Stephanie T.

Manage governance matters for the public Board of Directors and Committees, including material coordination and distribution via Boardvantage, taking minutes, and managing presentations and flow of the meetings. Manage preparation and execution of the Annual Shareholder Meeting. Establish and liquidate global legal entities based on business needs and manage all governance requirements. Coordinate and review the filing of all Section 16 reports with the Securities and Exchange Commission. Assist with Enterprise Risk Management annual review. Support legal requirements for 10-K, 10-Q, and annual proxy filing. Monitor and action all tasks related to state business license and state qualification maintenance and filings. Manage contract repository, ensuring adherence to internal contract standards, and assisted with roll out of new contract life management (CLM) system. Assist employees with stock trading requirements and manage all pre-clearance requirements for open trading windows. Manage internal IP docket and supporting files for all patents and trademarks.

Manage governance matters for the public Board of Directors and Committees, including material coordination and distribution via Boardvantage, taking minutes, and managing presentations and flow of the meetings. Establish global legal entities based on business needs and manage all governance requirements. Coordinate and review the filing of all Section 16 reports with the Securities and Exchange Commission. Monitor and action all tasks related to state business license and state qualification maintenance and filings. Manage contract repository, ensuring adherence to internal contract standards, and assisted with roll out of new contract life management system. Educate employees on stock trading requirements and manage all pre-clearance requirements for open trading windows. Manage internal IP docket and supporting files for all patents and trademarks.

Created, reviewed, and distributed Partner equity transaction documents. Drafted and distributed Partner lifecycle activity agreements, including offer letters, departure agreements, transfer agreements, and special capacity agreements. Managed Executive Committee votes, informational communications, and governance for department. Managed post-departure Partner payment process, including conducting due diligence, creating and distributing Executive Committee votes, and reporting final votes to internal stakeholders. Drove roll out and use of digital automation tools such as Adobe Sign and TAP Workflow Automation.

Management and delivery of external client reporting, such as due diligence questionnaires, 15(c) reporting and quarterly compliance certifications. Worked with portfolio managers to ensure legal reporting requirements were in compliance for each client. Prepared quarterly board reporting materials for parent company. Managed legal reporting requirements for foreign investment accounts. Analyzed external company research reports and recommended voting positions for proxy statements.

Organized and managed quarterly ERISA Investment Committee meetings by producing defined benefit analytical report, liaising with external attendees, analyzing all presentations and ensuring meeting runs according to preset agenda. Prepared annual financial statements, managed audit, and coordinated filing of Form 5500 for multibillion-dollar defined benefit plans and defined contribution plans. Co-managed three large scale defined benefit vendor transitions from the RFP process to conversion completion. Ensured adherence with SOX controls, including monthly asset reconciliations, analysis of SSAE 16s and price testing of “hard-to-value” assets. Accounting and reporting of all expenses paid from pension plan assets. Reviewed compliance reports, subscription agreements, fact sheets and offering documents to ensure agreement with investment guidelines. Managed all standby letters of credit and escrow accounts, with oversight of Treasurer.

Assist in the coordination of Form 5500 audits including requesting internal information, gathering information from Trustees, record keepers, and actuaries and submitting to auditors. Responsible for processing, tracking and verifying all expenses paid from the Employee Savings Plan and Master Retirement Trust. Work directly with Trustee on transaction processing and reporting. Responsible for gathering and documenting information required for Internal/SOX audits. Assist with responding to ad hoc requests from internal business partners and headquarters

Prepared and maintained corporate records and minutes for North American corporations, sectors and affiliates. Responded to requests from internal clients in all sectors for information regarding North American corporations, sectors and affiliates. Assisted corporate attorneys and corporate Secretariat function with legal entity formation and dissolution, qualifications, registered agent filings, M&A projects and other corporate related initiatives. Provided support to the ERISA Administration Committee and ERISA Investment Committee by maintaining Committee minute books and records, attending meetings, distributing and organizing materials and assisting with taking Committee meeting minutes. Assisted Corporate Attorney with review and negotiation of non-disclosure agreements and other corporate-related agreements. Stored all corporate agreements in corporate contracts database and maintain a matrix of all contacts added to the database.

Reviewed and negotiated, under the direction and oversight of the Chief Operating Officer, non-disclosure agreements. Assisted Marketing Manager with production of seminar materials. Maintained personnel-related records for the firm. Assisted with the creation, production and mailing of private placement memorandum, due diligence materials and all other related documents to prospective and active clients of the firm. Researched various legal and business issues at the request of Chief Operating Officer and Chief Financial Officer.

Senior Legal Product Manager and Assistant Vice President Assisted with the creation and production of private placement memorandum, subscription agreements, and other supporting legal documents relating to alternative investments. Worked closely with Product, Sales, Fund Accounting and external printer to ensure production of such documents was completed accurately and on time. Reviewed and summarized agreements with third party investment managers to ensure continued compliance with the terms of agreements. Organize Evergreen Offshore Board of Directors meetings, including preparing agendas and coordinating the preparation of materials. Legal Product Manager Drafted, “EDGARized” and filed with the Securities and Exchange Commission, Registration Statements, Post-Effective Amendments, N-14s, and exhibits within the prescribed time as mandated by United States securities law. Worked with fund portfolio managers and outside counsel on disclosing the investment strategies and risks of the fund per United States securities law. Updated prospectuses and Statements of Additional information based on internal and external comments.

Maintained corporate records for the company and related subsidiaries. Researched United States insurance regulations and rules. Qualified company and subsidiaries in states in which the entities were doing business

Paralegal Assisted with the creation, production and filing of annuity contracts and annuity supplements with the Securities and Exchange Commission. Researched annuity related state regulation. Filed individual license applications with the Financial Industry Regulatory Authority, Inc. on behalf of the company. Administrative Assistant Provided administrative support to four attorneys and compliance manager. Researched annuity related state regulation.