X0405 TA-1/A 0001170078 XXXXXXXX 084-06024 true LIVE SEC JANUS HENDERSON SERVICES US LLC JANUS SERVICES LLC 265660 151 Detroit Street Denver CO 80206 N 3033333863 N N Y SS&C GIDS, Inc. 084-00448 430 W 7th Street Suite #219109 Kansas City MO 64105-1407 N Other David Kelley 04/01/2019 Global Head Transfer Agency & President No beneficial ownership Brennan Hughes 04/01/2019 Chief Accounting Officer & Treasurer No beneficial ownership 04/12/2024 Michelle Rosenberg 07/01/2018 General Counsel & Secretary No beneficial ownership Stephanie Grauerholz 01/28/2019 Head of Legal, North America No beneficial ownership Kristin Mariani 07/01/2020 Head of Compliance, North America No beneficial ownership Peter Falconer 11/18/2019 Assistant Secretary No beneficial ownership Karlene Lacy 04/01/2019 Head of Global Tax No beneficial ownership Jesper Nergaard 04/01/2019 Head of US Fund Administration No beneficial ownership Janus Henderson Investors US LLC (JHIUS) 04/01/2002 Owner/managing member of JHSUS LLC Owner/managing member of JHSUS LLC Berg Crawford 05/28/2024 Chief Accounting Officer No beneficial ownership Steven Saba 06/01/2024 Director, Corporate Accounting No beneficial ownership Janus Henderson Management US Corporation 04/01/2002 Member of JHIUS LLC Owner/member of JHIUS LLC Janus Henderson US (Holdings) Inc. 04/01/2002 Managing Member of JHIUS LLC Owner/Managing Member of JHIUS LLC Janus Henderson Group Ltd. 05/30/2017 Sole shareholder of JHUSH Inc. Sole shareholder of JHUSH Inc. Jupiter Company Limited 06/30/2026 Sole shareholder of JHG Ltd. Sole shareholder of JHG Ltd. Jupiter Acquisition Limited 06/30/2026 Sole shareholder Jupiter Company Limited Sole shareholder Jupiter Company Limited Jupiter Topco LLC 06/30/2026 Sole Shareholder of Jupiter Acquisition Sole Shareholder of Jupiter Acquisition Limited Liability Company N N N N N N N Y Janus Henderson Investors US LLC Order Instituting Administrative and Cease-And-Desist Proceedings 09/09/2022 SEC Enforcement Division, Asset Management Unit, Washington, DC On September 9, 2022, Janus Henderson Investors US LLC (JHIUS) was the subject of an order from the U.S. Securities and Exchange Commission. For purposes of the order, JHIUS without admitting or denying the findings was found to have violated Section 206(4) of the Advisers Act and Rule 206(4)-2 thereunder (the Custody Rule) by failing to timely deliver audited financials to approximately 10% of the Janus Henderson European Best Ideas Fund LLC (EBI Fund) investors in 2018, 2019, and 2020. In consequence, JHIUS was censured, ordered to cease and desist and directed to pay a $150,000 civil money penalty. Upon becoming aware of the events giving rise to this order, JHIUS distributed the audited financial statements for fiscal years 2018, 2019 and 2020 to the EBI Fund investors that had not received them. In addition, JHIUS confirmed that delivery has otherwise occurred since that time and implemented additional oversight to prevent any future delays in the distribution of audited financial statements. JHIUS was censured, ordered to cease and desist and directed to pay a $150,000 civil money penalty. N N N N N N N N N N N N Y Janus Henderson Group plc In regard to Janus Henderson Group plc Administrative Fine 04/06/2023 Dutch Authority for the Financial Markets ("AFM") Janus Henderson Group plc made a late disclosure filing of its aggregate holdings (held on behalf of its clients) in Renewi plc (an issuer that is listed in the Netherlands) after its shareholding crossed the 3% disclosure threshold. On April 6, 2023, the AFM imposed an administrative fine of 1.7m euros on Janus Henderson Group plc for failure to report its aggregate shareholding (that was aggregated from holdings across the firm) held on behalf of its clients in Renewi plc without delay following Renewi plc's change of home member state from the UK to the Netherlands in 2021. Henderson Investment Funds Ltd. In regard to Henderson Investment Funds Ltd. Administrative Fine 11/18/2019 UK Financial Conduct Authority (FCA) Retail investors overcharged fees when active management of 2 funds was reduced from period 2011-2016. Breach of FCA principles 3) requiring reasonable care to organize and control its affairs with adequate risk mgmt systems; and 6) Pay due regard to interest of customers and treat them fairly. Period occurred prior to affiliation with transfer agent. Settled for $1,867,900. In agreeing to resolve matter, HIFL qualified for a 30% discount of financial penalty. N N N David Kelley 3033005464 President 07/22/2026