Scott Hogan
About Scott Hogan
Scott D. Hogan (year of birth: 1970) is Chief Compliance Officer (CCO) of Neuberger Berman High Yield Strategies Fund Inc. (NHS), appointed in May 2025; he is also a Senior Vice President at Neuberger Berman Investment Advisers (NBIA) and serves as CCO for twenty‑eight registered investment companies advised/administered by NBIA . Prior to joining NBIA, Hogan was Director at DWS Investment Management Americas, Inc. (DIMA) and CCO to the registered investment companies advised/administered by DIMA from 2016–2025, after serving as Legal Counsel at DIMA from 2007–2016 . The fund’s proxy indicates officers who are employees of NBIA serve without compensation from the Funds, and it does not disclose officer‑specific performance metrics (e.g., TSR, revenue/EBITDA growth) or compensation detail at the fund level . The business address for listed persons is 1290 Avenue of the Americas, New York, NY 10104 .
Past Roles
| Organization | Role | Years | Strategic Impact |
|---|---|---|---|
| DWS Investment Management Americas, Inc. (DIMA) | Director and Chief Compliance Officer to DIMA‑advised/administered registered investment companies | 2016–2025 | Led compliance function across registered funds complex; senior oversight of regulatory compliance programs |
| DWS Investment Management Americas, Inc. (DIMA) | Legal Counsel | 2007–2016 | Provided legal support for investment company regulatory matters and compliance frameworks |
External Roles
| Organization/Complex | Role | Years | Scope/Notes |
|---|---|---|---|
| Neuberger Berman Investment Advisers (NBIA) | Senior Vice President | Since May 2025 | Senior leadership role within adviser to the Neuberger Berman fund complex |
| Neuberger Berman fund complex (28 registered investment companies) | Chief Compliance Officer | Since May 2025 | CCO responsibilities across twenty‑eight NBIA‑advised/administered registered investment companies |
Fixed Compensation
| Item | Disclosed Detail |
|---|---|
| Base salary | Not disclosed by the Fund; officers who are directors, officers, or employees of NBIA or its affiliates serve without any compensation from the Funds |
| Target bonus % | Not disclosed by the Fund (officers do not receive compensation from the Funds) |
| Actual bonus paid | Not disclosed by the Fund (officers do not receive compensation from the Funds) |
| Other cash compensation | Not disclosed by the Fund (officers do not receive compensation from the Funds) |
Officers’ compensation is paid by NBIA and not reported in the Fund’s proxy .
Performance Compensation
| Incentive Type / Metric | Weighting | Target | Actual / Result | Payout / Grant | Vesting Details |
|---|---|---|---|---|---|
| Fund‑level incentives for officers (e.g., RSUs/PSUs/options) | Not disclosed | Not disclosed | Not disclosed | Not disclosed | Not disclosed |
| Note | The proxy states NBIA employees serving as Fund officers receive no compensation from the Funds; therefore, fund‑level performance pay elements for officers are not disclosed |
Equity Ownership & Alignment
| Ownership Metric | Detail |
|---|---|
| Total beneficial ownership (officers) | Not disclosed in the proxy; equity ownership ranges presented for Directors only, not for officers |
| Ownership as % of shares outstanding | Not disclosed for officers |
| Vested vs. unvested shares (officers) | Not disclosed for officers |
| Options (exercisable/unexercisable) | Not disclosed for officers |
| Shares pledged as collateral | Not disclosed in the proxy for officers |
| Section 16 reporting context | Certain officers and Directors must file Section 16 reports; the Fund states all applicable filing requirements were met for FY ended Oct 31, 2024 (FY ended Nov 30, 2024 for Energy Infrastructure Fund) |
| Stock ownership guidelines (officers) | Not disclosed in the proxy for officers |
Employment Terms
| Term / Provision | Detail |
|---|---|
| Appointment date | Chief Compliance Officer since May 2025 |
| Term length | Officers serve at the pleasure of the Board and may be removed at any time with or without cause; no fixed term indicated |
| Contract expiration / auto‑renewal | Not disclosed at the Fund level |
| Severance provisions | Not disclosed at the Fund level; officers are NBIA employees and receive no compensation from the Funds |
| Change‑of‑control treatment | Not disclosed at the Fund level |
| Clawback provisions | Not disclosed at the Fund level |
| Non‑compete / Non‑solicit / Garden leave | Not disclosed at the Fund level |
| Post‑termination consulting | Not disclosed at the Fund level |
| Business address | 1290 Avenue of the Americas, New York, NY 10104 |
Investment Implications
- Compensation alignment and insider selling pressure: Because Fund officers who are NBIA employees receive no compensation from the Funds, there are no fund‑granted equity awards or fund‑level option overhang to create mechanical selling pressure; compensation design and retention incentives reside at NBIA and are not disclosed in the Fund’s proxy .
- Governance/retention risk: Hogan’s role spans the NBIA complex (CCO across twenty‑eight registered investment companies), which underscores centralized compliance leadership; officers serve at the pleasure of the Board with no fixed term disclosed, implying flexibility for governance changes without contractual severance visibility at the Fund level .
- Trading signals/ownership: Officer‑level NHS share ownership is not disclosed in the proxy; however, the Fund states applicable Section 16 filing requirements were met in FY2024—ongoing monitoring of Section 16 filings remains the most direct route to detect potential alignment shifts or trading by officers .
Citations:
- Officers table and Hogan biography/tenure/prior roles
- Compensation policy for NBIA employees serving as Fund officers (no compensation from the Funds)
- Directors’ equity ownership ranges (officer ownership not presented)
- Section 16 compliance statement
- Business address and director/officer listing context
- Officer term/at‑will service per Bylaws