th ANNUAL Closed-End Funds and Global ETFs 2014 CAPITAL LINK FORUM
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1 13 th ANNUAL Closed-End Funds and Global ETFs 2014 CAPITAL LINK FORUM Closed-End Fund & ETP / ETF Awards New York, NY, April 30, The Annual Closed-End Fund & ETF Awards took place on Thursday, April 24, 2014 at the Metropolitan Club in New York City during the luncheon of Capital Link s 13 th Annual Closed-End Funds & ETFs Forum, which for another year drew more than 1,000+ delegates. The Awards are an initiative of Capital Link s - a leading New York-based investor relations and financial communications firm that maintains a strategic focus on Closed-End Funds (CEF) and ETFs. The Awards are organized into two categories. The first category is the Closed-End Funds and the ETP/ETF Awards, aimed to identify and recognize those fund sponsors and executives who consistently apply high standards of financial disclosure, investor and shareholder relations and product innovation. The Awards are based on nominations by a committee of analysts and industry specialists who actively follow CEFs and ETPs/ETFs. There are separate Nominating Committees for CEFs and ETPs/ETFs. The second category of Awards is the CEF & ETP/ETF Analyst Awards aimed to recognize the individual analysts who contribute the most to the development of the CEF and ETP/ETF sectors with their research work. The Awards are based on nominations by a committee of industry participants from CEFs and ETFs. There are separate Nominating Committees for CEFs and ETPs/ETFs. Capital Link is not part of any Nominating Committee. The Most Innovative Closed- End Fund in 2013 went to DoubleLine Income Solutions Fund (DSL). The award was accepted by Patrick Townzen, Director of Operations at DoubleLine Capital. For the fourth consecutive year in a row, Aberdeen Asset Management took home the 2013 Best Shareholder Relations by a Non US Closed-Fund Family Award. Rennie McConnochie, Senior Business Development Manager at Aberdeen Asset Management accepted the award on behalf of the company. For the second year in a row, collected three awards in recognition of their achievements in the Closed- End Fund space: 2013 Best Shareholder Relations by a US Equity Fund Family, 2013 Best Shareholder Relations by a Fixed Income Fund Family, as well as 2013 Best Investor Relations CEF Website. The awards were accepted by Dave Lamb, Vice President at Nuveen Investments. 1
2 Recognized for his continuous contribution to the Closed-End Fund sector, Jeffrey Margolin, Senior Vice President & Closed-End Fund Analyst at First Trust Advisors for a fourth year in a row received the 2013 For Contribution to the Closed- End Fund Sector Award. The Most Innovative Exchange Traded Product in 2013 went to db X- trackers Harvest China ETF (ASHR). Steve Darby, Director, ETF Investment Specialist at Deutsche Asset & Wealth Management accepted the award. ishares/blackrock walked away with three awards for the second year in a row: 2013 Best Shareholder Relations, 2013 Best Investor Relations Website, and 2013 Most Innovative Index/Index Based ETP - ishares MSCI USA Quality Factor (QUAL). Orít Hodarkovsky, Director, ishares Institutional Business Development at BlackRock accepted all three awards. Recognized for his valuable commitment to the ETF sector, Ed McRedmond, Senior Vice President of Institutional & Portfolio Strategies at Invesco PowerShares once again took home the Award For Contribution to the ETF Sector in The Best Research Analyst for Closed-End Funds in 2013 was awarded to Alexander Reiss, Director, Closed-End Fund Research at Stifel Nicolaus. Michael Jabara, Executive Director, Head of Exchange- Traded Fund and Close-End Fund Research was awarded the Best Research Analyst For Exchange Traded Products In 2013 award. Closed-End Fund & ETP / ETF Awards 2
3 SAVE THE DATE! The 14 th Annual Closed-End Funds & Global ETFs Forum will take place on Thursday, April 23, 2015, in New York City. MOST INNOVATIVE CLOSED-END FUND IN 2013 To the Fund Sponsor who came up with the most innovative product in 2013 DoubleLine Income Solutions Fund (DSL) A NON- US CEF FUND FAMILY IN 2013 shareholder communications. Aberdeen Asset Management 3
4 A US EQUITY FUND FAMILY IN 2013 shareholder communications. A FIXED INCOME FUND FAMILY IN 2013 shareholder communications. BEST INVESTOR RELATIONS CLOSED-END FUND WEBSITE IN 2013 To the Fund Sponsor who maintains the most informative and user friendly financial website. FOR CONTRIBUTION TO THE CLOSED-END FUND SECTOR IN 2013 Awarded to an individual for his/her contribution to the Closed-End Fund sector in 2013 Jeffrey Margolin, Senior Vice President & Closed-End Fund Analyst - First Trust Advisors MOST INNOVATIVE EXCHANGE TRADED PRODUCT IN 2013To the Fund To the Fund Sponsor who came up with the most innovative product in 2013 db X-trackers Harvest China ETF (ASHR) 4
5 AN ETP SPONSOR IN 2013 shareholder communications ishares / BlackRock BEST INVESTOR RELATIONS ETP/ETF WEBSITE IN 2013 To the Fund Sponsor who maintains the most informative and user friendly financial website. ishares / BlackRock MOST INNOVATIVE INDEX ETP IN 2013 To the Fund Sponsor who came up with the most innovative index based ETP in 2013 ishares MSCI USA Quality Factor (QUAL) FOR CONTRIBUTION TO THE ETF SECTOR IN 2013 Awarded to an individual for his/her contribution to the ETF sector in 2013 Ed McRedmond, Senior Vice President, Institutional & Portfolio Strategies - Invesco PowerShares BEST RESEARCH ANALYST FOR CEFs IN 2013 Awarded to the Analyst / Team that had the best research coverage & contribution to the CEF sector in 2013 Alexander Reiss, Director, Closed-End Fund Research - Stifel Nicolaus BEST RESEARCH ANALYST FOR ETPs IN 2013 Awarded to the Analyst / Team that had the best research coverage & contribution to the ETP / ETF sector in 2013 Closed-End Fund & ETP / ETF Awards Michael Jabara, Executive Director, Head of Exchange-Traded Fund and Closed- End Fund Research - Morgan Stanley Smith Barney 5
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