THOMAS W. BROCK - Corporate Board Profile

LIBERTY ALL STAR EQUITY FUND

Filing Date	Source Excerpt
2006-03-17	Thomas W. Brock (Born 1947) Trustee; 2005; 2006 Adjunct Professor ... All the Trustees/Directors are members of each Fund's Audit Committee except for Mr. Mayer ... Compensation Table ... Thomas W. Brock $13,042 (Growth Fund) + $4,050 (Equity Fund) = $42,842 total.
2006-09-29	Thomas W. Brock (Age 59) Trustee; 2005; 2008 Chief Executive Officer, Stone Harbor Investment Partners LP (since April 2006). Aggregate Compensation from the Equity Fund $13,042, Aggregate Compensation from the Growth Fund $4,050, Total Compensation from the Fund Complex $42,842.
2007-03-01	Thomas W. Brock (Age 59) Trustee Since 2005, Term expires 2008; Director Since 2005; Term Expires 2009; All the Trustees/Directors are members of each Funds Audit Committee except for Mr. Burke; Aggregate Compensation from the Fund Complex $39,000.00
2008-02-29	Thomas W. Brock (Age 60) Trustee Since 2005, Term expires 2008; Director Since 2005; Term Expires 2009; All the Trustees/Directors are members of each Fund’s Audit Committee except for Mr. Burke; Aggregate Compensation from the Fund Complex: $31,500.
2009-02-27	Thomas W. Brock (Age 61) Trustee Since 2005, Term expires 2011 Chief Executive Officer, Stone Harbor Investment Partners LP (since April 2006); Adjunct Professor, Columbia University Graduate School of Business (since 1998) All the Trustees/Directors are members of each Fund’s Audit Committee except for Mr. Burke. Aggregate Compensation from the Fund Complex: $36,000.00
2010-02-23	Thomas W. Brock (Age 62) Trustee Since 2005, Term expires 2011; Director Since 2005; Term Expires 2012; Chief Executive Officer, Stone Harbor Investment Partners LP (since April 2006); Trustee and Chairman Stone Harbor Investment Funds (since 2007); All the Trustees/Directors are members of each Funds Audit Committee except for Mr. Burke; Aggregate Compensation from Fund Complex: $37,000.
2011-02-25	Thomas W. Brock (Age 63) - Trustee Since 2005, Term expires 2011. CEO of Stone Harbor Investment Partners LP. Member of the Audit Committee. Aggregate Compensation from the Equity Fund: $23,131.88.
2012-02-24	Thomas W. Brock (Age 64) - Trustee Since 2005, Term expires 2014, Independent Trustee, Audit Committee Member. Compensation: $25,252 from the Equity Fund in 2011.
2012-11-09	The following table shows the dollar range and the number of shares of equity securities beneficially owned by each Trustee/Director and named executive officer as of December 31, 2011 of Growth Fund and of Equity Fund. Thomas W. Brock Over $100,000 shares in Growth Fund and Equity Fund.
2013-06-28	Thomas W. Brock (Age 66) Trustee Since 2005, Term expires 2014; Director Since 2005; Term Expires 2015; Former CEO Stone Harbor Investment Partners LP; Audit Committee member; Compensation from Equity Fund $28,972, Growth Fund $10,028, Total $39,000.
2014-06-25	Thomas W. Brock (Age 67) Trustee Since 2005, Term expires 2014; Director Since 2005; Term Expires 2015; Director, Silver Bay Realty; Audit Committee member; Compensation from Fund Complex $40,000.
2015-07-06	Thomas W. Brock Year of Birth: 1947 Trustee since 2005; Term expires 2017 Director since 2005; Term expires 2015 Director, Silver Bay Realty (December 2012 – present); Former Chief Executive Officer, Stone Harbor Investment Partners LP (April 2006-2012); Adjunct Professor, Columbia University Graduate School of Business (since 1998) Members of the Audit Committees are John A. Benning, Thomas W. Brock, George R. Gaspari, Richard W. Lowry, John J. Neuhauser and Richard C. Rantzow (Committee Chairman) Compensation: $24,870 from Equity Fund, $7,630 from Growth Fund, total $32,500.
