WCM INVESTMENT MANAGEMENT, LLC

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WCM Investment Management is based out of Laguna Beach. WCM Investment Management is a hedge fund with 17435 clients and discretionary assets under management (AUM) of $93,301,352,169 (Form ADV from 2022-07-06). Their last reported 13F filing for Q2 2022 included $27,883,591,000 in managed 13F securities and a top 10 holdings concentration of 50.93%. WCM Investment Management's largest holding is Canadian Pacific Railway Ltd. (2001) with shares held of 32,011,879. WCM Investment Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 96 13F filings, and 41 13G filings

06/30/2022

13F Activity

  • Market Value $27.884 Billion
  • Prior Market Value $35.814 Billion
  • New Purchases21 stocks
  • Additional Purchases75 stocks
  • Sold out of20 stocks
  • Reduced holdings in99 stocks
  • Top 10 Holdings % 50.93 %
  • Turnover % [1]:20.30%
  • Turnover Alt % [2]: 7.76 %
  • Time Held Top20:11.85 quarters
  • Time Held Top10:10.90 quarters
  • Time Held All:9.24 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2022

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2022-08-15

Performance for Q2 2022: 12.25%
Performance Last 4 Quarters: -15.34%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required
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*Shares are split adjusted

Global (ex. US) Holdings

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Stale Holdings (no activity in past 21-months or sold out)

Source: Refinitiv. Stale holdings data removed after 21-months of inactivity.

View Last Form Adv Compilation Report on Record

WCM INVESTMENT MANAGEMENT
Classified as Hedge Fund
281 BROOKS STREET
LAGUNA BEACH CA    92651-2974
Country: United States
Business Phone: 949-380-0200
Fax: 949-380-0819
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 75
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 7,441,100,000
Total Number of Clients: 17435
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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WCM INVESTMENT MANAGEMENT, LLC

