Ami Kaplan
About Ami G. Kaplan
Independent Director (Class II) of Neuberger Berman High Yield Strategies Fund (NYSE: NHS), serving since 2023. Born in 1960, Kaplan spent 40 years at Deloitte LLP, including Vice Chair (2017–2020) and Deputy New York Regional Managing Partner; she previously served as President and Board Chair of the Women’s Forum of New York (2014–2016) and is a member of the New York and New Jersey State Societies of CPAs . She oversees 50 funds within the Neuberger Berman fund complex and is nominated to serve until the annual meeting in 2028 if re-elected .
Past Roles
| Organization | Role | Tenure | Committees/Impact |
|---|---|---|---|
| Deloitte LLP | Partner; Vice Chair; Deputy New York Regional Managing Partner | 1982–2023; Vice Chair 2017–2020 | Led global financial services client work; senior leadership roles |
| Women’s Forum of New York | President and Board Chair | 2014–2016 | Governance leadership at a prominent non-profit network |
External Roles
| Organization | Role | Tenure | Notes |
|---|---|---|---|
| Other public company boards | None | — | No other public company directorships outside NB fund complex |
| CPA Societies (NY and NJ) | Member | — | Professional credential and industry affiliation |
Board Governance
| Item | Detail | NHS FY2024 Meetings |
|---|---|---|
| Board Meetings | Each Fund’s Board met four times; all Directors attended ≥75% of Board and applicable committee meetings | 4; Kaplan ≥75% attendance |
| Audit Committee | Members: M. Cosgrove (Chair), M. Goss (Vice Chair), D. McLean, P. Nakasone; all Independent; Kaplan is not a member | 7 |
| Closed-End Funds Committee | Members: M. Gary (Chair), F. Smith (Vice Chair), A. Kaplan; all Independent | 8 (NHS) |
| Ethics & Compliance Committee | Members: A. Kaplan (Chair), M. Knetter (Vice Chair), M. Gary, T. Seip; all Independent | 4 |
| Contract Review Committee | Members: D. McLean (Chair), F. Smith (Vice Chair), M. Cosgrove, M. Gary; all Independent; Kaplan is not a member | 7 |
| Executive Committee | Members: T. Seip (Chair), J. Amato (Vice Chair), M. Cosgrove, M. Gary, M. Goss, A. Kaplan, M. Knetter, D. McLean | Did not meet |
| Governance & Nominating Committee | Members: M. Goss (Chair), P. Nakasone (Vice Chair), M. Knetter, T. Seip | 5 (NHS) |
| Investment Performance Committee | All Directors are members; Chairs: M. Knetter (Chair) and D. McLean (Vice Chair) | 4 |
| Independence | Kaplan is an Independent Director; Independent Directors meet outside management and have independent counsel | — |
| Annual Meeting Attendance | No Directors attended the 2024 Annual Meeting | — |
Fixed Compensation
| Metric | NHS (FY 2024) | NML (FY 2024) | NRO (FY 2024) | Total NB Fund Complex (CY 2024) |
|---|---|---|---|---|
| Aggregate compensation (Fund-level) | $11,054 | $5,527 | $11,054 | $270,000 |
| Component | Amount | Effective Date | Notes |
|---|---|---|---|
| Annual retainer (Independent Directors) | $200,000 | Jan 1, 2024 | Paid quarterly |
| Regular Board meeting fee | $17,500 per meeting attended | Jan 1, 2024 | In-person or telephonic |
| Committee Chair stipend (non-Contract Review) | $25,000 per year | Jan 1, 2025 | Applies to Kaplan as Ethics & Compliance Chair |
| Contract Review Committee Chair stipend | $35,000 per year | Jan 1, 2025 | Kaplan is not CRC Chair |
| Board Chair premium (Independent) | $90,000 per year | Jan 1, 2024 | Kaplan is not Board Chair |
| Committee membership fee | None (no additional compensation for membership) | — | Chair-only stipends |
The Funds provide no pension or retirement plan for Directors; travel/out-of-pocket expenses are reimbursed; compensation is allocated across funds by a Board-determined method .
Performance Compensation
No performance-based metrics, equity awards, or options are disclosed for Directors; compensation is described solely as cash retainer, meeting fees, and chair stipends .
Other Directorships & Interlocks
| Category | Detail |
|---|---|
| Public company boards | None outside the NB fund complex |
| Notable committee roles within NB funds | Chair, Ethics & Compliance; Member, Closed-End Funds; Member, Executive Committee |
| Shared directorships with competitors/suppliers/customers | Not disclosed; none indicated beyond NB fund complex |
Expertise & Qualifications
- 40-year career at Deloitte LLP, including Vice Chair and Deputy New York Regional Managing Partner; deep financial services client work .
- CPA; member of New York and New Jersey State Societies of CPAs .
- Prior non-profit leadership: President and Board Chair, Women’s Forum of New York .
- Oversees 50 funds in the NB fund complex, with closed-end fund governance experience .
Equity Ownership
| Name | NRO | NHS | NML | Aggregate across NB registered investment companies |
|---|---|---|---|---|
| Ami G. Kaplan | None | None | None | None |
As of July 31, 2025, Independent Directors and their immediate family members did not own securities of NBIA, any principal underwriter, or any entity controlling/controlled by/under common control with NBIA or any principal underwriter .
Governance Assessment
- Strengths: Independent status; chairs Ethics & Compliance, signaling strong compliance oversight; active service on Closed-End Funds Committee; adequate meeting attendance (≥75%) in FY2024; minimal external interlocks reduce conflict risk .
- Compensation structure: Standard for investment company boards—cash retainer plus meeting fees and chair stipends; no equity or option grants disclosed, limiting pay-for-performance alignment concerns typical in operating companies .
- Ownership alignment: Kaplan holds no fund shares across NB registered investment companies, which avoids self-dealing but may be viewed by some investors as low “skin-in-the-game” alignment for closed-end funds .
- Conflicts and related-party exposure: No ownership of NBIA/underwriter securities by Independent Directors; committees and independent counsel structure provide ongoing conflict oversight; no related-party transactions disclosed for Kaplan .
RED FLAGS: None disclosed regarding related-party transactions, hedging/pledging, legal proceedings, or option repricing; note the absence of fund share ownership for Kaplan as a potential alignment consideration .