2015-10-09	To the knowledge of the Fund, on the Record Date for the Meeting, the following Trustees and executive officers were known to own the following shares of the Fund: Name of Trustees and Officers Independent Trustees Thomas W. Brock 23,484.00 Direct
2016-07-01	Thomas W. Brock: Mr. Brock has extensive investment management and organizational management experience as chief executive officer of an SEC-registered investment adviser, chairman and trustee of an open-end investment company, adjunct graduate business school professor and several years of service as a Trustee of the Equity Fund and Director of the Growth Fund. Members of the Audit Committees are Messrs. Benning, Brock, Gaspari, Neuhauser and Rantzow. Each Fund’s Nominating and Governance Committee is comprised of five independent Trustees/Directors namely Messrs. Benning (Chairman), Brock, Gaspari, Neuhauser and Rantzow. The following table shows, for the fiscal year ended December 31, 2015, the compensation received from each Fund by the Trustees/Directors and the aggregate compensation paid to the Trustees/Directors for service on the Boards of Funds within the Fund Complex. Thomas W. Brock: $32,489 from Equity Fund and $10,010 from Growth Fund, total $42,500.
2017-07-03	Thomas W. Brock Year of Birth: 1947 Trustee since 2005; Chairman since 2015; Director since 2005; Chairman since 2015; Audit Committee member; Nominating and Governance Committee member; Aggregate Compensation from Equity Fund $40,686, Growth Fund $12,314, Total $53,000.
2018-06-28	Thomas W. Brock Year of Birth: 1947 Trustee since 2005; Chairman since 2015; Term expires 2020 Director since 2005; Chairman since 2015; Term expires 2018 Aggregate Compensation from the Equity Fund: $40,610 Aggregate Compensation from the Growth Fund: $12,390 Total Compensation from the Fund Complex: $53,000 Members of the Audit Committee and Nominating and Governance Committee.
2019-06-28	Thomas W. Brock Year of Birth: 1947 Trustee since 2005; Chairman since 2015; Term expires 2020 Director since 2005; Chairman since 2015; Term expires 2021 Chief Executive Officer, Silver Bay Realty (June 2016 – May 2017); Acting Chief Executive Officer, Silver Bay Realty (January 2016 – June 2016); Director, Silver Bay Realty (December 2012 – May 2017) Trustee, Equitable AXA Annuity Trust (since January 2016), and 1290 Funds (since January 2016) Aggregate Compensation from the Equity Fund $42,890 Aggregate Compensation from the Growth Fund $14,610 Total Compensation $57,500 Audit Committee members: Messrs. Brock, Gaspari, Irvin, Neuhauser and Ms. Usifer (Committee Chairman) Nominating and Governance Committee members: Messrs. Brock, Gaspari, Irvin, Neuhauser (Committee Chairman) and Ms. Usifer.
2020-06-24	Thomas W. Brock Year of Birth: 1947 Trustee since 2005; Chairman since 2015; Term expires 2020 Director since 2005; Chairman since 2015; Term expires 2021 Chief Executive Officer, Silver Bay Realty (2016 –2017); Acting Chief Executive Officer, Silver Bay Realty (2016); Director, Silver Bay Realty (2012-2017) Trustee, Equitable AXA Annuity Trust (since January 2016), and 1290 Funds (since January 2016) The Funds are governed by their respective Boards. Thomas W. Brock, an Independent Trustee/Director, serves as Chairman of each Board. The Chairman’s responsibilities include presiding at all meetings of the Boards and serving as a liaison with other Trustees/Directors, the Funds’ officers and other management personnel and counsel to the Funds. The Chairman also performs such other duties as the Boards may from time to time determine. Audit Committee: Messrs. Brock, Gaspari, Irvin, Neuhauser and Ms. Usifer (Committee Chairman) are members of the Audit Committee of each Fund. Nominating and Governance Committee: Messrs. Brock, Gaspari, Irvin, Neuhauser (Committee Chairman) and Ms. Usifer.