ownership team - last updated 2022-05-03
Name Title Start Date Direct/Indirect % Ownership
WINRICH, KURT, RANDAL CHAIRMAN 12/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT CHAIRMAN/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT PRESIDENT direct 1992-01-01 2003-06-17
WCM INVESTMENT MANAGEMENT CHAIRMAN OF THE BOARD direct 2002-12-01 2004-03-11
BLACK, PAUL, RUSSELL PRESIDENT/CEO 12/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PRESIDENT/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT SVP direct 1998-02-01 2003-06-17
WCM INVESTMENT MANAGEMENT PRESIDENT direct 2002-12-01 2004-03-11
THALIA STREET PARTNERS LLC MEMBER 06/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT, LLC MEMBER direct 2018-06-01
BREWER, DAVID, ANDREW CHIEF COMPLIANCE OFFICER, SENIOR VP 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT CHIEF COMPLIANCE OFFICER direct 2004-10-01
WCM INVESTMENT MANAGEMENT VP direct 1995-06-01 2003-06-17
WCM INVESTMENT MANAGEMENT SENIOR VP direct 2002-12-01 2004-03-11
WCM INVESTMENT MANAGEMENT SENIOR VP/CCO/COO direct 2002-12-01 2006-02-24
PAYNE, SLOANE, WALLER CHIEF OPERATIONS OFFICER, SENIOR VP 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2004-10-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2004-10-01
NATIXIS INVESTMENT MANAGERS, L.P. LIMITED PARTNER OF REGISTRANT 04/01/2019 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 1994-08-01
IXIS ASSET MANAGEMENT ADVISORS, L.P. LIMITED PARTNER direct 1994-08-01
ALPHASIMPLEX GROUP, LLC MEMBER indirect 1994-08-01
REICH & TANG ASSET MANAGEMENT,LLC 100% OWNERSHIP INTEREST direct 1994-08-01
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 1994-08-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. SHAREHOLDER indirect 1994-08-01
HARRIS ASSOCIATES LP MEMBER indirect 1995-10-01
HARRIS ASSOCIATES LP LIMITED PARTNER OF THE REGISTRANT direct 1995-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER OF APPLICANT direct 1996-05-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 1996-05-01
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 1996-05-01
AEW MANAGEMENT & ADVISORS LP MEMBER indirect 1996-12-01
JURIKA & VOYLES LP LIMITED PARTNER OF REGISTRANT direct 1997-01-01
JURIKA & VOYLES LP SHAREHOLDER indirect 1997-01-01
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER OF AEW CAP LP, SHAREHOLDER OF AEW INV direct 1997-12-01
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER OF REGISTRANT direct 1997-12-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR; MEMBER OF NATIXIS GLOBAL ASSET MANAGEMENT HOLDINGS, LLC direct 1997-12-01
AEW ADVISORS INC STOCKHOLDER AEW INV direct 1997-12-01
BACK BAY ADVISORS SOLE LIMITED PARTNER OF BACK BAY ADVISORS L.P. (APPLICANT) direct 1997-12-01
KOBRICK FUNDS LLC SOLE MEMBER direct 1999-07-01
AEW ADVISORS INC SHAREHOLDER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER direct 2001-12-01
AURORA INVESTMENT MANAGEMENT L.L.C. SHAREHOLDER indirect 2004-01-01
GATEWAY INVESTMENT ADVISERS, LLC MEMBER direct 2008-02-01
CASPIAN PRIVATE EQUITY, LLC MEMBER direct 2008-03-01
MCDONNELL INVESTMENT MANAGEMENT, LLC MEMBER direct 2012-09-01
AEW ADVISORS INC LMT PTR AEW CAP LP, STHLDR NVEST HOLDINGS direct 1997-12-01 2001-02-06
REICH & TANG ASSET MANAGEMENT LP SOLE LIMITED PARTNER OF APPLICANT direct 1997-12-01 2001-02-15
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP SHAREHOLDER indirect 1994-08-01 2001-02-26
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER direct 1997-12-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER OF AEW CAP LP direct 1997-12-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-05-01 2001-03-30
NVEST ASSOCIATES INC SHAREHOLDER indirect 1997-12-01 2001-03-30
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-12-01 2001-03-30
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER indirect 1994-08-01 2001-08-28
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER direct 1997-12-01 2001-08-28
HARRIS ASSOCIATES LP LIMITED PARTNER direct 1995-10-01 2001-11-16
HARRIS ASSOCIATES LP SHAREHOLDER indirect 1995-10-01 2001-11-16
NVEST FUNDS MANAGEMENT LP SHAREHOLDER indirect 1994-08-01 2002-01-02
NVEST FUNDS MANAGEMENT LP LIMITED PARTNER direct 1997-12-01 2002-01-02
VNSM TRUST CO LIMITED PARTNERSHIP direct 1997-12-01 2002-01-15
JURIKA & VOYLES LP SHAREHOLDER indirect 1997-12-01 2002-01-15
JURIKA & VOYLES LP SOLE LIMITED PARTNER OF REGISTRANT direct 1997-12-01 2002-01-15
WESTPEAK INVESTMENT ADVISORS LP LIMITED PARTNER direct 1993-09-01 2002-01-22
WESTPEAK GLOBAL ADVISORS, L.P. SHAREHOLDER indirect 1994-08-01 2002-01-22
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 1997-12-01 2002-03-28
AEW ADVISORS INC STHLDR AEW INV, STHLDR CDCIAM HOLDINGS direct 1997-12-01 2002-04-01
AEW MANAGEMENT & ADVISORS LP SHAREHOLDER indirect 1996-12-01 2002-05-01
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER OF CDC IXIS ASSET MANAGEMENT DISTRIBUTION CORPORATION direct 1994-08-01 2003-02-19
VNSM TRUST COMPANY LIMITED PARTNER indirect 1996-05-01 2003-03-31
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER indirect 1994-08-01 2003-08-14
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 1995-09-01 2003-10-08
HARRIS ALTERNATIVES L.L.C. SOLE SHAREHOLDER indirect 1995-10-01 2003-10-08
VAUGHAN NELSON TRUST COMPANY SHAREHOLDER indirect 1996-05-01 2004-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF CDC IXIS ASSET MANAGEMENT HOLDINGS INC direct 1997-12-01 2004-07-08
WESTPEAK GLOBAL ADVISORS, L.P. SHAREHOLDER indirect 1993-09-01 2004-07-12
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER (CDCIAM HOLDINGS) indirect 1994-08-01 2004-07-12
HARRIS ASSOCIATES LP SHAREHOLDER indirect 1995-10-01 2004-07-12
AEW MANAGEMENT & ADVISORS LP SHAREHOLDER indirect 1996-12-01 2004-07-13
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. SHAREHOLDER indirect 1996-05-01 2004-09-27
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. MEMBER indirect 1997-12-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-07-01 2004-11-11
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. MEMBER indirect 1997-12-01 2004-11-15
REICH & TANG ASSET MANAGEMENT,LLC OWNER OF A 99.5% MEMBERSHIP INTEREST IN THE APPLICANT direct 1997-12-01 2004-12-02
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. SHAREHOLDER indirect 1994-08-01 2004-12-06
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-07-01 2005-04-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF IXIS ASSET MANAGEMENT HOLDINGS INC direct 1997-12-01 2005-06-28
HANSBERGER GLOBAL INVESTORS, INC. SHAREHOLDER-SEE SCHEDULE D - MISCELLANEOUS indirect 2003-02-01 2005-08-09
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-07-01 2006-03-09
HARRIS ASSOCIATES LP SHAREHOLDER indirect 1995-10-01 2006-03-27
WESTPEAK GLOBAL ADVISORS, L.P. SHAREHOLDER indirect 1993-09-01 2006-03-30
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER OF APPLICANT direct 1993-09-01 2006-03-30
IXIS ASSET MANAGEMENT ADVISORS, L.P. SHAREHOLDER indirect 1994-08-01 2006-03-30
REICH & TANG ASSET MANAGEMENT,LLC SHAREHOLDER indirect 1994-08-01 2006-03-31
AEW MANAGEMENT & ADVISORS LP SHAREHOLDER indirect 1996-12-01 2006-04-18
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER indirect 1994-08-01 2006-09-19
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. SHAREHOLDER indirect 1996-05-01 2006-11-20
VAUGHAN NELSON TRUST COMPANY SHAREHOLDER indirect 1996-05-01 2006-11-30
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 1994-08-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 1994-08-01 2007-03-29
HARRIS ASSOCIATES LP MEMBER indirect 1995-10-01 2007-03-29
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 1996-05-01 2007-03-29
AEW MANAGEMENT & ADVISORS LP MEMBER indirect 1996-12-01 2007-03-29
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 1994-08-01 2007-03-30
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 1996-05-01 2007-03-30
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 1996-05-01 2007-03-30
REICH & TANG ASSET MANAGEMENT,LLC OWNER OF A 100% MEMBERSHIP INTEREST IN THE APPLICANT direct 1997-12-01 2007-03-30
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF IXIS ASSET MANAGEMENT HOLDINGS direct 1997-12-01 2007-04-12
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2007-04-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 1997-07-01 2007-05-01
IXIS ASSET MANAGEMENT ASIA LTD MEMBER indirect 1994-08-01 2007-08-28
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 1994-08-01 2007-11-09
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 1997-07-01 2008-03-28
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 1994-08-01 2008-05-19
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2008-07-10
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 1994-08-01 2008-07-18
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 1996-05-01 2008-07-18
HARRIS ASSOCIATES LP MEMBER indirect 1995-10-01 2008-07-24
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2009-03-30
REICH & TANG ASSET MANAGEMENT,LLC OWNER OF 100% MEMBERSHIP INTEREST IN THE APPLICANT direct 1994-08-01 2009-08-10
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER OF APPLICANT direct 1994-08-01 2010-07-07
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 1994-08-01 2010-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF NATIXIS GLOBAL ASSET MANAGEMENT HOLDINGS, LLC direct 1997-12-01 2010-07-15
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) MEMBER indirect 1994-08-01 2011-03-29
AURORA INVESTMENT MANAGEMENT L.L.C. SHAREHOLDER indirect 2004-01-01 2011-07-20
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2007-03-01 2011-07-22
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2004-01-01 2014-03-17
HANSBERGER GLOBAL INVESTORS, INC. SHAREHOLDER indirect 2007-03-01 2014-07-31
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 1997-07-01 2015-03-31
SNYDER CAPITAL MANAGEMENT LP SOLE STKHLDR OF SCMI direct 2007-06-01 2015-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER direct 1997-12-01 2015-11-23
HARRIS ASSOCIATES LP LIMITED PARTNER OF THE APPLICANT direct 1995-10-01 2016-01-29
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2004-01-01 2017-01-04
KUO, DON, KUANGLUN DEPUTY CHIEF OPERATING OFFICER, SECRETARY 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT, LLC DEPUTY CHIEF OPERATING OFFICER, SECRETARY direct 2021-01-01
JOERGER, DAVID, JOSEPH COMPLIANCE OFFICER 07/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT, LLC COMPLIANCE OFFICER direct 2021-07-01
TRIGG, MIKE, BRADY PRESIDENT, PORTFOLIO MANAGER 01/01/2022 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2013-12-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2013-12-01
PAYNE, SLOANE, WALLER ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2004-10-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2004-10-01
NATIXIS SHAREHOLDER NATIXIS INVESTMENT MANAGERS 09/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
BPCE SHAREHOLDER NATIXIS 07/01/2009 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
NATIXIS INVESTMENT MANAGERS PARTICIPATIONS 1 SHAREHOLDER NATIXIS U.S. HOLDINGS, INC. 06/01/2005 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
NATIXIS INVESTMENT MANAGERS SHAREHOLDER NATIXIS INVESTMENT MANAGERS PARTICIPATIONS 1 08/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
TRIGG, MIKE, BRADY ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2013-12-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2013-12-01
BLACK, PAUL, RUSSELL MEMBER, ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PRESIDENT/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT SVP direct 1998-02-01 2003-06-17
WCM INVESTMENT MANAGEMENT PRESIDENT direct 2002-12-01 2004-03-11
WINRICH, KURT, RANDAL MEMBER, ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT CHAIRMAN/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT PRESIDENT direct 1992-01-01 2003-06-17
WCM INVESTMENT MANAGEMENT CHAIRMAN OF THE BOARD direct 2002-12-01 2004-03-11
NATIXIS INVESTMENT MANAGERS, LLC GENERAL PARTNER NATIXIS INVESTMENT MANAGERS, L.P. 10/01/2000 Indirect Other
Fund Name Position direct/indirect start date end date
