Corporate Board Profile
Tech Score: 0/100
| 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 |
|---|---|
| 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 |
|---|---|
| 2003-01-29 | Managing Director of Salomon Smith Barney ("SSB"); formerly portfolio manager, Smith Barney Growth and Income Fund (1994-2000) and Smith Barney Allocation Series Inc. (1996-2001); Chairman or Co-Chairman of seventy-three investment companies affiliated with Citigroup. |
| 2004-03-31 | R. Jay Gerken* Chairman, President and Chief Executive Officer Since 2002 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; formerly portfolio manager, Smith Barney Growth and Income Fund (1994-2000) and Smith Barney Allocation Series Inc. (1996-2001). |
| 2005-03-22 | R. Jay Gerken* Chairman, President and Chief Executive Officer of SBFM; formerly portfolio manager, Smith Barney Growth and Income Fund. |
| 2005-09-02 | R. Jay Gerken - Managing Director of CGMI; Chairman, President and CEO of SBFM and CFM; Portfolio Manager of Smith Barney Allocation Series Inc. and Smith Barney Growth and Income Fund |
| 2006-03-14 | Managing Director of Citigroup Asset Management ("CAM"); Chairman, President and Chief Executive Officer of SBFM, and Citi Fund Management Inc. ("CFM"); formerly portfolio manager. |
| 2007-02-05 | 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. |
| 2008-02-07 | 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 |
| 2009-01-16 | 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) |
| 2010-01-28 | Chairman, President and Chief Executive Officer of LMPFA; Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; formerly, Managing Director of Citigroup Global Markets Inc. |
| 2011-01-31 | 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) |
| 2012-01-27 | Mr. Gerken, investment management experience as an executive and portfolio manager and leadership roles within Legg Mason and affiliated entities |
| 2013-01-25 | 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. |
Data sourced from SEC filings. Last updated: 2025-07-01