10/25/2024 | Press release | Distributed by Public on 10/25/2024 10:18
Dollar Range of Equity Securities in the Portfolios
|
Aggregate Dollar Range of
Equity Securities in All
Portfolios Overseen by
Director in Family of
Investment Companies
|
||
Name of Portfolio
|
Dollar Range
|
||
Independent Director
|
|||
Christy L. Brown
|
N/A
|
A
|
A
|
William J. Gerber
|
N/A
|
A
|
A
|
Gail L. Hanson
|
N/A
|
A
|
A
|
David Ribbens
|
N/A
|
A
|
A
|
Donald M. Ullmann
|
N/A
|
A
|
A
|
Elizabeth A. Levy-Navarro
|
N/A
|
A
|
A
|
Interested Director
|
|||
Rosanne L. Kropp
|
N/A
|
A
|
A
|
Name, Address, and
Year of Birth
|
Position(s)
Held with
Fund
|
Term of
Office and
Length of
Time
Served
|
Principal Occupation(s)
During Past 5 Years
|
Number of
Portfolios in
Fund
Complex
Overseen by
Director
|
Other
Directorships
Held by
Director
|
Interested Director
|
|||||
Rosanne L. Kropp*
c/o Northwestern
Mutual Series Fund,
Inc.
Attn: Secretary
720 East Wisconsin
Ave.
Milwaukee, WI 53202
1963
*Effective as of
February 1, 2024
|
Chair of the
Board
|
2024
|
Since January 2022, Vice
President and Head of Public
Investments, The Northwestern
Mutual Life Insurance Company
("NM"). From November 2019
to December 2021, Vice
President and Head of
Investment Strategy Department
at NM. From April 2016 to
October 2019, Managing
Director, Head of Investment
Strategy at Allianz Investment
Management.
|
27
|
Director of
Wilshire
Mutual
Funds Inc.
(8
portfolios)
(2019 to
present).
|
Independent Directors
|
Name, Address, and
Year of Birth
|
Position(s)
Held with
Fund
|
Term of
Office and
Length of
Time
Served
|
Principal Occupation(s)
During Past 5 Years
|
Number of
Portfolios in
Fund
Complex
Overseen by
Director
|
Other
Directorships
Held by
Director
|
Christy L. Brown
c/o Northwestern
Mutual Series Fund,
Inc.
Attn: Secretary
720 East Wisconsin
Ave.
Milwaukee, WI 53202
1965
|
Director
|
2012
|
Since July 2023, President of
Alverno College (Milwaukee,
Wisconsin). From 2012 to 2023,
Chief Executive Officer, Girl
Scouts of Wisconsin Southeast.
From 2007 to 2012, Vice
Chancellor, Finance and
Administrative Affairs,
University of Wisconsin,
Milwaukee.
|
27
|
None
|
William J. Gerber
c/o Northwestern
Mutual Series Fund,
Inc.
Attn: Secretary
720 East Wisconsin
Ave.
Milwaukee, WI 53202
1958
|
Director
|
2017
|
Retired. From 2006 to 2015,
Chief Financial Officer, and
from 2007 to 2015, Executive
Vice President, of TD
Ameritrade Holdings
Corporation.
|
27
|
None
|
Gail L. Hanson
c/o Northwestern
Mutual Series Fund,
Inc.
Attn: Secretary
720 East Wisconsin
Ave.
Milwaukee, WI 53202
1955
|
Director
|
2012
|
Retired. From February 2011 to
April 2018, Chief Financial
Officer, Aurora Health Care.
Prior thereto, Deputy Executive
Director, State of Wisconsin
Investment Board.
|
27
|
Director of
Artisan
Partner
Funds (21
portfolios)
|
Elizabeth A. Levy-
Navarro*
c/o Northwestern
Mutual Series Fund,
Inc.
Attn: Secretary
720 East Wisconsin
Ave.
Milwaukee, WI 53202
1963
*Effective as of
July 1, 2024
|
Director
|
2024
|
Since 2018, Corporate Advisor
of Summit Strategy Advisors.
From 2002 to 2017, Co-founder,
CEO and Value Creation Expert
of Orrington Strategies, a
management consulting firm.
|
27
|
Director of
Wilshire
Mutual
Funds Inc.
