association of Corporate Directors (“NACD”) Board Leadership Fellow. As a Chartered Financial Analyst with experience as a portfolio manager and in overseeing the preparation of financial statements, Mr. Gerken also meets the requirements of an audit committee financial expert. Director Compensation in 2022: $200,000. |
| 2024-03-18 | Mr. Gerken’s qualifications to serve as a director of Associated, member of the Audit Committee and of the Enterprise Risk Committee include his extensive investment and financial experience. |
| 2025-03-17 | Mr. Gerken is a director of more than 90 mutual funds with assets in excess of $140 billion associated with AllianceBernstein. Mr. Gerken served as the President and Chief Executive Officer of Legg Mason Partners Fund Advisor, LLC from 2005 until June 2013. During that period, he was also the President and a director of the Legg Mason and Western Asset mutual funds complexes with combined assets in excess of $100 billion. Previously, Mr. Gerken served in a similar capacity at Citigroup Asset Management Mutual Funds from 2002 to 2005. Mr. Gerkens qualifications to serve as a director of Associated, member of the Audit Committee and of the Enterprise Risk Committee include his extensive investment and financial experience, as well as his executive leadership roles at several large mutual funds. Mr. Gerken is certified as a National Association of Corporate Directors Board Leadership Fellow. As a Chartered Financial Analyst with experience as a portfolio manager and in overseeing the preparation of financial statements, Mr. Gerken also meets the requirements of an audit committee financial expert. |
| Filing Date | Source Excerpt |
|---|---|
| 2005-01-31 | R. Jay Gerken Managing Director, Citigroup Global Markets Inc.; Chairman, President and Chief Executive Officer and Director of Smith Barney Fund Management, LLC; President and Chief Executive Officer of certain mutual funds associated with Citigroup. |
| 2006-01-11 | R. Jay Gerken - Chairman, President and Chief Executive Officer of Smith Barney Fund Management LLC, and Citi Fund Management Inc. (CFM); President and Chief Executive Officer of certain mutual funds associated with Citigroup. |
| 2007-01-25 | Managing Director of Legg Mason, Chairman, President and Chief Executive Officer of Smith Barney Fund Management LLC ("SBFM") and Citi Fund Management Inc. ("CFM"); President and Chief Executive Officer of certain mutual funds associated with Legg Mason; formerly Portfolio Manager of Smith Barney Allocation Series Inc. |
| 2009-01-16 | R. Jay Gerken - Managing Director of Legg Mason, Chairman, President and Chief Executive Officer of Smith Barney Fund Management LLC and Citi Fund Management Inc. |
| 2010-04-01 | Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 147 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; President and CEO, Smith Barney Fund Management LLC and Chairman, President and CEO, Citi Fund Management, Inc. (formerly registered investment advisers) (since 2002) |
| 2011-04-01 | Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 165 funds associated with LMPFA and its affiliates (since 2006) |
| 2012-03-02 | Mr. Gerken, investment management experience as an executive and portfolio manager and leadership roles within Legg Mason and affiliated entities |
| 2013-02-27 | Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 162 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates. |
| Filing Date | Source Excerpt |
|---|---|
| 2005-02-01 | R. Jay Gerken Director, Since Managing Director, Citigroup Global Markets Inc. ("CGM"); Chairman, President and Chief Executive Officer and Director of Smith Barney Fund Management, LLC ("SBFM"), Travelers Investment Adviser, Inc. ("TIA"), and Citi Fund Management Inc. ("CFM"); President and Chief Executive Officer of certain mutual funds associated with Citigroup Inc, ("Citigroup"); Formerly Portfolio Manager of Smith Barney Allocation Series Inc. (from 1996 to 2001) and Smith Barney Growth and Income Fund (from 1996 to 2000). |
| 2006-01-11 | R. Jay Gerken - Chairman, President and Chief Executive Officer of Smith Barney Fund Management LLC, and Citi Fund Management Inc. |
| 2007-01-25 | Managing Director of Legg Mason, Chairman, President and Chief Executive Officer of Smith Barney Fund Management LLC (SBFM) and Citi Fund Management Inc. (CFM); President and Chief Executive Officer of certain mutual funds associated with Legg Mason; formerly Portfolio Manager of Smith Barney Allocation Series Inc. |
| 2009-01-16 | Managing Director of Legg Mason, Chairman, President and Chief Executive Officer of Smith Barney Fund Management LLC ("SBFM") and Citi Fund Management Inc. ("CFM"); President and Chief Executive Officer of certain mutual funds associated with Legg Mason |
| 2010-01-28 | Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 147 funds associated with LMPFA and its affiliates |