BACK BAY ADVISORS GENERAL PARTNER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY GENERAL PARTNER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC GENERAL PARTNER indirect 2000-10-01
JURIKA & VOYLES LP GENERAL PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01
AEW ADVISORS INC GENERAL PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01
KOBRICK FUNDS LLC GENERAL PARTNER indirect 2000-10-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. GENERAL PARTNER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC GENERAL PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. GENERAL PARTNER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. GENERAL PARTNER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2001-01-31
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2001-02-02
AEW ADVISORS INC PARTNER indirect 2000-10-01 2001-02-06
NVEST FUNDS MANAGEMENT LP LIMITED PARTNER & MEMBER indirect 2000-10-01 2001-02-23
NVEST FUNDS MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2001-02-23
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP GENERAL PARTNER indirect 2000-10-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2001-02-28
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2001-03-30
NVEST ASSOCIATES INC GENERAL PARTNER indirect 2000-10-01 2001-03-30
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2001-03-30
NVEST FUNDS MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2002-01-02
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER & MEMBER indirect 2000-10-01 2002-01-02
JURIKA & VOYLES LP GENERAL PARTNER indirect 2000-10-01 2002-01-15
VNSM TRUST CO GENERAL PARTNER indirect 2000-10-01 2002-01-15
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2002-01-22
REICH & TANG ASSET MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2002-01-28
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER OF CDCIAMNA indirect 2000-10-01 2002-05-02
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2003-08-14
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. GENERAL PARTNER indirect 2000-10-01 2004-01-13
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2004-04-05
VNSM TRUST COMPANY GENERAL PARTNER indirect 2000-10-01 2004-07-07
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2004-07-08
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2004-07-12
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER (CDCIAM NA) indirect 2000-10-01 2004-07-12
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01 2004-07-12
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01 2004-07-13
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2004-07-13
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP GENERAL PARTNER indirect 2000-10-01 2004-09-27
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01 2004-09-29
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. GENERAL PARTNER indirect 2000-10-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2004-11-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2004-11-01
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. GENERAL PARTNER indirect 2000-10-01 2004-11-15
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2004-11-29
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. GENERAL PARTNER indirect 2000-10-01 2004-12-06
HARRIS ALTERNATIVES L.L.C. GENERAL PARTNER indirect 2000-10-01 2004-12-09
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. GENERAL PARTNER indirect 2000-10-01 2005-03-29
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2005-06-28
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2005-06-28
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2005-07-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2005-07-26
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01 2005-08-05
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2005-08-09
VAUGHAN NELSON TRUST COMPANY GENERAL PARTNER indirect 2000-10-01 2005-08-17
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01 2005-08-17
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2005-09-13
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2005-12-13
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01 2006-01-03
HARRIS ALTERNATIVES L.L.C. GENERAL PARTNER indirect 2000-10-01 2006-04-04
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2006-09-19
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. GENERAL PARTNER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2007-03-29
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2007-03-29
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01 2007-03-29
HARRIS ALTERNATIVES L.L.C. GENERAL PARTNER indirect 2000-10-01 2007-03-29
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2007-03-29
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2007-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2007-03-30
VAUGHAN NELSON TRUST COMPANY GENERAL PARTNER indirect 2000-10-01 2007-03-30
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01 2007-03-30
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2007-04-12
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2007-05-01
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01 2007-05-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2007-07-13
IXIS ASSET MANAGEMENT ASIA LTD GENERAL PARTNER indirect 2000-10-01 2007-08-28
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2007-11-09
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2008-03-28
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01 2008-04-03
VAUGHAN NELSON TRUST COMPANY GENERAL PARTNER indirect 2000-10-01 2008-07-18
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01 2008-07-24
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2009-03-30
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2009-08-10
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2010-07-07
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) GENERAL PARTNER indirect 2000-10-01 2011-03-29
NATIXIS CASPIAN PRIVATE EQUITY, LLC GENERAL PARTNER indirect 2000-10-01 2011-11-18
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2014-07-31
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2015-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2015-11-23
NATIXIS U.S. HOLDINGS, INC. MEMBER NATIXIS INVESTMENT MANAGERS, LLC 10/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER, MEMBER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 2000-10-01
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01
NGAM ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01
HARRIS ASSOCIATES LP MEMBER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. LIMITED PARTNER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC MEMBER indirect 2000-10-01
AEW ADVISORS INC LIMITED PARTNER, MEMBER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2000-10-01
HARRIS ASSOCIATES LP LIMITED PARTNER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC LIMITED PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC LIMITED PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC MEMBER indirect 2000-10-01
JURIKA & VOYLES LP LIMITED PARTNER OF CDCIAMNA AND MEMBER OF CDCIAM US LLC indirect 2000-10-01
BACK BAY ADVISORS LIMITED PARTNER AND MEMBER RESPECTIVELY indirect 2000-10-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. LIMITED PARTNER, MEMBER indirect 2000-10-01
KOBRICK FUNDS LLC LIMITED PARTNER (CDCIANNA) AND MEMBER (CDCIAMUS) indirect 2000-10-01
CHAMONIX PARTNERS CAPITAL MANAGEMENT LLC OWNER indirect 2011-10-01
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER MEMBER indirect 2000-10-01 2001-01-31
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (NVEST), MEMBER (LLC) indirect 2000-10-01 2001-02-02
AEW ADVISORS INC LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-02-06
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER indirect 2000-10-01 2001-02-28
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR indirect 2000-10-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2001-03-30
NVEST ASSOCIATES INC LIMITED PARTNER (CDC IXIS) MEMBER (LLC) indirect 2000-10-01 2001-03-30
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (CDCIAM NA), MEMBER (LLC) indirect 2000-10-01 2001-08-28
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-11-16
VNSM TRUST CO LIMITED PARTNER, MEMBER indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP LIMITED PARTNER OF CDC IXIS ASSET MANAGEMENT NORTH AMERICA, L.P. AND MEMBER OF CDC IXIS ASSET MANAGEMENT US, LLC indirect 2000-10-01 2002-01-15
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2002-01-22
WESTPEAK INVESTMENT ADVISORS LP LIMITED PARTNER indirect 2000-10-01 2002-01-22
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER OF #1 AND MEMBER OF #2 indirect 2000-10-01 2002-01-28
AEW MANAGEMENT & ADVISORS LP MEMBER, PARTNER indirect 2000-10-01 2002-05-01
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER OF #1 AND MEMBER OF #2 indirect 2000-10-01 2002-05-02
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR indirect 2000-10-01 2002-06-05
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2003-02-19
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. LIMITED PARTNER indirect 2000-10-01 2004-01-13
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. SOLE MEMBER indirect 2000-10-01 2004-01-13
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01 2004-01-16
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-08
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (CDCIAM NA), MEMBER (CDCIAM US LLC) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2004-07-12
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2004-07-12
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01 2004-07-13
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2004-07-13
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2004-07-13
HARRIS ALTERNATIVES L.L.C. SOLE MEMBER indirect 2000-10-01 2004-09-24
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2004-09-24
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER indirect 2000-10-01 2004-09-27
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01 2004-09-27
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2004-09-29
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2004-09-29
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. LIMITED PARTNER (CDCIAMNA), MEMBER (CDCIAM US LLC) indirect 2000-10-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2004-11-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2004-11-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. LIMITED PARTNER (IAMNA), MEMBER (IAM US LLC) indirect 2000-10-01 2004-11-15
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2004-11-29
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2004-11-29
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01 2004-12-06
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER indirect 2000-10-01 2004-12-06
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER AND MEMBER indirect 2000-10-01 2005-03-29
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-06-28
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2005-06-28
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2005-07-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2005-07-26
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-08-05
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2005-08-09
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2005-08-09
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2005-08-17
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-08-17
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2005-12-13
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2006-01-03
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-02-16
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2006-03-31
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2006-04-04
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2006-04-18
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-09-19
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-11-30
HARRIS ALTERNATIVES L.L.C. SOLE MEMBER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2007-03-29