(8
portfolios).
|
Name, Address, and
Year of Birth
|
Position(s)
Held with
Fund
|
Term of
Office and
Length of
Time
Served
|
Principal Occupation(s)
During Past 5 Years
|
Number of
Portfolios in
Fund
Complex
Overseen by
Director
|
Other
Directorships
Held by
Director
|
David Ribbens
c/o Northwestern
Mutual Series Fund,
Inc.
Attn: Secretary
720 East Wisconsin
Ave.
Milwaukee, WI 53202
1961
|
Director
|
2017
|
Since March of 2018, Member
and Partner of DOMO Capital
Management, LLC, a Wisconsin
registered investment adviser.
Founder and President of
Distribution Team Alpha LLC,
founded in 2016. From 2015 to
2016, President, Managing
Partner, and Director of
Heartland Advisors, Inc. From
2008 to 2015, Executive Vice
President and Head of
Distribution, Managing Partner,
and Director of Heartland
Advisors, Inc.
|
27
|
None
|
Donald M. Ullmann
c/o Northwestern
Mutual Series Fund,
Inc.
Attn: Secretary
720 East Wisconsin
Ave.
Milwaukee, WI 53202
1957
|
Director
|
2017
|
Since 2015, Principal of DMU
Financial Consulting, LLC.
From 2013 to 2015, Managing
Director, Head of Product
Development, Fixed Income at
Guggenheim Securities. From
2012 to 2013, Executive
Managing Director, Co- head,
MBS and Rates Division at
Gleacher & Co. From 2009 to
2011, Executive Vice President,
Head of Fixed Income Trading
and Co-Head of Fixed Income
Sales at Keefe, Bruyette and
Woods, Inc.
|
27
|
None
|
Officers
|
|||||
Paul A. Mikelson 720
East Wisconsin Ave.
Milwaukee, WI 53202
1970
|
President
|
2022
|
Since January 2022, Vice
President - Product and
Administration of Mason Street
Advisors. From 2013 -
December 31, 2021, Vice
President, Multi-Manager
Investment Solutions at
Columbia Threadneedle
Investments, an Ameriprise
Financial affiliate.
|
N/A
|
N/A
|
Name, Address, and
Year of Birth
|
Position(s)
Held with
Fund
|
Term of
Office and
Length of
Time
Served
|
Principal Occupation(s)
During Past 5 Years
|
Number of
Portfolios in
Fund
Complex
Overseen by
Director
|
Other
Directorships
Held by
Director
|
Phil J. Rinzel*
720 East Wisconsin
Ave.
Milwaukee, WI 53202
1979
*Effective as of
September 1, 2024
|
Vice
President,
Chief
Financial
Officer and
Treasurer
|
2024
|
Since 2024, Vice President -
Investment Accounting of
Northwestern Mutual. From
2016 - August 31, 2024, Senior
Director - Investment
Accounting.
|
N/A
|
N/A
|
Brent G. Schutte
720 East Wisconsin
Ave.
Milwaukee, WI 53202
1973
|
Vice
President -
Investments
|
2022
|
Since 2015, Chief Investment
Officer of Northwestern Mutual
Wealth Management Company.
Since December 2021, Chief
Information Officer of
MasonStreet Advisors. Since
March 2022, Director of Mason
Street Advisors.
|
N/A
|
N/A
|
Garrett D. Aird
720 East Wisconsin
Ave.
Milwaukee, WI 53202
1978
|
Vice
President -
Investments
|
2022
|
Since November 2021, Vice
President -Investment
Management & Research of
Northwestern Mutual Wealth
Management Company
(NMWMC). Since December
2021, Vice President -
Investments of Mason Street
Advisors. From 2017 to
November 2021, Senior Director
- Research at NMWMC. Prior
thereto, Assistant Director -
Investments at NMWMC.
|
N/A
|
N/A
|
James E. Fleming
720 East Wisconsin
Ave.
Milwaukee, WI 53202
1975
|
Vice
President -
Investments
|
2020
|
Since 2015, Vice President of
Mason Street Advisors.
|
N/A
|
N/A
|
Rodney A. Schmucker
720 East Wisconsin
Ave.
Milwaukee, WI 53202
1966
|
Vice
President -
Investments
|
2020
|
Since 2015, Vice President of
Mason Street Advisors.
|
N/A
|
N/A
|
Name, Address, and
Year of Birth
|
Position(s)
Held with
Fund
|
Term of
Office and
Length of
Time
Served
|
Principal Occupation(s)
During Past 5 Years
|
Number of
Portfolios in
Fund
Complex
Overseen by
Director
|
Other
Directorships
Held by
Director
|
Michael J. Conmey
720 East Wisconsin
Ave.