| 2011-04-01 | Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 148 funds associated with LMPFA and its affiliates (since 2006) |
| 2012-04-02 | Mr. Gerken, investment management experience as an executive and portfolio manager and leadership roles within Legg Mason and affiliated entities |
| 2013-03-27 | Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 162 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates |
| Filing Date | Source Excerpt |
|---|---|
| 2004-07-30 | R. Jay Gerken* Chairman Since Managing Director, 222 None Citigroup Global Markets Inc. and Director 2003 Citigroup Global Markets 399 Park Avenue Inc. ("CGM"); Chairman, New York, NY 10022 President and Chief Age: 51 Executive Officer and Director of Smith Barney Fund Management, LLC ("SBFM"), Travelers Investment Adviser, Inc. ("TIA"), and Citi Fund Management Inc. ("CFM"); President and Chief Executive Officer of certain mutual funds associated with Citigroup Inc,. ("Citigroup"); Formerly Portfolio Manager of Smith Barney Allocation Series Inc. (from 1996 to 2001) and Smith Barney Growth and Income Fund (from 1996 to 2000). |
| 2005-07-28 | R. Jay Gerken, Chairman, CEO and Director, Managing Director, Citigroup Global Markets Inc., Chairman, President and Chief Executive Officer of SBFM, Travelers Investment Adviser, Inc. and Citi Fund Management Inc. |
| 2006-08-08 | Managing Director of Legg Mason, Chairman, President and Chief Executive Officer of Smith Barney Fund Management LLC and Citi Fund Management Inc.; Formerly Portfolio Manager of Smith Barney Allocation Series Inc. |
| 2008-08-27 | Chairman, CEO, President and Director; Managing Director, Legg Mason & Co., LLC; Chairman of the Board and Trustee/Director of 153 funds associated with LMPFA and its affiliates |
| 2009-08-12 | Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 151 funds associated with LMPFA and its affiliates |
| 2010-08-24 | Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 147 funds associated with LMPFA and its affiliates (since 2006) |
| 2011-08-22 | R. Jay Gerken - Managing Director, Legg Mason; Chairman, President and CEO of LMPFA; investment management experience. |
| 2012-08-27 | Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 159 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates |
| Filing Date | Source Excerpt |
|---|---|
| 2003-01-22 | R. Jay Gerken* Director/ Since Managing Director 226 None SSB Chairman, 2002 of SSB; Chairman, 399 Park Avenue President President and CEO New York, NY 10022 and Chief of SBFM, Travelers Age 51 Executive Investment Adviser, Officer Inc. ("TIA") and CitiFund Management Inc. |
| 2004-03-29 | R. Jay Gerken, CFA* Chairman, Since Managing Director of CGM; Chairman, President and Chief Executive Officer of Smith Barney Fund Management LLC ("SBFM"), Travelers Investment Advisor, Inc. ("TIA") and Citi Fund Management Inc. ("CFM"); President and Chief Executive Officer of certain mutual funds associated with Citigroup Inc. ("Citigroup"); Formerly, Portfolio Manager of Smith Barney Allocation Series Inc. (from 1996-2001) and Smith Barney Growth and Income Fund (from 1996-2000) |
| 2005-09-02 | R. Jay Gerken* Born 1951 President, Chairman and Chief Executive Officer Since 2002 Managing Director of CGMI; Chairman, President and Chief Executive Officer of SBFM and CFM; President and Chief Executive Officer of certain mutual funds associated with Citigroup; formerly, Chairman, President and Chief Executive Officer of Travelers Investment Advisers, Inc. (TIA) (from 2002 to 2005); Portfolio Manager of Smith Barney Allocation Series Inc. (from 1996 to 2001) and Smith Barney Growth and Income Fund (from 1996 to 2001); Chairman of the Board, Trustee or Director of 185 funds in the Citigroup fund complex Compensation Information Mr. Gerken, an interested person, as defined in the 1940 Act, does not receive compensation from the Funds but may be reimbursed for all out-of-pocket expenses relating to attendance at such meetings. |
| 2007-01-31 | R. Jay Gerken, CFA*Legg Mason & Co., LLC("Legg Mason")399 Park AvenueNew York, NY 10022Birth year: 1951 Chairman,President and Chief ExecutiveOfficer Since 2002 Managing Director, Legg Mason; Chairman of the Board, Trustee, or Director of 168 funds associated with LMPFA and its affiliates; President, LMPFA (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; formerly, Chairman, Smith Barney Fund Management LLC ("SBFM") and Citi Fund Management, Inc. ("CFM") (2002 to 2005); formerly, Chairman, President and Chief Executive Officer, Travelers Investment Advisers Inc. (2002 to 2005) 168 None Only the Independent Directors receive remuneration from the Fund for acting as a Director. Aggregate fees and expenses (including reimbursement for travel and out-of-pocket expenses) of $32,536 were paid to such Directors by the Fund during the calendar year ended December 31, 2005. Fees for the Independent Directors, who also serve as board members of certain other funds sponsored by or affiliated with Legg Mason, are currently set at $60,000 per annum plus a per meeting fee of $2,500 with respect to in-person meetings and $100 for each telephone meeting. None of the officers of the Fund received any compensation from the Fund for such period. Officers and interested Directors of the Fund are compensated by the Manager or Legg Mason. |
