| Aron Patrick Healy | Neuberger Berman Bd LLC no RAUM | Northern Trust Investments, Incorporated asset manager | Other | Jul 10, 2026 | Jul 14, 2026 |
| Romonie Permaul | Neuberger Berman Bd LLC no RAUM | Citigroup Global Markets Inc. BD affiliated | Other | Jun 17, 2026 | Jun 16, 2026 |
| Victoria Amber Lieb | Neuberger Berman Bd LLC no RAUM | UBS Financial Services Inc. wirehouse | Other | May 26, 2026 | Jun 8, 2026 |
| Carlos Miguel Batista Gutierrez | Neuberger Berman Bd LLC no RAUM | Valley Wealth Managers, Inc. independent RIA | Other | May 26, 2026 | Jun 11, 2026 |
| Melissa Shaw-Patino | Neuberger Berman Bd LLC no RAUM | Arete Wealth Advisors, LLC BD affiliated | Other | May 21, 2026 | Jun 18, 2026 |
| Kodiak M Simpson | Neuberger Berman Bd LLC no RAUM | Stifel, Nicolaus & Company, Incorporated national BD | Other | May 8, 2026 | Sep 1, 2026 (116 d) |
| Jack Robert Curcio | Neuberger Berman Bd LLC no RAUM | Iconiq Capital, LLC asset manager | Other | Mar 27, 2026 | Jul 7, 2026 (102 d) |
| Keith Thomas Brennan | Neuberger Berman Bd LLC no RAUM | Capital Group Private Client Services, Inc. independent RIA | Other | Mar 20, 2026 | Mar 25, 2026 |
| Tushar Dabral | Neuberger Berman Bd LLC no RAUM | Iconiq Capital, LLC asset manager | Other | Mar 12, 2026 | Aug 5, 2026 (146 d) |
| Meghan Elizabeth Gibney | Neuberger Berman Bd LLC no RAUM | Janney Montgomery Scott LLC BD affiliated | Other | Feb 20, 2026 | Mar 12, 2026 |
| John Fulton Jr | Neuberger Berman Bd LLC no RAUM | Wells Fargo Advisors wirehouse | Other | Feb 4, 2026 | Feb 19, 2026 |
| Ethan James Santikul | Neuberger Berman Bd LLC no RAUM | RBC Capital Markets, LLC national BD | Other | Jan 14, 2026 | Feb 2, 2026 |
| Steven Christopher Ruta | Neuberger Berman Bd LLC no RAUM | First Trust Advisors LP asset manager | Other | Jan 2, 2026 | Mar 16, 2026 (73 d) |
| Jennifer Parks | Neuberger Berman Bd LLC no RAUM | J.P. Morgan Securities LLC wirehouse | Other | Dec 19, 2025 | Jan 12, 2026 |
| Zack James Tracy | Neuberger Berman Bd LLC no RAUM | J.P. Morgan Securities LLC wirehouse | Other | Dec 5, 2025 | Feb 3, 2026 (60 d) |
| Andrew D Schumont | Neuberger Berman Bd LLC no RAUM | Mai Capital Management, LLC independent RIA | Other | Nov 24, 2025 | Dec 3, 2025 |
| Stephen Paul Polizzi | Neuberger Berman Bd LLC no RAUM | Creative Planning independent RIA | Other | Nov 7, 2025 | Nov 6, 2025 |
| Andrew Paul Gaebel | Neuberger Berman Bd LLC no RAUM | Potomac asset manager | Other | Nov 7, 2025 | Apr 1, 2026 (145 d) |
| Renee Smyth Lennon | Neuberger Berman Bd LLC no RAUM | Mutual Advisors, LLC BD affiliated | Other | Oct 3, 2025 | Oct 6, 2025 |
| Amelia Catherine Hein | Neuberger Berman Bd LLC no RAUM | Grayscale Advisors asset manager | Other | Oct 3, 2025 | Oct 17, 2025 |
| Andrew Berman | Neuberger Berman Bd LLC no RAUM | Bny Mellon Securities Corporation other | Other | Sep 19, 2025 | Oct 1, 2025 |
| Maximillian Breier | Neuberger Berman Bd LLC no RAUM | Charles Schwab Investment Management, Inc other | Other | Sep 12, 2025 | Sep 23, 2025 |
| Maximilian S Hamburger | Neuberger Berman Bd LLC no RAUM | Fisher Investments independent RIA | Other | Sep 12, 2025 | Sep 15, 2025 |
| Christopher Scott Mueller | Neuberger Berman Bd LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Sep 3, 2025 | Oct 9, 2025 (36 d) |
| Azim Ahmed | Neuberger Berman Bd LLC no RAUM | Rockefeller Capital Management BD affiliated | Other | Sep 3, 2025 | Sep 15, 2025 |
| Zachary John Bereznak | Neuberger Berman Bd LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jun 10, 2025 | Jul 10, 2025 |
| Erin Catherine Noel | Neuberger Berman Bd LLC no RAUM | Tcw Investment Management Company LLC asset manager | Other | May 29, 2025 | Jun 20, 2025 |
| Adon S Vanwoerden | Neuberger Berman Bd LLC no RAUM | Private Advisor Group, LLC BD affiliated | Other | May 7, 2025 | May 5, 2025 |
| Cynthia Lee | Neuberger Berman Bd LLC no RAUM | Invesco Advisers, Inc. asset manager | Other | Apr 8, 2025 | Jun 7, 2025 (60 d) |
| Jacob Arthur Gayle | Neuberger Berman Bd LLC no RAUM | Toews Asset Management asset manager | Other | Apr 8, 2025 | Jan 5, 2026 (272 d) |