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2007-03-29
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER AND MEMBER indirect 2000-10-01 2007-03-29
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2007-03-29
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2007-03-30
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2007-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2007-03-30
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER/MEMBER indirect 2000-10-01 2007-03-30
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-04-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2007-05-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2007-05-01
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2007-05-07
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01 2007-05-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2007-07-13
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2007-07-13
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2007-07-20
IXIS ASSET MANAGEMENT ASIA LTD MEMBER indirect 2000-10-01 2007-08-28
IXIS ASSET MANAGEMENT ASIA LTD LIMITED PARTNER indirect 2000-10-01 2007-08-28
IXIS ASSET MANAGEMENT ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2007-11-09
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01 2007-11-09
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2008-03-28
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2008-03-28
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2008-04-03
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2008-04-03
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2008-04-03
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 2000-10-01 2008-07-18
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 2000-10-01 2008-07-18
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2009-03-30
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2009-08-10
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2009-08-10
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2010-07-07
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2010-07-07
NATIXIS CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01 2011-02-17
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) LIMITED PARTNER indirect 2000-10-01 2011-03-29
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) MEMBER indirect 2000-10-01 2011-03-29
HARRIS ASSOCIATES LP MEMBER indirect 2000-10-01 2011-03-31
HARRIS ASSOCIATES LP LIMITED PARTNER indirect 2000-10-01 2011-03-31
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2011-07-22
NATIXIS CASPIAN PRIVATE EQUITY, LLC LIMITED PARTNER indirect 2000-10-01 2011-11-18
NATIXIS CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01 2011-11-18
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2014-07-31
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2014-07-31
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2015-03-31
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2015-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2015-11-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2015-11-23
NATIXIS U.S. HOLDINGS, INC. LIMITED PARTNER NATIXIS INVESTMENT MANAGERS, L.P. 10/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER, MEMBER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 2000-10-01
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01
NGAM ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01
HARRIS ASSOCIATES LP MEMBER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. LIMITED PARTNER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC MEMBER indirect 2000-10-01
AEW ADVISORS INC LIMITED PARTNER, MEMBER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2000-10-01
HARRIS ASSOCIATES LP LIMITED PARTNER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC LIMITED PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC LIMITED PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC MEMBER indirect 2000-10-01
JURIKA & VOYLES LP LIMITED PARTNER OF CDCIAMNA AND MEMBER OF CDCIAM US LLC indirect 2000-10-01
BACK BAY ADVISORS LIMITED PARTNER AND MEMBER RESPECTIVELY indirect 2000-10-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. LIMITED PARTNER, MEMBER indirect 2000-10-01
KOBRICK FUNDS LLC LIMITED PARTNER (CDCIANNA) AND MEMBER (CDCIAMUS) indirect 2000-10-01
CHAMONIX PARTNERS CAPITAL MANAGEMENT LLC OWNER indirect 2011-10-01
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER MEMBER indirect 2000-10-01 2001-01-31
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (NVEST), MEMBER (LLC) indirect 2000-10-01 2001-02-02
AEW ADVISORS INC LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-02-06
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER indirect 2000-10-01 2001-02-28
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR indirect 2000-10-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2001-03-30
NVEST ASSOCIATES INC LIMITED PARTNER (CDC IXIS) MEMBER (LLC) indirect 2000-10-01 2001-03-30
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (CDCIAM NA), MEMBER (LLC) indirect 2000-10-01 2001-08-28
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-11-16
VNSM TRUST CO LIMITED PARTNER, MEMBER indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP LIMITED PARTNER OF CDC IXIS ASSET MANAGEMENT NORTH AMERICA, L.P. AND MEMBER OF CDC IXIS ASSET MANAGEMENT US, LLC indirect 2000-10-01 2002-01-15
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2002-01-22
WESTPEAK INVESTMENT ADVISORS LP LIMITED PARTNER indirect 2000-10-01 2002-01-22
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER OF #1 AND MEMBER OF #2 indirect 2000-10-01 2002-01-28
AEW MANAGEMENT & ADVISORS LP MEMBER, PARTNER indirect 2000-10-01 2002-05-01
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER OF #1 AND MEMBER OF #2 indirect 2000-10-01 2002-05-02
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR indirect 2000-10-01 2002-06-05
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2003-02-19
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. LIMITED PARTNER indirect 2000-10-01 2004-01-13
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. SOLE MEMBER indirect 2000-10-01 2004-01-13
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01 2004-01-16
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-08
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (CDCIAM NA), MEMBER (CDCIAM US LLC) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2004-07-12
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2004-07-12
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01 2004-07-13
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2004-07-13
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2004-07-13
HARRIS ALTERNATIVES L.L.C. SOLE MEMBER indirect 2000-10-01 2004-09-24
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2004-09-24
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER indirect 2000-10-01 2004-09-27
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01 2004-09-27
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2004-09-29
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2004-09-29
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. LIMITED PARTNER (CDCIAMNA), MEMBER (CDCIAM US LLC) indirect 2000-10-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2004-11-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2004-11-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. LIMITED PARTNER (IAMNA), MEMBER (IAM US LLC) indirect 2000-10-01 2004-11-15
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2004-11-29
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2004-11-29
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01 2004-12-06
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER indirect 2000-10-01 2004-12-06
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER AND MEMBER indirect 2000-10-01 2005-03-29
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-06-28
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2005-06-28
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2005-07-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2005-07-26
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-08-05
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2005-08-09
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2005-08-09
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2005-08-17
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-08-17
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2005-12-13
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2006-01-03
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-02-16
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2006-03-31
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2006-04-04
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2006-04-18
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-09-19
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-11-30
HARRIS ALTERNATIVES L.L.C. SOLE MEMBER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2007-03-29
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2007-03-29
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER AND MEMBER indirect 2000-10-01 2007-03-29
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2007-03-29
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2007-03-30
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2007-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2007-03-30
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER/MEMBER indirect 2000-10-01 2007-03-30
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-04-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2007-05-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2007-05-01
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2007-05-07
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01 2007-05-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2007-07-13
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2007-07-13
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2007-07-20
IXIS ASSET MANAGEMENT ASIA LTD MEMBER indirect 2000-10-01 2007-08-28
IXIS ASSET MANAGEMENT ASIA LTD LIMITED PARTNER indirect 2000-10-01 2007-08-28
IXIS ASSET MANAGEMENT ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2007-11-09
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01 2007-11-09
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2008-03-28
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2008-03-28
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2008-04-03
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2008-04-03
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2008-04-03
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 2000-10-01 2008-07-18
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 2000-10-01 2008-07-18
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2009-03-30
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2009-08-10
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2009-08-10
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2010-07-07
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2010-07-07
NATIXIS CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01 2011-02-17
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) LIMITED PARTNER indirect 2000-10-01 2011-03-29
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) MEMBER indirect 2000-10-01 2011-03-29
HARRIS ASSOCIATES LP MEMBER indirect 2000-10-01 2011-03-31
HARRIS ASSOCIATES LP LIMITED PARTNER indirect 2000-10-01 2011-03-31
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2011-07-22
NATIXIS CASPIAN PRIVATE EQUITY, LLC LIMITED PARTNER indirect 2000-10-01 2011-11-18
NATIXIS CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01 2011-11-18
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2014-07-31
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2014-07-31
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2015-03-31
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2015-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2015-11-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2015-11-23