| 2008-02-07 | R. Jay Gerken, CFA*Legg Mason & Co., LLC("Legg Mason")620 Eighth Avenue, 49th FloorNew York, NY 10018Birth year: 1951 Chairman,President andChief ExecutiveOfficer Since 2002 Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 133 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; formerly, Chairman, President and Chief Executive Officer, Travelers Investment Advisers Inc. (2002 to 2005) Aggregate Compensation: $0 for fiscal year ended 9/30/07. |
| 2008-12-23 | R. Jay Gerken, CFA*Legg Mason & Co., LLC("Legg Mason")620 Eighth Avenue, 49th FloorNew York, NY 10018Birth year: 1951 Chairman,President andChief ExecutiveOfficer No remuneration was paid during the fiscal year ended September 30, 2008 by the Fund to Mr. Gerken who is an "interested person" as defined in the 1940 Act. |
| 2010-12-29 | R. Jay Gerken, CFA*Legg Mason & Co.620 Eighth Avenue, 49th FloorNew York, NY 10018Birth year: 1951 Chairman,President andChief ExecutiveOfficer Since 2002 Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 149 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; formerly, Chairman, President and Chief Executive Officer, Travelers Investment Advisers Inc. (2002 to 2005) No remuneration was paid during the fiscal year ended September 30, 2010 by the Fund to Mr. Gerken who is an "interested person" as defined in the 1940 Act. |
| 2011-12-29 | R. Jay Gerken, CFA*Legg Mason & Co.620 Eighth Avenue, 49th FloorNew York, NY 10018Birth year: 1951 Chairman,President andChief ExecutiveOfficer Since 2002 Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 160 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; formerly, Chairman, President and Chief Executive Officer, Travelers Investment Advisers Inc. (2002 to 2005) No remuneration was paid during the fiscal year ended September 30, 2011 by the Fund to Mr. Gerken who is an "interested person" as defined in the 1940 Act. |
| 2012-12-21 | R. Jay Gerken, CFA*Legg Mason & Co.620 Eighth Avenue, 49th FloorNew York, NY 10018Birth year: 1951 Chairman,President andChief ExecutiveOfficer Since 2002 Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 157 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates No remuneration was paid during the fiscal year ended September 30, 2012 by the Fund to Mr. Gerken who is an "interested person" as defined in the 1940 Act. |
| Filing Date | Source Excerpt |
|---|---|
| 2007-03-30 | Managing Director of Legg Mason & Co., LLC, Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason & Co., LLC or its affiliates (2005-present). |
| 2008-04-11 | Managing Director of Legg Mason & Co., Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason & Co., LLC ("Legg Mason & Co.") or its affiliates (2005-present); President of Legg Mason Partners Fund Advisor, LLC ("LMPFA") (2006-present); Chairman of Smith Barney Fund Management LLC and Citi Fund Management Inc. (2002-2005); Chairman, President and Chief Executive Officer of Travelers Investment Adviser, Inc. (2002-2005). |
| 2009-04-06 | Managing Director of Legg Mason & Co., Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason & Co. or its affiliates (2005-present). |
| 2010-04-15 | R. Jay Gerken: Investment management experience as an executive and portfolio manager and leadership roles within Legg Mason and affiliated entities. |
| 2011-04-21 | Mr. Gerken: Investment management experience as an executive and portfolio manager and leadership roles within Legg Mason, Inc. and affiliated entities, and experience serving on the boards of various investment companies. |
| 2012-04-02 | Managing Director of Legg Mason & Co., LLC (2005-present); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason & Co. or its affiliates (2005-present). |
| 2013-03-26 | Managing Director of Legg Mason & Co. LLC (2005-present); Officer and Trustee/Director of 162 funds associated with Legg Mason Partners Fund Advisor LLC (2006-present). |
| Filing Date | Source Excerpt |
|---|---|
| 2007-03-30 | Managing Director of Legg Mason & Co., LLC, Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason & Co., LLC or its affiliates (2005-present); President of Legg Mason Partners Fund Administration, LLC (2006-present). |
| 2008-04-11 | Managing Director of Legg Mason & Co., Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason & Co., LLC (2005-present); President of Legg Mason Partners Fund Advisor, LLC (2006-present); Chairman of Smith Barney Fund Management LLC and Citi Fund Management Inc. (2002-2005); Chairman, President and Chief Executive Officer of Travelers Investment Adviser, Inc. (2002-2005). |
