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Joseph Joseph A. Sullivan, Joe, is the Chief Executive Officer, President, and Director at Legg Mason Inc. since February 13, 2013. Previously, he served as the Interim Chief Executive Officer from October 1, 2012 to February 13, 2013, Head of Global Distribution since December 2010 at the firm. Joseph Sullivan joined the firm as the Chief Administrative Officer in 2008 and was responsible for Legg Mason's all operational functions, including technology, risk management, human resources, and legal and compliance. He served as a Senior Vice President of Stifel Financial Corp. from December 1, 2005 to September 2008. He served as an Executive Vice President of Stifel Nicolaus & Co., Inc., a subsidiary of Stifel Financial Corp. since December 1, 2005 and Director of its Fixed Income Capital Markets from December 1, 2005 to September 2008. He was responsible for municipal and taxable fixed income banking, research, and institutional sales and trading. He managed Legg Mason Wood Walker's fixed income capital markets operations and was responsible for the oversight of the taxable and municipal fixed income banking, trading, institutional sales, and research departments of Legg Mason Wood Walker. He served in senior roles at Dain Bosworth and Piper Jaffrey. Joseph Sullivan has been very active within the financial services industry. He has been a Director of Legg Mason Inc. since February 13, 2013. He served as a Director of Stifel Financial Corp. and Stifel, Nicolaus & Co., Inc. since December 1, 2005. Joseph Sullivan serves on the board of Associated Catholic Charities of Maryland, St. Ignatius Loyola Academy, and Loyola Blakefield High School. Joseph Sullivan is also an active Board Member within education and social services. He serves as Trustee of the Securities Industry Institute.

Tom Finke is Chairman and Chief Executive Officer of Babson Capital Management, a position he has held since 2008. Mr. Finke has guided the growth of Babson into a global investment management firm with over $200 billion in assets under management and locations in U.S., Europe, Australia and Asia. In addition to his Babson duties, Mr. Finke is Chairman of Cornerstone Real Estate Advisers, LLC and Director of Wood Creek Capital Management, LLC; both are wholly owned subsidiaries of Babson Capital Management LLC. Between December 2008 and May 2011, Mr. Finke also served as Executive Vice President and Chief Investment Officer for the Massachusetts Mutual Life Insurance Company, relinquishing these duties to focus on the expanding Babson enterprise. Mr. Finke’s 28-year financial career has included roles in both the banking and investment industries. He joined Babson in June 2002 when the firm acquired First Union Institutional Debt Management, a $3.6 billion high yield loan manager he co-founded in 1998, from Wachovia Corporation. Mr. Finke’s career prior to IDM included positions in High Yield and Loan Syndications at First Union Capital Markets, Bear Stearns and Company and Mellon Bank. Mr. Finke has been an active advocate for the leveraged loan and securitized markets. He was a founding member of the Board of Directors for the Loan Syndication & Trading Association (“LSTA”), and also for the Structured Finance Industry Group (“SFIG”). Mr. Finke received an M.B.A. from Duke University's Fuqua School of Business and holds a bachelor's degree from the University of Virginia's McIntire School of Commerce.