2021-06-30	Thomas W. Brock Year of Birth: 1947 Trustee since 2005; Chairman since 2015; Term expires 2023 Director since 2005; Chairman since 2015; Term expires 2021 Chief Executive Officer, Silver Bay Realty (2016 –2017); Acting Chief Executive Officer, Silver Bay Realty (2016); Director, Silver Bay Realty (2012-2017) Trustee, Equitable AXA Annuity Trust (since January 2016), and 1290 Funds (since January 2016) Audit Committee member, Nominating and Governance Committee member
2022-06-30	Thomas W. Brock Year of Birth: 1947 Trustee since 2005; Chairman since 2015; Term expires 2023 Director since 2005; Chairman since 2015; Term expires 2024 Chief Executive Officer, Silver Bay Realty (2016-2017); Acting Chief Executive Officer, Silver Bay Realty (2016), Director, Silver Bay Realty (2012-2017) Aggregate Compensation from the Fund Complex: $99,000
2023-06-20	Thomas W. Brock Year of Birth: 1947 Trustee since 2005; Chairman since 2015; Term expires 2023 Director since 2005; Chairman since 2015; Term expires 2024 ... Mr. Brock has extensive investment management and organizational management experience ... Mr. Brock is Chairman of each Board ... Messrs. Brock, Burke, Irvin, Neuhauser, and Ms. Usifer (Committee Chairman) are members of the Audit Committee of each Fund ... The Nominating and Governance Committee is comprised of five independent Trustees/Directors namely Messrs. Brock, Burke, Irvin, Neuhauser (Committee Chairman), and Ms. Usifer.
2024-06-27	Thomas W. Brock, Trustee since 2005; Chairman since 2015; Term expires 2026 (Equity Fund) and Director since 2005; Chairman since 2015; Term expires 2024 (Growth Fund). Chairman of each Board. Member of Audit Committee and Nominating and Governance Committee. Compensation: $71,989 from Equity Fund, $27,011 from Growth Fund, total $99,000.

LIBERTY ALL STAR GROWTH FUND INC.

Filing Date	Source Excerpt
2006-03-17	Thomas W. Brock (Born 1947) Trustee; 2005; 2006 Adjunct Professor ... All the Trustees/Directors are members of each Fund's Audit Committee except for Mr. Mayer ... Compensation Table ... Thomas W. Brock $13,042 (Growth Fund) + $4,050 (Equity Fund) = $42,842 total.
2006-09-29	Thomas W. Brock (Age 59) ... Trustee; 2005; 2008 ... Director; 2005; 2009 ... Chief Executive Officer, Stone Harbor Investment Partners LP (since April 2006) ... Aggregate Compensation from the Equity Fund $0, Growth Fund $13,042, Total Compensation from the Fund Complex $42,842.
2007-03-01	Thomas W. Brock (Age 59) Trustee Since 2005, Term expires 2008; Director Since 2005; Term Expires 2009; Chief Executive Officer, Stone Harbor Investment Partners LP (since April 2006); Adjunct Professor, Columbia University Graduate School of Business (since 1998); 2 portfolios overseen; Director, Columbia Management Multi-Strategy Fund LLC; Manager, BACAP Alternative Multi-Strategy Fund LLC; All the Trustees/Directors are members of each Fund’s Audit Committee except for Mr. Burke; Aggregate Compensation from the Equity Fund $29,709.33, from the Growth Fund $9,290.67, Total $39,000.00.
2008-02-29	Thomas W. Brock (Age 60) Trustee Since 2005, Term expires 2008 Director Since 2005; Term Expires 2009 Chief Executive Officer, Stone Harbor Investment Partners LP (since April 2006); Adjunct Professor, Columbia University Graduate School of Business (since 1998) 2 portfolios overseen; Director, Columbia Management Multi-Strategy Fund LLC; Manager, BACAP Alternative Multi-Strategy Fund LLC. All the Trustees/Directors are members of each Funds Audit Committee except for Mr. Burke. Compensation: $25,848.33 from Equity Fund, $5,651.67 from Growth Fund, total $31,500.
2009-02-27	Thomas W. Brock (Age 61) Trustee Since 2005, Term expires 2011 Director Since 2005; Term Expires 2009 Chief Executive Officer, Stone Harbor Investment Partners LP (since April 2006); Adjunct Professor, Columbia University Graduate School of Business (since 1998); 2 portfolios overseen; Director, Columbia Management Multi-Strategy Fund LLC; Previously, Manager, BACAP Alternative Multi-Strategy Fund LLC. All the Trustees/Directors are members of each Fund's Audit Committee except for Mr. Burke. Compensation: $36,000 total.
2010-02-23	Thomas W. Brock (Age 62) Trustee Since 2005, Term expires 2011; Director Since 2005; Term Expires 2012; Chief Executive Officer, Stone Harbor Investment Partners LP (since April 2006); All the Trustees/Directors are members of each Fund’s Audit Committee except for Mr. Burke; Aggregate Compensation from the Fund Complex: $37,000.