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WCM INTERNATIONAL SMALL CAP GROWTH FUND LP United States 805-9692042369 Other Private Fund LIMITED PARTNERSHIP 415,230,523 5,000,000
WCM FOCUSED GLOBAL GROWTH LONG-SHORT OFFSHORE FUND, LP United States 805-5902048016 Hedge Fund 379,258,451 5,000,000 Master Fund Fund of Funds
WCM FOCUSED EMERGING MARKETS FUND LP United States 805-9724649442 Other Private Fund LIMITED PARTNERSHIP 240,729,275 5,000,000
WCM FOCUSED INTERNATIONAL GROWTH FUND LP United States 805-5773274214 Other Private Fund LIMITED PARTNERSHIP 6,200,059,111 10,000,000
WCM FOCUSED GLOBAL GROWTH FUND LP United States 805-4097172073 Other Private Fund LIMITED PARTNERSHIP 1,020,108,541 5,000,000

WCM INVESTMENT MANAGEMENT, LLC

ownership team - last updated 2022-03-21
Name Title Start Date Direct/Indirect % Ownership
WINRICH, KURT, RANDAL CHAIRMAN 12/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT CHAIRMAN/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT PRESIDENT direct 1992-01-01 2003-06-17
WCM INVESTMENT MANAGEMENT CHAIRMAN OF THE BOARD direct 2002-12-01 2004-03-11
BLACK, PAUL, RUSSELL PRESIDENT/CEO 12/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PRESIDENT/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT SVP direct 1998-02-01 2003-06-17
WCM INVESTMENT MANAGEMENT PRESIDENT direct 2002-12-01 2004-03-11
THALIA STREET PARTNERS LLC MEMBER 06/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT, LLC MEMBER direct 2018-06-01
BREWER, DAVID, ANDREW CHIEF COMPLIANCE OFFICER, SENIOR VP 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT CHIEF COMPLIANCE OFFICER direct 2004-10-01
WCM INVESTMENT MANAGEMENT VP direct 1995-06-01 2003-06-17
WCM INVESTMENT MANAGEMENT SENIOR VP direct 2002-12-01 2004-03-11
WCM INVESTMENT MANAGEMENT SENIOR VP/CCO/COO direct 2002-12-01 2006-02-24
PAYNE, SLOANE, WALLER CHIEF OPERATIONS OFFICER, SENIOR VP 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2004-10-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2004-10-01
NATIXIS INVESTMENT MANAGERS, L.P. LIMITED PARTNER OF REGISTRANT 04/01/2019 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 1994-08-01
IXIS ASSET MANAGEMENT ADVISORS, L.P. LIMITED PARTNER direct 1994-08-01
ALPHASIMPLEX GROUP, LLC MEMBER indirect 1994-08-01
REICH & TANG ASSET MANAGEMENT,LLC 100% OWNERSHIP INTEREST direct 1994-08-01
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 1994-08-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. SHAREHOLDER indirect 1994-08-01
HARRIS ASSOCIATES LP MEMBER indirect 1995-10-01
HARRIS ASSOCIATES LP LIMITED PARTNER OF THE REGISTRANT direct 1995-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER OF APPLICANT direct 1996-05-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 1996-05-01
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 1996-05-01
AEW MANAGEMENT & ADVISORS LP MEMBER indirect 1996-12-01
JURIKA & VOYLES LP LIMITED PARTNER OF REGISTRANT direct 1997-01-01
JURIKA & VOYLES LP SHAREHOLDER indirect 1997-01-01
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER OF AEW CAP LP, SHAREHOLDER OF AEW INV direct 1997-12-01
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER OF REGISTRANT direct 1997-12-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR; MEMBER OF NATIXIS GLOBAL ASSET MANAGEMENT HOLDINGS, LLC direct 1997-12-01
AEW ADVISORS INC STOCKHOLDER AEW INV direct 1997-12-01
BACK BAY ADVISORS SOLE LIMITED PARTNER OF BACK BAY ADVISORS L.P. (APPLICANT) direct 1997-12-01
KOBRICK FUNDS LLC SOLE MEMBER direct 1999-07-01
AEW ADVISORS INC SHAREHOLDER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER direct 2001-12-01
AURORA INVESTMENT MANAGEMENT L.L.C. SHAREHOLDER indirect 2004-01-01
GATEWAY INVESTMENT ADVISERS, LLC MEMBER direct 2008-02-01
CASPIAN PRIVATE EQUITY, LLC MEMBER direct 2008-03-01
MCDONNELL INVESTMENT MANAGEMENT, LLC MEMBER direct 2012-09-01
AEW ADVISORS INC LMT PTR AEW CAP LP, STHLDR NVEST HOLDINGS direct 1997-12-01 2001-02-06
REICH & TANG ASSET MANAGEMENT LP SOLE LIMITED PARTNER OF APPLICANT direct 1997-12-01 2001-02-15
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP SHAREHOLDER indirect 1994-08-01 2001-02-26
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER direct 1997-12-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER OF AEW CAP LP direct 1997-12-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-05-01 2001-03-30
NVEST ASSOCIATES INC SHAREHOLDER indirect 1997-12-01 2001-03-30
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-12-01 2001-03-30
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER indirect 1994-08-01 2001-08-28
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER direct 1997-12-01 2001-08-28
HARRIS ASSOCIATES LP LIMITED PARTNER direct 1995-10-01 2001-11-16
HARRIS ASSOCIATES LP SHAREHOLDER indirect 1995-10-01 2001-11-16
NVEST FUNDS MANAGEMENT LP SHAREHOLDER indirect 1994-08-01 2002-01-02
NVEST FUNDS MANAGEMENT LP LIMITED PARTNER direct 1997-12-01 2002-01-02
VNSM TRUST CO LIMITED PARTNERSHIP direct 1997-12-01 2002-01-15
JURIKA & VOYLES LP SHAREHOLDER indirect 1997-12-01 2002-01-15
JURIKA & VOYLES LP SOLE LIMITED PARTNER OF REGISTRANT direct 1997-12-01 2002-01-15
WESTPEAK INVESTMENT ADVISORS LP LIMITED PARTNER direct 1993-09-01 2002-01-22
WESTPEAK GLOBAL ADVISORS, L.P. SHAREHOLDER indirect 1994-08-01 2002-01-22
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 1997-12-01 2002-03-28
AEW ADVISORS INC STHLDR AEW INV, STHLDR CDCIAM HOLDINGS direct 1997-12-01 2002-04-01
AEW MANAGEMENT & ADVISORS LP SHAREHOLDER indirect 1996-12-01 2002-05-01
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER OF CDC IXIS ASSET MANAGEMENT DISTRIBUTION CORPORATION direct 1994-08-01 2003-02-19
VNSM TRUST COMPANY LIMITED PARTNER indirect 1996-05-01 2003-03-31
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER indirect 1994-08-01 2003-08-14
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 1995-09-01 2003-10-08
HARRIS ALTERNATIVES L.L.C. SOLE SHAREHOLDER indirect 1995-10-01 2003-10-08
VAUGHAN NELSON TRUST COMPANY SHAREHOLDER indirect 1996-05-01 2004-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF CDC IXIS ASSET MANAGEMENT HOLDINGS INC direct 1997-12-01 2004-07-08
WESTPEAK GLOBAL ADVISORS, L.P. SHAREHOLDER indirect 1993-09-01 2004-07-12
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER (CDCIAM HOLDINGS) indirect 1994-08-01 2004-07-12
HARRIS ASSOCIATES LP SHAREHOLDER indirect 1995-10-01 2004-07-12
AEW MANAGEMENT & ADVISORS LP SHAREHOLDER indirect 1996-12-01 2004-07-13
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. SHAREHOLDER indirect 1996-05-01 2004-09-27
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. MEMBER indirect 1997-12-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-07-01 2004-11-11
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. MEMBER indirect 1997-12-01 2004-11-15
REICH & TANG ASSET MANAGEMENT,LLC OWNER OF A 99.5% MEMBERSHIP INTEREST IN THE APPLICANT direct 1997-12-01 2004-12-02
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. SHAREHOLDER indirect 1994-08-01 2004-12-06
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-07-01 2005-04-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF IXIS ASSET MANAGEMENT HOLDINGS INC direct 1997-12-01 2005-06-28
HANSBERGER GLOBAL INVESTORS, INC. SHAREHOLDER-SEE SCHEDULE D - MISCELLANEOUS indirect 2003-02-01 2005-08-09
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-07-01 2006-03-09
HARRIS ASSOCIATES LP SHAREHOLDER indirect 1995-10-01 2006-03-27
WESTPEAK GLOBAL ADVISORS, L.P. SHAREHOLDER indirect 1993-09-01 2006-03-30
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER OF APPLICANT direct 1993-09-01 2006-03-30
IXIS ASSET MANAGEMENT ADVISORS, L.P. SHAREHOLDER indirect 1994-08-01 2006-03-30
REICH & TANG ASSET MANAGEMENT,LLC SHAREHOLDER indirect 1994-08-01 2006-03-31
AEW MANAGEMENT & ADVISORS LP SHAREHOLDER indirect 1996-12-01 2006-04-18
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER indirect 1994-08-01 2006-09-19
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. SHAREHOLDER indirect 1996-05-01 2006-11-20
VAUGHAN NELSON TRUST COMPANY SHAREHOLDER indirect 1996-05-01 2006-11-30
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 1994-08-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 1994-08-01 2007-03-29
HARRIS ASSOCIATES LP MEMBER indirect 1995-10-01 2007-03-29
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 1996-05-01 2007-03-29
AEW MANAGEMENT & ADVISORS LP MEMBER indirect 1996-12-01 2007-03-29
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 1994-08-01 2007-03-30
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 1996-05-01 2007-03-30
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 1996-05-01 2007-03-30
REICH & TANG ASSET MANAGEMENT,LLC OWNER OF A 100% MEMBERSHIP INTEREST IN THE APPLICANT direct 1997-12-01 2007-03-30
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF IXIS ASSET MANAGEMENT HOLDINGS direct 1997-12-01 2007-04-12
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2007-04-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 1997-07-01 2007-05-01
IXIS ASSET MANAGEMENT ASIA LTD MEMBER indirect 1994-08-01 2007-08-28
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 1994-08-01 2007-11-09
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 1997-07-01 2008-03-28
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 1994-08-01 2008-05-19
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2008-07-10
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 1994-08-01 2008-07-18
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 1996-05-01 2008-07-18
HARRIS ASSOCIATES LP MEMBER indirect 1995-10-01 2008-07-24
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2009-03-30
REICH & TANG ASSET MANAGEMENT,LLC OWNER OF 100% MEMBERSHIP INTEREST IN THE APPLICANT direct 1994-08-01 2009-08-10
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER OF APPLICANT direct 1994-08-01 2010-07-07
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 1994-08-01 2010-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF NATIXIS GLOBAL ASSET MANAGEMENT HOLDINGS, LLC direct 1997-12-01 2010-07-15
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) MEMBER indirect 1994-08-01 2011-03-29
AURORA INVESTMENT MANAGEMENT L.L.C. SHAREHOLDER indirect 2004-01-01 2011-07-20
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2007-03-01 2011-07-22
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2004-01-01 2014-03-17
HANSBERGER GLOBAL INVESTORS, INC. SHAREHOLDER indirect 2007-03-01 2014-07-31
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 1997-07-01 2015-03-31
SNYDER CAPITAL MANAGEMENT LP SOLE STKHLDR OF SCMI direct 2007-06-01 2015-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER direct 1997-12-01 2015-11-23
HARRIS ASSOCIATES LP LIMITED PARTNER OF THE APPLICANT direct 1995-10-01 2016-01-29
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2004-01-01 2017-01-04
KUO, DON, KUANGLUN DEPUTY CHIEF OPERATING OFFICER, SECRETARY 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT, LLC DEPUTY CHIEF OPERATING OFFICER, SECRETARY direct 2021-01-01
JOERGER, DAVID, JOSEPH COMPLIANCE OFFICER 07/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT, LLC COMPLIANCE OFFICER direct 2021-07-01
TRIGG, MIKE, BRADY PRESIDENT, PORTFOLIO MANAGER 01/01/2022 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2013-12-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2013-12-01
PAYNE, SLOANE, WALLER ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2004-10-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2004-10-01
NATIXIS SHAREHOLDER NATIXIS INVESTMENT MANAGERS 09/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
BPCE SHAREHOLDER NATIXIS 07/01/2009 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
NATIXIS INVESTMENT MANAGERS PARTICIPATIONS 1 SHAREHOLDER NATIXIS U.S. HOLDINGS, INC. 06/01/2005 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
NATIXIS INVESTMENT MANAGERS SHAREHOLDER NATIXIS INVESTMENT MANAGERS PARTICIPATIONS 1 08/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
TRIGG, MIKE, BRADY ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2013-12-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2013-12-01
BLACK, PAUL, RUSSELL MEMBER, ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PRESIDENT/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT SVP direct 1998-02-01 2003-06-17