| 2009-04-06 | Managing Director of Legg Mason & Co., Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason & Co., LLC (2005-present). |
| 2010-04-15 | Managing Director of Legg Mason & Co., Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason & Co. or its affiliates (2005-present); President of Legg Mason Partners Fund Advisor, LLC (2006-present). |
| 2011-04-21 | Mr. Gerken: Investment management experience as an executive and portfolio manager and leadership roles within Legg Mason, Inc. and affiliated entities, and experience serving on the boards of various investment companies. |
| 2012-04-02 | Managing Director of Legg Mason & Co., LLC (2005-present); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason & Co. or its affiliates (2005-present). |
| 2013-03-26 | Managing Director of Legg Mason & Co. LLC (“Legg Mason & Co.”) (2005-present); Officer and Trustee/Director of 162 funds associated with Legg Mason Partners Fund Advisor LLC (“LMPFA") or its affiliates (2006-present) and Legg Mason & Co. predecessors (prior to 2006); President and Chief Executive Officer of LMPFA (2006-present); President and Chief Executive Officer of Smith Barney Fund Management LLC and Citi Fund Management Inc. (formerly registered investment advisers) (2002-2005); formerly: Chairman, President and Chief Executive Officer of Travelers Investment Adviser, Inc. (2002-2005). |
| Filing Date | Source Excerpt |
|---|---|
| 2003-03-21 | R. Jay Gerken* Director/ Since Managing Director of SSB; President and SSB Chairman, 2002 Director of SBFM and 399 Park Avenue President Travelers Investment New York, NY 10022 and Chief Adviser, Inc. ("TIA"), Age:51 Executive and Citi Fund Manage- Officer ment Inc. |
| 2004-03-29 | R. Jay Gerken* Director/ Since Managing Director of 221 None Citigroup Asset Chairman, 2002 CGM; Chairman, Management ("CAM") 399 Park Avenue President President and Chief New York, NY 10022 and Chief Executive Officer of Age:51 Executive Smith Barney Fund Officer Management LLC ("SBFM"), Travelers Investment Advisor, Inc. ("TIA") and Citi Fund Management Inc. ("CFM"); President and Chief Executive Officer of certain mutual funds associated with Citigroup Inc. ("Citigroup"); Formerly, Portfolio Manager of Smith Barney Allocation Series Inc. (from 1996- 2001) and Smith Barney Growth and Income Fund (from 1996-2000) |
| 2005-05-03 | R. Jay Gerken* Director/ Since Managing Director of 221 None Citigroup Asset Chairman, 2002 CGM; Chairman, Management ("CAM") President President and Chief 399 Park Avenue and Chief Executive Officer of New York, NY 10022 Officer Smith Barney Fund Birth Year: 1951 Management LLC ("SBFM"), Travelers Investment Advisor, Inc. ("TIA") and Citi Fund Management Inc. ("CFM"); President and Chief Executive Officer of certain mutual funds associated with Citigroup; Formerly, Portfolio Manager of Smith Barney Allocation Series Inc. (from 1996- 2001) and Smith Barney Growth and Income Fund (from 1996-2000) |
| 2005-09-02 | R. Jay Gerken* Born 1951 President, Chairman and Chief Executive Officer Since 2002 Managing Director of CGMI; Chairman, President and Chief Executive Officer of SBFM and CFM; President and Chief Executive Officer of certain mutual funds associated with Citigroup; formerly, Chairman, President and Chief Executive Officer of Travelers Investment Advisers, Inc. (TIA) (from 2002 to 2005); Portfolio Manager of Smith Barney Allocation Series Inc. (from 1996 to 2001) and Smith Barney Growth and Income Fund (from 1996 to 2001); Chairman of the Board, Trustee or Director of 185 funds in the Citigroup fund complex None Compensation Table Total Compensation from Fund Complex $ 0 Number of Funds in Fund Complex Served by Board Member 185 |
| 2006-03-29 | R. Jay Gerken* Director/ Chairman, Since Managing Director of 182 None Citigroup Asset Chairman, 2002 CAM; Chairman, Management ("CAM") President President and Chief 399 Park Avenue and Chief Executive Officer of New York, NY 10022 Executive SBFM and Citi Fund Birth Year: 1951 Officer Management Inc. ("CFM"); |
| 2007-04-09 | R. Jay Gerken, CFA*Legg Mason & Co., LLC ("Legg Mason")399 Park AvenueNew York, NY 10022Birth Year: 1951 Chairman, President and Chief Executive Officer 2002 to present Managing Director, Legg Mason; Chairman of the Board, Trustee, or Director and Chief Executive Officer of 168 funds associated with LMPFA and its affiliates; President, LMPFA (since 2006) |
| 2009-03-16 | R. Jay Gerken, CFA*Legg Mason & Co., LLC("Legg Mason & Co.")620 Eighth Avenue, 49th FloorNew York, NY 10018Birth year: 1951 Chairman,President andChief ExecutiveOfficer No remuneration was paid during the fiscal year ended December 31, 2008 by the Fund to Mr. Gerken who is an "interested person" as defined in the 1940 Act. |
