X0405 TA-1/A 0001139578 XXXXXXXX 084-05901 false LIVE SEC HARBOR SERVICES GROUP INC /TA BLADE TRANSFER INC /TA 082644 111 South Wacker Drive 34th Floor Chicago IL 60606 Y P.O.Box 804660 Chicago IL 60606-4108 312-443-4400 N N N N Corporation Harbor Capital Advisors, Inc. 04/02/2001 Sole Shareholder E true Charles F. McCain 05/23/2007 Director NA true Lora A. Kmieciak 10/01/2022 Chief Financial Officer NA true 07/31/2026 Gregg M. Boland 09/01/2019 President NA true 04/01/2025 Diana R. Podgorny 07/14/2023 Secretary NA true Walt O. Breuninger 11/01/2024 Chief Compliance Officer NA true Ryan L. Elve 04/01/2025 Senior Vice President NA true Dana D. Steiner 04/01/2025 Senior Vice President NA true Y OCE US Holding Inc. Holding company of Harbor Capital Advisors, Inc. Robeco US Holding B.V. Holding company of OCE US Holdings Inc; Indirect owner of applicant ORIX Corporation Europe N.V. Holding company of Robeco US Holding B.V.; Indirect owner of applicant ORIX Corporation Holding company of ORIX Corporation Europe N.V.; Indirect owner of applicant N N N N N N N N N N N N N N N N Y Boston Partners Securities, L.L.C. (Boston Partners) - CONTROL AFFILIATE Reporting of Transactions to the NSCC 04/16/2003 National Association of Securities Dealers (NASD) NASD fined Robeco $3,000 relating to Municipal Securities Rulemaking Board (MSRB) Rules G-12 and G-15 pertaining to the reporting of transactions to the NSCC. Boston Partners paid the fine and filed a statement of corrective action which detailed the steps taken to prevent a reoccurrence of the matter. Boston Partners Securities, L.L.C. (Boston Partners) - CONTROL AFFILIATE SEC Rule 15c3-1 Violation and NYSE Rule 325 12/20/2001 New York Stock Exchange (NYSE) A former clearing division client of Boston Partners violated its clearing agreement by engaging in improper and unauthorized trading, resulting in Boston Partners violating SEC and NYSE rules Boston Partners has taken corrective action to correct the deficiency and prevent a reoccurrence of this matter. Boston Partners was censured and fined $50,000. Boston Partners Securities, L.L.C. (Boston Partners) - CONTROL AFFILIATE Failure to submit complete audit trail data 12/01/1987 New York Stock Exchange (NYSE) NYSE fined Boston Partners $1,000 for failure to submit complete audit trail data for the week of August 10, 1987, a violation of NYSE Rule 132.30. Boston Partners paid the fine and took corrective action to prevent a reoccurrence of this isolated incident. Boston Partners Securities, L.L.C. (Boston Partners) - CONTROL AFFILIATE Violation of CBOE Rule 11.1. (90.0070) 10/05/1990 Chicago Board of Options Exchange (CBOE) CBOE fined Boston Partners $500 for failing to notify the exchange of its customers' intent to exercise a total of 26 S&P 10Index option contracts. Boston Partners paid the fine without admitting or denying the alleged violation. Boston Partners Securities, L.L.C. (Boston Partners) - CONTROL AFFILIATE Violation of NASD Rule 6230 and NASD 2110 (E1020030563-01) 08/16/2005 NASD District 10 NASD alleged that Boston Partners failed to make adequate and timely reports through the NASD TRACE system. Boston Partners entered into a letter of acceptance, waiver and consent with the NASD, without admitting or denying the allegations or findings. Boston Partners was censured and fined $10,000. Boston Partners Securities, L.L.C. (Boston Partners) - CONTROL AFFILIATE Violation of NYSE Rule 401 and NYSE 342 (HPD 06-72) 07/03/2006 New York Stock Exchange (NYSE) NYSE censured and fined Boston Partners $100,000 for paying compensation as a fee for business procured by Boston Partners, overcharging certain customers and for failure to supervise. Boston Partners consented to the findings without admitting or denying the alleged violation. Boston Partners Securities, L.L.C. (Boston Partners) - CONTROL AFFILIATE Failure to Supervise (HPD 05-99) 12/29/2005 New York Stock Exchange (NYSE) Failure to supervise trading floor business, maintain floor order tickets and reserve bank account levels, obtain possession, control of securities carried for accounts, et al. Boston Partners consented to the imposition by the NYSE of the penalty of a censure and a fine of $100,000. N N Y ORIX Asset Management Corporation - CONTROL AFFILIATE Kinkan No. 1669 07/21/2006 Japanese Financial Services Agency ORIX alleged to be not in compliance with its review system for properties invested by ORIX JREIT and with regulations regarding the manner of holding meetings Business Improvement Order issued. N N N Walt O. Breuninger 617-603-6309 Chief Compliance Officer 08/26/2026