2011-04-15	Thomas W. Brock (Age 63) Director Since 2005; Term Expires 2012 Chief Executive Officer, Stone Harbor Investment Partners LP Audit Committee member Aggregate Compensation from the Growth Fund $8,368.12
2012-07-16	Thomas W. Brock (Age 64) Director Since 2005; Term Expires 2012 Chief Executive Officer, Stone Harbor Investment Partners LP (since April 2006); Adjunct Professor, Columbia University Graduate School of Business (1998-2006) Trustee and Chairman Stone Harbor Investment Funds (since 2007); Trustee, Liberty All-Star Equity Fund (since 2005) The Fund has a separately designated Audit Committee. Messrs. Benning, Brock, Gaspari, Lowry, Neuhauser and Rantzow (Committee Chairman) are members of the Audit Committee of the Fund. The Fund's Audit Committee is composed only of members who are Independent Directors. Director Compensation The following table shows, for the fiscal year ended December 31, 2011, the compensation received from the Fund by the Directors, and the aggregate compensation paid to the Directors for service on the Boards of funds within the Fund Complex. Thomas W. Brock $9,247 Aggregate Compensation from the Growth Fund $34,500 Total Compensation from the Fund Complex.
2013-06-28	Thomas W. Brock (Age 66) Trustee Since 2005, Term expires 2014 Director Since 2005; Term Expires 2015 Former Chief Executive Officer, Stone Harbor Investment Partners LP (April 2006-2012); Adjunct Professor, Columbia University Graduate School of Business (since 1998) 2 portfolios overseen Director, Silver Bay Realty (December 2012 – present); Director and Chairman Stone Harbor Investment Funds (2007-2012) Aggregate Compensation from Equity Fund $28,972, Growth Fund $10,028, Total $39,000
2014-06-25	Thomas W. Brock (Age 67) ... Director Since 2005; Term Expires 2015 ... Messrs. Benning, Brock, Gaspari, Lowry, Neuhauser and Rantzow (Committee Chairman) are members of the Audit Committee of each Fund ... Aggregate Compensation from the Growth Fund $8,636
2015-07-06	Thomas W. Brock Year of Birth: 1947 Trustee since 2005; Term expires 2017 Director since 2005; Term expires 2015 Director, Silver Bay Realty (December 2012-present); Former CEO, Stone Harbor Investment Partners LP (April 2006-2012); Adjunct Professor, Columbia University Graduate School of Business (since 1998) Members of the Audit Committees are John A. Benning, Thomas W. Brock, George R. Gaspari, Richard W. Lowry, John J. Neuhauser and Richard C. Rantzow (Committee Chairman) Compensation: $24,870 from Equity Fund, $7,630 from Growth Fund, total $32,500.
2016-07-01	Thomas W. Brock: Mr. Brock has extensive investment management and organizational management experience as chief executive officer of an SEC-registered investment adviser, chairman and trustee of an open-end investment company, adjunct graduate business school professor and several years of service as a Trustee of the Equity Fund and Director of the Growth Fund. The Funds have separately designated Audit Committees. Messrs. Benning, Brock, Gaspari, Neuhauser and Rantzow (Committee Chairman) are members of the Audit Committee of each Fund. The following table shows, for the fiscal year ended December 31, 2015, the compensation received from each Fund by the Trustees/Directors and the aggregate compensation paid to the Trustees/Directors for service on the Boards of Funds within the Fund Complex. Neither Fund has a bonus, profit sharing or retirement plan. Thomas W. Brock $32,489 $10,010 $42,500. Each Fund’s Nominating and Governance Committee of the Board of Trustees/Directors (“Nominating and Governance Committee” or the “Committee”) is comprised of five independent Trustees/Directors namely Messrs. Benning (Chairman), Brock, Gaspari, Neuhauser and Rantzow.
2017-04-28	To the knowledge of the Fund, on the Record Date for the Special Meeting, the following Directors and executive officers were known to own the following shares of the Fund: Name of Directors and Executive Officers Independent Directors Thomas W. Brock # of Shares Owned: 43,445.82 Type of Ownership: Direct
2017-07-03	Thomas W. Brock Year of Birth: 1947; Trustee since 2005; Chairman since 2015; Director since 2005; Chairman since 2015; Audit Committee member; Nominating and Governance Committee member; Compensation from Equity Fund $40,686, Growth Fund $12,314, Total $53,000.
2018-06-28	Thomas W. Brock Year of Birth: 1947 Trustee since 2005; Chairman since 2015 Director since 2005; Chairman since 2015 Audit Committee member Nominating and Governance Committee member Compensation: $40,610 from Equity Fund, $12,390 from Growth Fund, total $53,000.