| 2010-02-26 | R. Jay Gerken, CFA*Legg Mason & Co.620 Eighth Avenue, 49th FloorNew York, NY 10018Birth year: 1951 Chairman,President andChief ExecutiveOfficer Since 2002 Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 147 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; President and CEO, Smith Barney Fund Management LLC and Chairman, President and CEO, Citi Fund Management, Inc. (formerly registered investment advisers) (since 2002); formerly, Managing Director of Citigroup Global Markets Inc. (prior to 2006); formerly, Chairman, President and Chief Executive Officer, Travelers Investment Advisers Inc. (2002 to 2005) * Mr. Gerken is an "interested person" as defined in the Investment Company Act of 1940, as amended (the "1940 Act"), because he is an officer of LMPFA and certain of its affiliates. |
| 2011-03-03 | R. Jay Gerken, CFA*Legg Mason & Co.620 Eighth Avenue, 49th FloorNew York, NY 10018Birth year: 1951 Chairman,President andChief ExecutiveOfficer Since 2002 Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 148 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; formerly, Chairman, President and Chief Executive Officer, Travelers Investment Advisers Inc. (2002 to 2005) No remuneration was paid during the fiscal year ended November 30, 2010 by the Fund to Mr. Gerken who is an "interested person" as defined in the 1940 Act. |
| 2013-02-27 | R. Jay Gerken, CFA*Legg Mason & Co.620 Eighth Avenue, 49th FloorNew York, NY 10018Birth year: 1951 Chairman,President andChief ExecutiveOfficer Since 2002 Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 162 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates. 162 None ...In addition, no remuneration was paid during the fiscal year ended November 30, 2012 by the Fund to Mr. Gerken who is an "interested person" as defined in the 1940 Act. |
| Filing Date | Source Excerpt |
|---|---|
| 2007-03-30 | R. Jay Gerken 1951 Director (4) Served since 2006; Interested nominee; No committee memberships; Total compensation $0. |
| 2008-03-28 | R. Jay Gerken 1951 Director and President (5) Served since 2006 Managing Director of Legg Mason & Co., LLC. President of Legg Mason Partners Fund Advisor, LLC. Total Compensation Annual from the Fund and its Fund Complex Paid to Directors: $0. |
| 2009-04-24 | R. Jay Gerken (58) Director and President Served as a Director since 2006 and as President since 2007 Managing Director of Legg Mason & Co., LLC. No compensation from the Fund for serving as Director and President. |
| 2010-04-16 | R. Jay Gerken Born 1951 Director and President (4) Served as a Director since 2006 and as President since 2007 Managing Director of Legg Mason & Co., LLC, Chairman, President and CEO of certain mutual funds. Interested person of the Fund. Aggregate compensation from the Fund and its Fund Complex Paid to Directors $0. |
| 2011-04-15 | R. Jay GerkenBorn 1951 Director and President (4) Served as a Director since 2006 and as President since 2007 Managing Director of Legg Mason & Co., LLC (since 2005); Officer and Trustee/Director of 148 funds associated with Legg Mason Partners Fund Adviser, LLC or its affiliates (since 2006) and Legg Mason & Co. predecessors (prior to 2006); President and Chief Executive Officer of LMPFA (since 2006); President and Chief Executive Officer of Smith Barney Fund Management LLC and Citi Fund Management Inc. (formerly registered investment advisers) (since 2002); formerly: Chairman, President and Chief Executive Officer of Travelers Investment Adviser, Inc. (prior to 2005). Total Compensation from the Fund and its Fund Complex Paid to Directors $0. |
| 2012-04-26 | R. Jay GerkenBorn 1951 Director and President and Chief Executive Officer (4) Served as a Director since 2006 and as President since 2007 Managing Director of Legg Mason & Co., LLC ("Legg Mason & Co.") (since 2005); Officer and Trustee/Director of 160 funds associated with Legg Mason Partners Fund Advisor, LLC ("LMPFA") or its affiliates (since 2006) and Legg Mason & Co. predecessors (prior to 2006); President and Chief Executive Officer of LMPFA (since 2006); President and Chief Executive Officer of Smith Barney Fund Management LLC and Citi Fund Management Inc. (formerly registered investment advisers) (since 2002); formerly: Chairman, President and Chief Executive Officer of Travelers Investment Adviser, Inc. (prior to 2005). Mr. Gerken is an "interested person" (as defined in section 2(a)(19) of the Investment Company Act of 1940, as amended (the "1940 Act")) of the Fund because of his positions with subsidiaries of, and ownership of shares of common stock of, Legg Mason, Inc., the parent company of the Investment Adviser. For the fiscal year ended December 31, 2011, the Directors received the compensation set forth in the following table for serving as Directors of the Fund and as Directors or Trustees of other funds in the same "Fund Complex." R. Jay Gerken Aggregate Compensation from the Fund ($) 0 Total Compensation from the Fund and its Fund Complex Paid to Directors ($) 0. |