WCM INVESTMENT MANAGEMENT PRESIDENT direct 2002-12-01 2004-03-11
WINRICH, KURT, RANDAL MEMBER, ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT CHAIRMAN/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT PRESIDENT direct 1992-01-01 2003-06-17
WCM INVESTMENT MANAGEMENT CHAIRMAN OF THE BOARD direct 2002-12-01 2004-03-11
NATIXIS INVESTMENT MANAGERS, LLC GENERAL PARTNER NATIXIS INVESTMENT MANAGERS, L.P. 10/01/2000 Indirect Other
Fund Name Position direct/indirect start date end date
BACK BAY ADVISORS GENERAL PARTNER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY GENERAL PARTNER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC GENERAL PARTNER indirect 2000-10-01
JURIKA & VOYLES LP GENERAL PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01
AEW ADVISORS INC GENERAL PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01
KOBRICK FUNDS LLC GENERAL PARTNER indirect 2000-10-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. GENERAL PARTNER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC GENERAL PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. GENERAL PARTNER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. GENERAL PARTNER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2001-01-31
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2001-02-02
AEW ADVISORS INC PARTNER indirect 2000-10-01 2001-02-06
NVEST FUNDS MANAGEMENT LP LIMITED PARTNER & MEMBER indirect 2000-10-01 2001-02-23
NVEST FUNDS MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2001-02-23
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP GENERAL PARTNER indirect 2000-10-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2001-02-28
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2001-03-30
NVEST ASSOCIATES INC GENERAL PARTNER indirect 2000-10-01 2001-03-30
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2001-03-30
NVEST FUNDS MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2002-01-02
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER & MEMBER indirect 2000-10-01 2002-01-02
JURIKA & VOYLES LP GENERAL PARTNER indirect 2000-10-01 2002-01-15
VNSM TRUST CO GENERAL PARTNER indirect 2000-10-01 2002-01-15
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2002-01-22
REICH & TANG ASSET MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2002-01-28
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER OF CDCIAMNA indirect 2000-10-01 2002-05-02
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2003-08-14
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. GENERAL PARTNER indirect 2000-10-01 2004-01-13
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2004-04-05
VNSM TRUST COMPANY GENERAL PARTNER indirect 2000-10-01 2004-07-07
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2004-07-08
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2004-07-12
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER (CDCIAM NA) indirect 2000-10-01 2004-07-12
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01 2004-07-12
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01 2004-07-13
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2004-07-13
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP GENERAL PARTNER indirect 2000-10-01 2004-09-27
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01 2004-09-29
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. GENERAL PARTNER indirect 2000-10-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2004-11-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2004-11-01
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. GENERAL PARTNER indirect 2000-10-01 2004-11-15
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2004-11-29
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. GENERAL PARTNER indirect 2000-10-01 2004-12-06
HARRIS ALTERNATIVES L.L.C. GENERAL PARTNER indirect 2000-10-01 2004-12-09
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. GENERAL PARTNER indirect 2000-10-01 2005-03-29
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2005-06-28
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2005-06-28
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2005-07-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2005-07-26
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01 2005-08-05
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2005-08-09
VAUGHAN NELSON TRUST COMPANY GENERAL PARTNER indirect 2000-10-01 2005-08-17
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01 2005-08-17
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2005-09-13
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2005-12-13
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01 2006-01-03
HARRIS ALTERNATIVES L.L.C. GENERAL PARTNER indirect 2000-10-01 2006-04-04
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2006-09-19
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. GENERAL PARTNER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2007-03-29
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2007-03-29
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01 2007-03-29
HARRIS ALTERNATIVES L.L.C. GENERAL PARTNER indirect 2000-10-01 2007-03-29
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2007-03-29
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2007-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2007-03-30
VAUGHAN NELSON TRUST COMPANY GENERAL PARTNER indirect 2000-10-01 2007-03-30
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01 2007-03-30
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2007-04-12
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2007-05-01
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01 2007-05-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2007-07-13
IXIS ASSET MANAGEMENT ASIA LTD GENERAL PARTNER indirect 2000-10-01 2007-08-28
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2007-11-09
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2008-03-28
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01 2008-04-03
VAUGHAN NELSON TRUST COMPANY GENERAL PARTNER indirect 2000-10-01 2008-07-18
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01 2008-07-24
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2009-03-30
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2009-08-10
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2010-07-07
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) GENERAL PARTNER indirect 2000-10-01 2011-03-29
NATIXIS CASPIAN PRIVATE EQUITY, LLC GENERAL PARTNER indirect 2000-10-01 2011-11-18
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2014-07-31
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2015-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2015-11-23
NATIXIS U.S. HOLDINGS, INC. MEMBER NATIXIS INVESTMENT MANAGERS, LLC 10/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER, MEMBER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 2000-10-01
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01
NGAM ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01
HARRIS ASSOCIATES LP MEMBER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. LIMITED PARTNER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC MEMBER indirect 2000-10-01
AEW ADVISORS INC LIMITED PARTNER, MEMBER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2000-10-01
HARRIS ASSOCIATES LP LIMITED PARTNER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC LIMITED PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC LIMITED PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC MEMBER indirect 2000-10-01
JURIKA & VOYLES LP LIMITED PARTNER OF CDCIAMNA AND MEMBER OF CDCIAM US LLC indirect 2000-10-01
BACK BAY ADVISORS LIMITED PARTNER AND MEMBER RESPECTIVELY indirect 2000-10-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. LIMITED PARTNER, MEMBER indirect 2000-10-01
KOBRICK FUNDS LLC LIMITED PARTNER (CDCIANNA) AND MEMBER (CDCIAMUS) indirect 2000-10-01
CHAMONIX PARTNERS CAPITAL MANAGEMENT LLC OWNER indirect 2011-10-01
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER MEMBER indirect 2000-10-01 2001-01-31
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (NVEST), MEMBER (LLC) indirect 2000-10-01 2001-02-02
AEW ADVISORS INC LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-02-06
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER indirect 2000-10-01 2001-02-28
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR indirect 2000-10-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2001-03-30
NVEST ASSOCIATES INC LIMITED PARTNER (CDC IXIS) MEMBER (LLC) indirect 2000-10-01 2001-03-30
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (CDCIAM NA), MEMBER (LLC) indirect 2000-10-01 2001-08-28
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-11-16
VNSM TRUST CO LIMITED PARTNER, MEMBER indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP LIMITED PARTNER OF CDC IXIS ASSET MANAGEMENT NORTH AMERICA, L.P. AND MEMBER OF CDC IXIS ASSET MANAGEMENT US, LLC indirect 2000-10-01 2002-01-15
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2002-01-22
WESTPEAK INVESTMENT ADVISORS LP LIMITED PARTNER indirect 2000-10-01 2002-01-22
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER OF #1 AND MEMBER OF #2 indirect 2000-10-01 2002-01-28
AEW MANAGEMENT & ADVISORS LP MEMBER, PARTNER indirect 2000-10-01 2002-05-01
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER OF #1 AND MEMBER OF #2 indirect 2000-10-01 2002-05-02
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR indirect 2000-10-01 2002-06-05
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2003-02-19
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. LIMITED PARTNER indirect 2000-10-01 2004-01-13
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. SOLE MEMBER indirect 2000-10-01 2004-01-13
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01 2004-01-16
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-08
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (CDCIAM NA), MEMBER (CDCIAM US LLC) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2004-07-12
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2004-07-12
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01 2004-07-13
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2004-07-13
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2004-07-13
HARRIS ALTERNATIVES L.L.C. SOLE MEMBER indirect 2000-10-01 2004-09-24
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2004-09-24
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER indirect 2000-10-01 2004-09-27
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01 2004-09-27
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2004-09-29
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2004-09-29
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. LIMITED PARTNER (CDCIAMNA), MEMBER (CDCIAM US LLC) indirect 2000-10-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2004-11-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2004-11-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. LIMITED PARTNER (IAMNA), MEMBER (IAM US LLC) indirect 2000-10-01 2004-11-15
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2004-11-29
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2004-11-29
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01 2004-12-06
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER indirect 2000-10-01 2004-12-06
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER AND MEMBER indirect 2000-10-01 2005-03-29
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-06-28
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2005-06-28
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2005-07-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2005-07-26
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-08-05
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2005-08-09
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2005-08-09
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2005-08-17
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-08-17
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2005-12-13
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2006-01-03
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-02-16
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2006-03-31
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2006-04-04