| Matthew Gerard Laquidara | Neuberger Berman Bd LLC no RAUM | Lazard Asset Management LLC other | Other | Apr 8, 2025 | Jun 7, 2025 (60 d) |
| Ruddens Edouard Jeanty | Neuberger Berman Bd LLC no RAUM | Stifel, Nicolaus & Company, Incorporated national BD | Other | Apr 8, 2025 | Oct 21, 2025 (196 d) |
| Noah Ross Shulman | Neuberger Berman Bd LLC no RAUM | Advisors Asset Management, Inc. mixed wealth | Other | Mar 26, 2025 | Jun 15, 2026 (446 d) |
| Gregory Thomas Mullaney | Neuberger Berman Bd LLC no RAUM | Tcw Investment Management Company LLC asset manager | Other | Mar 18, 2025 | May 2, 2025 (45 d) |
| Timothy Cristian Schmidt | Neuberger Berman Bd LLC no RAUM | Goldman Sachs Wealth Services, L.P. BD affiliated | Other | Feb 25, 2025 | Mar 3, 2025 |
| Colleen M Lentz | Neuberger Berman Bd LLC no RAUM | Natixis Advisors, LLC BD affiliated | Other | Feb 11, 2025 | Jun 16, 2025 (125 d) |
| Daniel R Cohn | Neuberger Berman Bd LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Feb 4, 2025 | Apr 3, 2025 (58 d) |
| Robert James Ciapciak | Neuberger Berman Bd LLC no RAUM | Advisors Asset Management, Inc. mixed wealth | Other | Jan 22, 2025 | Sep 23, 2025 (244 d) |
| Grace Upshaw | Neuberger Berman Bd LLC no RAUM | Rockefeller Capital Management BD affiliated | Other | Jan 14, 2025 | Feb 9, 2026 (391 d) |
| Michael James Fenner | Neuberger Berman Bd LLC no RAUM | Ieq Capital, LLC independent RIA | Other | Nov 20, 2024 | Feb 25, 2025 (97 d) |
| Samuel Joseph Kiesewetter | Neuberger Berman Bd LLC no RAUM | Northwestern Mutual Investment Services,LLC no RAUM | Other | Nov 20, 2024 | May 23, 2025 (184 d) |
| Allison Joan Saloy | Neuberger Berman Bd LLC no RAUM | Tcw Investment Management Company LLC asset manager | Other | Nov 6, 2024 | Dec 24, 2024 (48 d) |
| Michael Mayne | Neuberger Berman Bd LLC no RAUM | Schwab Wealth Advisory, Inc. no RAUM | Other | Oct 29, 2024 | Jan 8, 2025 (71 d) |
| Meaghan Esther Anderson | Neuberger Berman Bd LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Oct 9, 2024 | Oct 10, 2024 |
| Samandar Kasimov | Neuberger Berman Bd LLC no RAUM | Frisch Financial Group, Inc. independent RIA | Other | Oct 1, 2024 | Nov 17, 2024 (47 d) |
| Brandt Baldwin | Neuberger Berman Bd LLC no RAUM | Kestra Advisory Services, LLC BD affiliated | Other | Sep 17, 2024 | Sep 16, 2025 (364 d) |
| Kiran Daniel Incantalupo | Neuberger Berman Bd LLC no RAUM | New York Life Investment Management LLC asset manager | Other | Sep 12, 2024 | Oct 2, 2024 |
| Daniel A Ortiz | Neuberger Berman Bd LLC no RAUM | T. Rowe Price Associates, Inc. asset manager | Other | Sep 5, 2024 | Sep 24, 2024 |
| Patrick Gerard Schultz | Neuberger Berman Bd LLC no RAUM | Hobart Wealth independent RIA | Other | Aug 15, 2024 | Sep 5, 2024 |
| Annamalai Ramaswamy | Neuberger Berman Bd LLC no RAUM | Rose Capital Advisors, LLC independent RIA | Other | Aug 7, 2024 | Feb 11, 2026 (553 d) |
| Stefanie Schechter | Neuberger Berman Bd LLC no RAUM | UBS Financial Services Inc. wirehouse | Other | Jul 25, 2024 | Jul 22, 2024 |
| Andrew Ielmini | Neuberger Berman Bd LLC no RAUM | Lido independent RIA | Other | Jul 2, 2024 | Jul 15, 2024 |
| Michael Warren Constantine | Neuberger Berman Bd LLC no RAUM | Park Avenue Securities LLC BD affiliated | Other | Jun 18, 2024 | Sep 18, 2025 (457 d) |
| Bob Austrian | Neuberger Berman Bd LLC no RAUM | J.P. Morgan Securities LLC wirehouse | Other | Apr 16, 2024 | Apr 30, 2024 |
| Joseph R Leblanc | Neuberger Berman Bd LLC no RAUM | Raymond James & Associates, Inc. national BD | Other | Apr 2, 2024 | Mar 12, 2025 (344 d) |
| Tanya Slipsager | Neuberger Berman Bd LLC no RAUM | Alliancebernstein L.P. asset manager | Other | Feb 6, 2024 | Mar 1, 2024 |
| Patrick Ru | Neuberger Berman Bd LLC no RAUM | J.P. Morgan Securities LLC wirehouse | Other | Sep 13, 2023 | Mar 12, 2024 (181 d) |
| Lee Calarco | Neuberger Berman Bd LLC no RAUM | LPL Financial LLC BD affiliated | Other | Sep 13, 2023 | Sep 26, 2023 |
| Angela Yuan-Yuan Hou | Neuberger Berman Bd LLC no RAUM | Nuveen Asset Management, LLC other | Other | Jul 14, 2023 | Jul 31, 2023 |
| Sean Joseph Jules | Neuberger Berman Bd LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jun 9, 2023 | Jul 3, 2024 (390 d) |