| 2013-04-18 | R. Jay GerkenBorn 1951 Director and President and Chief Executive Officer Served as a Director since 2006 and as President since 2007 Managing Director of Legg Mason & Co. (since 2005); Officer and Trustee/Director of 162 funds associated with Legg Mason Partners Fund Advisor LLC ("LMPFA") or its affiliates (since 2006) and Legg Mason & Co. predecessors (prior to 2006); President and Chief Executive Officer of LMPFA (since 2006); President and Chief Executive Officer of Smith Barney Fund Management LLC and Citi Fund Management Inc. (formerly registered investment advisers) (2002-2005); formerly: Chairman, President and Chief Executive Officer of Travelers Investment Adviser, Inc. (prior to 2005). 162 None 2,000 |
| Filing Date | Source Excerpt |
|---|---|
| 2003-08-19 | Jay Gerken*+ Class I Director, Since Managing Director, 219 399 Park Avenue and President 2002 CGM New York, NY 10022 Age: 52 * An "interested person" of the Portfolio, as defined in the Investment Company Act of 1940 ("1940 Act"), because he is a Managing Director of CGM, which is an affiliate of SBFM, the Portfolio's investment manager. None of the Portfolio's executive officers or Directors who are also officers or directors of CGM received any compensation from the Portfolio for such period. |
| 2005-09-02 | R. Jay Gerken* Born 1951 President, Chairman and Chief Executive Officer Since 2002 Managing Director of CGMI; Chairman, President and Chief Executive Officer of SBFM and CFM; President and Chief Executive Officer of certain mutual funds associated with Citigroup; formerly, Chairman, President and Chief Executive Officer of Travelers Investment Advisers, Inc. (TIA) (from 2002 to 2005); Portfolio Manager of Smith Barney Allocation Series Inc. (from 1996 to 2001) and Smith Barney Growth and Income Fund (from 1996 to 2001); Chairman of the Board, Trustee or Director of 185 funds in the Citigroup fund complex Compensation Information Mr. Gerken, an interested person, as defined in the 1940 Act, does not receive compensation from the Funds but may be reimbursed for all out-of-pocket expenses relating to attendance at such meetings. |
| 2006-08-21 | R. Jay Gerken* ... Class I Director, President, Chief Executive Officer and Chairman of the Board ... Birth Year: 1951 ... Managing Director, Legg Mason ... $0 compensation (interested person) |
| 2007-08-16 | R. Jay Gerken* Legg Mason & Co., LLC (Legg Mason) 399 Park Avenue New York, NY 10022 Birth Year: 1951 President, Chief Executive Officer and Chairman of the Board Since 2002 Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA and Citi Fund Management Inc. (CFM); President and Chief Executive Officer of certain mutual funds associated with Legg Mason; Formerly Portfolio Manager of Smith Barney Allocation Series Inc. (from 1996 to 2001) and Smith Barney Growth and Income Fund (from 1996 to 2000). During the fiscal year ended May 31, 2007, each Director who was not a director, officer, partner, co-partner or employee of Legg Mason, or any affiliate thereof, received $6,000 per annum plus $750 per in-person Board meeting and $300 per telephonic Board meeting attended. Officers of the Fund are compensated by Legg Mason. Aggregate fees and expenses (including reimbursement for travel and out-of-pocket expenses) of $15,909 were paid to such Directors by the Fund during the year ended December 31, 2006. The following table provides information concerning the compensation paid to each Director during the fiscal year ended May 31, 2007. R. Jay Gerken 0 0 |
| 2008-08-27 | R. Jay Gerken*Legg Mason & Co., LLC("Legg Mason")620 Eighth AvenueNew York, NY 10018Birth Year: 1951 President, Chief Executive Officer and Chairman of the Board Since2002 Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; President and Chief Executive Officer of certain mutual funds associated with Legg Mason. 0 |
| 2009-08-12 | R. Jay Gerken, CFA*Legg Mason & Co., LLC620 Eighth Avenue, 49th FloorNew York, NY 10018Birth year: 1951 Chairman,President andChief ExecutiveOfficer Since 2002 Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 151 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; formerly, Chairman, President and Chief Executive Officer, Travelers Investment Advisers Inc. (2002 to 2005) 138 Former Trustee, Consulting Group Capital Markets Fund (2002-2006) ...no remuneration was paid during the fiscal year ended May 31, 2009 by the Fund to Mr. Gerken who is an "interested person" as defined in the 1940 Act. |
| 2010-08-24 | R. Jay Gerken, CFA*Legg Mason & Co.620 Eighth Avenue, 49th FloorNew York, NY 10018Birth year: 1951 Chairman,President andChief ExecutiveOfficer Since 2002 Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 147 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; formerly, Chairman, President and Chief Executive Officer, Travelers Investment Advisers Inc. (2002 to 2005) No remuneration was paid during the fiscal year ended May 31, 2010 by the Fund to Mr. Gerken who is an "interested person" as defined in the 1940 Act. |