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2006-04-18
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-09-19
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-11-30
HARRIS ALTERNATIVES L.L.C. SOLE MEMBER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2007-03-29
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2007-03-29
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER AND MEMBER indirect 2000-10-01 2007-03-29
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2007-03-29
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2007-03-30
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2007-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2007-03-30
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER/MEMBER indirect 2000-10-01 2007-03-30
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-04-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2007-05-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2007-05-01
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2007-05-07
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01 2007-05-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2007-07-13
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2007-07-13
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2007-07-20
IXIS ASSET MANAGEMENT ASIA LTD MEMBER indirect 2000-10-01 2007-08-28
IXIS ASSET MANAGEMENT ASIA LTD LIMITED PARTNER indirect 2000-10-01 2007-08-28
IXIS ASSET MANAGEMENT ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2007-11-09
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01 2007-11-09
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2008-03-28
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2008-03-28
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2008-04-03
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2008-04-03
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2008-04-03
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 2000-10-01 2008-07-18
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 2000-10-01 2008-07-18
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2009-03-30
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2009-08-10
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2009-08-10
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2010-07-07
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2010-07-07
NATIXIS CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01 2011-02-17
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) LIMITED PARTNER indirect 2000-10-01 2011-03-29
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) MEMBER indirect 2000-10-01 2011-03-29
HARRIS ASSOCIATES LP MEMBER indirect 2000-10-01 2011-03-31
HARRIS ASSOCIATES LP LIMITED PARTNER indirect 2000-10-01 2011-03-31
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2011-07-22
NATIXIS CASPIAN PRIVATE EQUITY, LLC LIMITED PARTNER indirect 2000-10-01 2011-11-18
NATIXIS CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01 2011-11-18
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2014-07-31
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2014-07-31
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2015-03-31
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2015-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2015-11-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2015-11-23
NATIXIS U.S. HOLDINGS, INC. LIMITED PARTNER NATIXIS INVESTMENT MANAGERS, L.P. 10/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER, MEMBER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 2000-10-01
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01
NGAM ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01
HARRIS ASSOCIATES LP MEMBER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. LIMITED PARTNER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC MEMBER indirect 2000-10-01
AEW ADVISORS INC LIMITED PARTNER, MEMBER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2000-10-01
HARRIS ASSOCIATES LP LIMITED PARTNER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC LIMITED PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC LIMITED PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC MEMBER indirect 2000-10-01
JURIKA & VOYLES LP LIMITED PARTNER OF CDCIAMNA AND MEMBER OF CDCIAM US LLC indirect 2000-10-01
BACK BAY ADVISORS LIMITED PARTNER AND MEMBER RESPECTIVELY indirect 2000-10-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. LIMITED PARTNER, MEMBER indirect 2000-10-01
KOBRICK FUNDS LLC LIMITED PARTNER (CDCIANNA) AND MEMBER (CDCIAMUS) indirect 2000-10-01
CHAMONIX PARTNERS CAPITAL MANAGEMENT LLC OWNER indirect 2011-10-01
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER MEMBER indirect 2000-10-01 2001-01-31
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (NVEST), MEMBER (LLC) indirect 2000-10-01 2001-02-02
AEW ADVISORS INC LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-02-06
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER indirect 2000-10-01 2001-02-28
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR indirect 2000-10-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2001-03-30
NVEST ASSOCIATES INC LIMITED PARTNER (CDC IXIS) MEMBER (LLC) indirect 2000-10-01 2001-03-30
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (CDCIAM NA), MEMBER (LLC) indirect 2000-10-01 2001-08-28
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-11-16
VNSM TRUST CO LIMITED PARTNER, MEMBER indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP LIMITED PARTNER OF CDC IXIS ASSET MANAGEMENT NORTH AMERICA, L.P. AND MEMBER OF CDC IXIS ASSET MANAGEMENT US, LLC indirect 2000-10-01 2002-01-15
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2002-01-22
WESTPEAK INVESTMENT ADVISORS LP LIMITED PARTNER indirect 2000-10-01 2002-01-22
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER OF #1 AND MEMBER OF #2 indirect 2000-10-01 2002-01-28
AEW MANAGEMENT & ADVISORS LP MEMBER, PARTNER indirect 2000-10-01 2002-05-01
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER OF #1 AND MEMBER OF #2 indirect 2000-10-01 2002-05-02
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR indirect 2000-10-01 2002-06-05
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2003-02-19
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. LIMITED PARTNER indirect 2000-10-01 2004-01-13
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. SOLE MEMBER indirect 2000-10-01 2004-01-13
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01 2004-01-16
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-08
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (CDCIAM NA), MEMBER (CDCIAM US LLC) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2004-07-12
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2004-07-12
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01 2004-07-13
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2004-07-13
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2004-07-13
HARRIS ALTERNATIVES L.L.C. SOLE MEMBER indirect 2000-10-01 2004-09-24
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2004-09-24
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER indirect 2000-10-01 2004-09-27
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01 2004-09-27
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2004-09-29
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2004-09-29
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. LIMITED PARTNER (CDCIAMNA), MEMBER (CDCIAM US LLC) indirect 2000-10-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2004-11-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2004-11-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. LIMITED PARTNER (IAMNA), MEMBER (IAM US LLC) indirect 2000-10-01 2004-11-15
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2004-11-29
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2004-11-29
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01 2004-12-06
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER indirect 2000-10-01 2004-12-06
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER AND MEMBER indirect 2000-10-01 2005-03-29
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-06-28
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2005-06-28
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2005-07-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2005-07-26
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-08-05
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2005-08-09
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2005-08-09
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2005-08-17
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-08-17
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2005-12-13
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2006-01-03
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-02-16
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2006-03-31
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2006-04-04
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2006-04-18
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-09-19
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-11-30
HARRIS ALTERNATIVES L.L.C. SOLE MEMBER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2007-03-29
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2007-03-29
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER AND MEMBER indirect 2000-10-01 2007-03-29
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2007-03-29
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2007-03-30
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2007-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2007-03-30
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER/MEMBER indirect 2000-10-01 2007-03-30
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-04-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2007-05-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2007-05-01
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2007-05-07
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01 2007-05-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2007-07-13
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2007-07-13
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2007-07-20
IXIS ASSET MANAGEMENT ASIA LTD MEMBER indirect 2000-10-01 2007-08-28
IXIS ASSET MANAGEMENT ASIA LTD LIMITED PARTNER indirect 2000-10-01 2007-08-28
IXIS ASSET MANAGEMENT ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2007-11-09
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01 2007-11-09
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2008-03-28
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2008-03-28
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2008-04-03
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2008-04-03
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2008-04-03
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 2000-10-01 2008-07-18
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 2000-10-01 2008-07-18
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2009-03-30
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2009-08-10
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2009-08-10
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2010-07-07
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2010-07-07
NATIXIS CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01 2011-02-17
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) LIMITED PARTNER indirect 2000-10-01 2011-03-29
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) MEMBER indirect 2000-10-01 2011-03-29
HARRIS ASSOCIATES LP MEMBER indirect 2000-10-01 2011-03-31
HARRIS ASSOCIATES LP LIMITED PARTNER indirect 2000-10-01 2011-03-31
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2011-07-22
NATIXIS CASPIAN PRIVATE EQUITY, LLC LIMITED PARTNER indirect 2000-10-01 2011-11-18
NATIXIS CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01 2011-11-18
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2014-07-31
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2014-07-31
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2015-03-31
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2015-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2015-11-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2015-11-23