2019-06-28	Thomas W. Brock Year of Birth: 1947 Trustee since 2005; Chairman since 2015; Term expires 2020 Director since 2005; Chairman since 2015; Term expires 2021 Chief Executive Officer, Silver Bay Realty (June 2016 – May 2017); Acting Chief Executive Officer, Silver Bay Realty (January 2016 – June 2016); Director, Silver Bay Realty (December 2012 – May 2017) Trustee, Equitable AXA Annuity Trust (since January 2016), and 1290 Funds (since January 2016) Aggregate Compensation from the Equity Fund $42,890 Aggregate Compensation from the Growth Fund $14,610 Total Compensation $57,500 Audit Committee members: Messrs. Brock, Gaspari, Irvin, Neuhauser and Ms. Usifer (Committee Chairman) Nominating and Governance Committee members: Messrs. Brock, Gaspari, Irvin, Neuhauser (Committee Chairman) and Ms. Usifer.
2020-06-24	Thomas W. Brock Year of Birth: 1947 Trustee since 2005; Chairman since 2015; Term expires 2020 Director since 2005; Chairman since 2015; Term expires 2021 Chief Executive Officer, Silver Bay Realty (2016 –2017); Acting Chief Executive Officer, Silver Bay Realty (2016); Director, Silver Bay Realty (2012-2017) 2 portfolios overseen Trustee, Equitable AXA Annuity Trust (since January 2016), and 1290 Funds (since January 2016) Audit Committee member, Nominating and Governance Committee member
2021-06-30	Thomas W. Brock Year of Birth: 1947 Trustee since 2005; Chairman since 2015; Term expires 2023 Director since 2005; Chairman since 2015; Term expires 2021 Chief Executive Officer, Silver Bay Realty (2016 –2017); Acting Chief Executive Officer, Silver Bay Realty (2016); Director, Silver Bay Realty (2012-2017) 2 Trustee, Equitable AXA Annuity Trust (since January 2016), and 1290 Funds (since January 2016) Audit Committee The Funds have separately designated Audit Committees. Messrs. Brock, Gaspari, Irvin, Neuhauser and Ms. Usifer (Committee Chairman) are members of the Audit Committee of each Fund. Nomination Information Each Fund’s Nominating and Governance Committee of the Board of Trustees/Directors (“Nominating and Governance Committee” or the “Committee”) is comprised of five independent Trustees/Directors namely Messrs. Brock, Gaspari, Irvin, Neuhauser (Committee Chairman) and Ms. Usifer.
2022-06-30	Thomas W. Brock Year of Birth: 1947 Trustee since 2005; Chairman since 2015; Director since 2005; Chairman since 2015; Chief Executive Officer, Silver Bay Realty (2016-2017); Acting Chief Executive Officer, Silver Bay Realty (2016), Director, Silver Bay Realty (2012-2017) Aggregate Compensation from the Equity Fund $70,471, from the Growth Fund $28,529, total $99,000. Member of Audit Committee and Nominating and Governance Committee.
2023-06-20	Thomas W. Brock Year of Birth: 1947 Trustee since 2005; Chairman since 2015; Term expires 2023 Director since 2005; Chairman since 2015; Term expires 2024 Chief Executive Officer, Silver Bay Realty (2016-2017); Acting Chief Executive Officer, Silver Bay Realty (2016), Director, Silver Bay Realty (2012-2017) Trustee, Equitable AXA Annuity Trust (since 2016), and 1290 Funds (since 2016) The Funds have separately designated Audit Committees. Messrs. Brock, Burke, Irvin, Neuhauser, and Ms. Usifer (Committee Chairman) are members of the Audit Committee of each Fund. Each Fund’s Nominating and Governance Committee of the Board of Trustees/Directors is comprised of five independent Trustees/Directors namely Messrs. Brock, Burke, Irvin, Neuhauser (Committee Chairman), and Ms. Usifer.
2024-06-27	Thomas W. Brock Year of Birth: 1947 Trustee since 2005; Chairman since 2015; Term expires 2026 (Equity Fund) and Director since 2005; Chairman since 2015; Term expires 2024 (Growth Fund). Chairman of each Board. Members of Audit Committee and Nominating and Governance Committee. Aggregate compensation from Equity Fund $71,989, Growth Fund $27,011, Total $99,000.