| 2011-08-22 | R. Jay Gerken, CFA*Legg Mason & Co.620 Eighth Avenue, 49th FloorNew York, NY 10018Birth year: 1951 Chairman,President andChief ExecutiveOfficer Since 2002 Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 159 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; formerly, Chairman, President and Chief Executive Officer, Travelers Investment Advisers Inc. (2002 to 2005) No remuneration was paid during the fiscal year ended May 31, 2011 by the Fund to Mr. Gerken who is an "interested person" as defined in the 1940 Act. |
| 2012-08-27 | R. Jay Gerken, CFA*Legg Mason & Co.620 Eighth Avenue, 49th FloorNew York, NY 10018Birth year: 1951 Chairman,President andChief ExecutiveOfficer Since 2002 Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 159 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates. 159 None ...no remuneration was paid during the fiscal year ended May 31, 2012 by the Fund to Mr. Gerken who is an "interested person" as defined in the 1940 Act. |
| Filing Date | Source Excerpt |
|---|---|
| 2005-03-22 | R. Jay Gerken* Chairman, President and Chief Executive Officer Since 2002 Managing Director of CGM; Chairman, President and Chief Executive Officer of SBFM, Travelers Investment Advisor, Inc. ("TIA") and Citi Fund Management Inc. ("CFM"); President and Chief Executive Officer of certain mutual funds associated with Citigroup; formerly portfolio manager, Smith Barney Growth and Income Fund (1994-2000) and Smith Barney Allocation Series Inc. (1996-2001). Year of Birth: 1951 |
| 2005-09-02 | R. Jay Gerken* Born 1951 President, Chairman and Chief Executive Officer Since 2002 Managing Director of CGMI; Chairman, President and Chief Executive Officer of SBFM and CFM; President and Chief Executive Officer of certain mutual funds associated with Citigroup; formerly, Chairman, President and Chief Executive Officer of Travelers Investment Advisers, Inc. (TIA) (from 2002 to 2005); Portfolio Manager of Smith Barney Allocation Series Inc. (from 1996 to 2001) and Smith Barney Growth and Income Fund (from 1996 to 2001); Chairman of the Board, Trustee or Director of 185 funds in the Citigroup fund complex |
| 2006-03-14 | R. Jay Gerken* Chairman, President and Chief Executive Officer Since 2002 Managing Director of Citigroup Asset Management ("CAM"); Chairman, President and Chief Executive Officer of SBFM, and Citi Fund Management Inc. ("CFM"); President and Chief Executive Officer of certain mutual funds associated with CAM; formerly portfolio manager, Smith Barney Growth and Income Fund (1994-2000) and Smith Barney Allocation Series Inc. (1996-2001). ... Interested Director R. Jay Gerken* $0 compensation from Fund for fiscal year ended 10/31/05. |
| 2007-02-05 | R. Jay Gerken*Legg Mason & Co., LLC("Legg Mason")399 Park AvenueNew York, NY 10022Year of Birth: 1951 Chairman, President and Chief Executive Officer Since2002 Managing Director of Legg Mason; Chairman, President and Chief Executive Officer of LMPFA and Citi Fund Management Inc. ("CFM"); President and Chief Executive Officer of certain mutual funds associated with Legg Mason. 163 None Only the Non-Interested Directors receive remuneration from the Fund for acting as a Director. Aggregate expenses (including reimbursement for travel and out-of-pocket expenses) of $18,009 were paid to such Directors by the Fund during the calendar year ended December 31, 2006. Fees for the Non-Interested Directors are currently set at $6,000 per annum plus $750 per in-person Board meeting and $300 per telephone conference call. The following table shows the compensation paid by the Fund to each person who was a Director during the Fund's last fiscal year: R. Jay Gerken** 0 0 163 * An "interested person" of the Fund, as defined in the 1940 Act because he is a Managing Director of Legg Mason, which is an affiliate of the Manager. |
| 2008-02-07 | R. Jay Gerken*Legg Mason & Co., LLC("Legg Mason")620 Eighth AvenueNew York, NY 10018Year of Birth: 1951 Chairman, President and Chief Executive Officer Since2002 Managing Director of Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee or Director of 133 funds associated with LMPFA and its affiliates (since 2006); President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; formerly, Chairman, President and Chief Executive Officer, Travelers Investment Advisers, Inc. (2002 to 2005) 133 Trustee, Consulting Group Capital Markets Fund ... The following table shows the compensation paid by the Fund to each person who was a Director during the Fund's last fiscal year: Name of Person Aggregate Compensation from Fund for the fiscal year ended 10/31/07 Total Compensation from Fund and Fund Complex for the year ended 12/31/06 Total Number of Funds for Which Director Serves within Fund Complex R. Jay Gerken** $ 0 $ 0 133 ... * Mr. Gerken is an "interested person" as defined in the 1940 Act because he is a Managing Director of Legg Mason, the parent company of the Fund's investment manager. |