Milwaukee, WI 53202
1980
|
Chief
Compliance
Officer
|
2020
|
Vice President - Managed
Investments Compliance of
Northwestern Mutual and Chief
Compliance Officer of Mason
Street Advisors and
Northwestern Mutual
Investment
ManagementCompany since
June 2020. Assistant General
Counsel and Assistant Secretary
of Northwestern Mutual from
2011 to 2020.
|
N/A
|
N/A
|
David B. Kennedy
720 East Wisconsin
Ave.
Milwaukee, WI 53202
1959
|
Secretary
|
2023
|
Assistant General Counsel and
Assistant Secretary of
Northwestern Mutual since
2016. Secretary of Mason Street
Advisors since 2020.
|
N/A
|
N/A
|
Linda L. Wisniewski*
720 E. Wisconsin Ave.
Milwaukee, WI 53202
1974
*Effective as of
September 1, 2024
|
Controller
and Chief
Accounting
Officer
|
2024
|
Since 2024, Senior Director -
Investment Accounting of
Northwestern Mutual. Since
2021, Head of Fund
Administration. From 2011 to
2021, Assistant Director -
Mutual Fund Administration.
|
N/A
|
N/A
|
Portfolio Manager(s)
|
Fund
|
Other
Registered
Investment
Companies
|
Other Pooled
Investment
Vehicles
|
Other Accounts
|
Felise L. Agranoff
|
Mid Cap Growth
Stock Portfolio
|
18 registered
investment
companies with
$44.7 billion in
total assets under
management.
|
7 other pooled
investment
vehicles with
$14.2 billion in
total assets under
management.
|
42 other accounts
with $4.8 billion
in total assets
under
management. 1
other account
with $100
million in total
assets which
charges an
advisory fee
based on the
performance of
the account.
|
Daniel Bloomgarden
|
Mid Cap Growth
Stock Portfolio
|
7 registered
investment
companies with
$20.4 billion in
total assets under
management.
|
1 other pooled
investment
vehicles with
$100 million in
total assets under
management.
|
4 other accounts
with $700
million in total
assets
undermanagement.
|
Large Cap Blend Portfolio
Mid Cap Growth Stock
(sub-advised by J.P. Morgan Investment Management,
Inc.)
|
•Institutional Shareholder Services, Inc., as proxy
service provider
•Bloomberg, in connection with market data, financial
information ownership data and corporate ESG
Disclosure
•Factset, in connection with market data, financial
information ownership data and corporate ESG
disclosure
•CTM, in connection with electronic trade confirmation
•GES International (Sustainalytics), in connection with
proxy voting research, recommendations and voting
management
•Glass Lewis & C, in connection with proxy voting
research, recommendations and voting management
•IDC ICE, in connection with corporate action
processing
•FIX XSP, in connection with corporate action
processing
•Financial Recovery Technology, in connection with the
collection and filing of class action litigation claims
|
Portfolio Manager(s)
|
Fund
|
Other
Registered
Investment
Companies
|
Other Pooled
Investment
Vehicles
|
Other Accounts
|
Lucy Johnston
|
Index 400 Stock
Portfolio
Index 600 Stock
Portfolio
|
2 registered
investment
companies with
approximately
$4.53 billion in
total assets under
management
|
10 other pooled
investment
vehicles with
approximately
$91.42 billion in
total assets under
management
|
17 other accounts
with
approximately
$9.72 billion in
total assets under
management
|
Keith Carroll
|
Index 600 Stock
Portfolio
Index 400 Stock
Portfolio
|
1 registered
investment
company with
approximately
$580.3 million in
total assets under
management
|
11 other pooled
investment
vehicles with
approximately
$20 billion in
total assets under
management
|
17 other accounts
with
approximately
$16.3 billion in
total assets under
management
|
Portfolio Manager(s)
|
Fund
|
Other
Registered
Investment
Companies
|
Other Pooled
Investment
Vehicles
|
Other Accounts
|
Stephen Bartolini
|
Inflation
Protection
Portfolio
|
5 registered
investment
companies with
approximately
$8.8 billion in
total assets under
management
|
No other pooled
investment
vehicles
|
No other
accounts
|