| 2009-01-16 | R. Jay Gerken, CFA*Legg Mason & Co., LLC("Legg Mason")620 Eighth Avenue, 49th FloorNew York, NY 10018Birth year: 1951 Chairman,President andChief ExecutiveOfficer Since 2002 Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 163 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; formerly, Chairman, President and Chief Executive Officer, Travelers Investment Advisers Inc. (2002 to 2005) No remuneration was paid during the fiscal year ended October 31, 2008 by the Fund to Mr. Gerken who is an "interested person" as defined in the 1940 Act. |
| 2010-01-28 | R. Jay Gerken, CFA*Legg Mason & Co.620 Eighth Avenue, 49th FloorNew York, NY 10018Birth year: 1951 Chairman,President andChief ExecutiveOfficer Since 2002 Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 147 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; President and CEO, Smith Barney Fund Management LLC and Chairman, President and CEO, Citi Fund Management, Inc. (formerly registered investment advisers) (since 2002); formerly, Managing Director of Citigroup Global Markets Inc. (prior to 2006); formerly, Chairman, President and Chief Executive Officer, Travelers Investment Advisers Inc. (2002 to 2005) No remuneration was paid during the fiscal year ended October 31, 2009 by the Fund to Mr. Gerken who is an "interested person" as defined in the 1940 Act. |
| 2012-01-27 | R. Jay Gerken, CFA*Legg Mason & Co.620 Eighth Avenue, 49th FloorNew York, NY 10018Birth year: 1951 Chairman,President andChief ExecutiveOfficer Since 2002 Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 161 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; 161 None ...no remuneration was paid during the fiscal year ended October 31, 2011 by the Fund to Mr. Gerken who is an "interested person" as defined in the 1940 Act. |
| 2013-01-25 | R. Jay Gerken, CFA*Legg Mason & Co.620 Eighth Avenue, 49th FloorNew York, NY 10018Birth year: 1951 Chairman,President andChief ExecutiveOfficer Since 2002 Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 162 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; 162 None ...In addition, no remuneration was paid during the fiscal year ended October 31, 2012 by the Fund to Mr. Gerken who is an "interested person" as defined in the 1940 Act. |
| Filing Date | Source Excerpt |
|---|---|
| 2007-03-30 | R. Jay Gerken Trustee Served since Managing Director of 171 None None 1951 2006(4) Legg Mason &Co., LLC, Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason & Co., LLC or its affiliates (2005- present); President of Legg Mason Partners Fund Administration, LLC (2006- present); Chairman of Smith Barney Fund Management LLC and Citi Fund Management Inc. (2002-2005); Chairman, President and Chief Executive Officer of Travelers Investment Adviser, Inc. (2002-2005). |
| 2008-03-28 | R. Jay Gerken 1951 Trustee and President(5) Served since 2006 Managing Director of Legg Mason & Co., LLC (Legg Mason & Co.), Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason & Co. or its affiliates (2005-present); President of Legg Mason Partners Fund Advisor, LLC (LMPFA) (2006-present); Chairman of Smith Barney Fund Management LLC and Citi Fund Management Inc. (2002-2005); Chairman, President and Chief Executive Officer of Travelers Investment Adviser, Inc. (2002-2005). |
| 2009-05-04 | R. Jay Gerken(58)(4) Trustee and President (5) Served as a Trustee since 2006 and as President since 2007 Managing Director of Legg Mason & Co., LLC, Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason & Co., LLC or its affiliates (2005-present); President of Legg Mason Partners Fund Advisor, LLC (2006-present); Chairman of Smith Barney Fund Management LLC and Citi Fund Management Inc. (2002-2005); Chairman, President and Chief Executive Officer of Travelers Investment Adviser, Inc. (2002-2005). |
| 2010-04-16 | Managing Director of Legg Mason & Co., LLC; Chairman, President and CEO of mutual funds associated with Legg Mason. |
| 2011-04-15 | R. Jay Gerken Born 1951 Trustee and President Served since 2006 Managing Director of Legg Mason & Co., LLC; President and CEO of LMPFA; President and CEO of Smith Barney Fund Management LLC and Citi Fund Management Inc. |
| 2012-04-26 | Managing Director of Legg Mason & Co., LLC (since 2005); President and Chief Executive Officer of LMPFA (since 2006); President and Chief Executive Officer of Smith Barney Fund Management LLC and Citi Fund Management Inc. (since 2002). |
| 2013-04-18 | Managing Director of Legg Mason & Co. (since 2005); Officer and Trustee/Director of 162 funds associated with Legg Mason Partners Fund Advisor LLC ("LMPFA") or its affiliates (since 2006) and Legg Mason & Co. predecessors (prior to 2006); President and Chief Executive Officer of LMPFA (since 2006); President and Chief Executive Officer of Smith Barney Fund Management LLC and Citi Fund Management Inc. (formerly registered investment advisers) (2002-2005); formerly: Chairman, President and Chief Executive Officer of Travelers Investment Adviser, Inc. (prior to 2005). |
Data sourced from SEC filings. Last updated: 2026-02-03