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WCM INTERNATIONAL SMALL CAP GROWTH FUND LP United States 805-9692042369 Other Private Fund LIMITED PARTNERSHIP 415,230,523 5,000,000
WCM FOCUSED GLOBAL GROWTH LONG-SHORT OFFSHORE FUND, LP United States 805-5902048016 Hedge Fund 379,258,451 5,000,000 Master Fund Fund of Funds
WCM FOCUSED EMERGING MARKETS FUND LP United States 805-9724649442 Other Private Fund LIMITED PARTNERSHIP 240,729,275 5,000,000
WCM FOCUSED INTERNATIONAL GROWTH FUND LP United States 805-5773274214 Other Private Fund LIMITED PARTNERSHIP 6,200,059,111 10,000,000
WCM FOCUSED GLOBAL GROWTH FUND LP United States 805-4097172073 Other Private Fund LIMITED PARTNERSHIP 1,020,108,541 5,000,000

WCM INVESTMENT MANAGEMENT, LLC

ownership team - last updated 2021-07-07
Name Title Start Date Direct/Indirect % Ownership
WINRICH, KURT, RANDAL CHAIRMAN/CO-CEO 12/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT CHAIRMAN/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT PRESIDENT direct 1992-01-01 2003-06-17
WCM INVESTMENT MANAGEMENT CHAIRMAN OF THE BOARD direct 2002-12-01 2004-03-11
BLACK, PAUL, RUSSELL PRESIDENT/CO-CEO 12/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PRESIDENT/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT SVP direct 1998-02-01 2003-06-17
WCM INVESTMENT MANAGEMENT PRESIDENT direct 2002-12-01 2004-03-11
THALIA STREET PARTNERS LLC MEMBER 06/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT, LLC MEMBER direct 2018-06-01
BREWER, DAVID, ANDREW CHIEF COMPLIANCE OFFICER, SENIOR VP 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT CHIEF COMPLIANCE OFFICER direct 2004-10-01
WCM INVESTMENT MANAGEMENT VP direct 1995-06-01 2003-06-17
WCM INVESTMENT MANAGEMENT SENIOR VP direct 2002-12-01 2004-03-11
WCM INVESTMENT MANAGEMENT SENIOR VP/CCO/COO direct 2002-12-01 2006-02-24
PAYNE, SLOANE, WALLER CHIEF OPERATIONS OFFICER, SENIOR VP 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2004-10-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2004-10-01
NATIXIS INVESTMENT MANAGERS, L.P. LIMITED PARTNER OF REGISTRANT 04/01/2019 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 1994-08-01
IXIS ASSET MANAGEMENT ADVISORS, L.P. LIMITED PARTNER direct 1994-08-01
ALPHASIMPLEX GROUP, LLC MEMBER indirect 1994-08-01
REICH & TANG ASSET MANAGEMENT,LLC 100% OWNERSHIP INTEREST direct 1994-08-01
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 1994-08-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. SHAREHOLDER indirect 1994-08-01
HARRIS ASSOCIATES LP MEMBER indirect 1995-10-01
HARRIS ASSOCIATES LP LIMITED PARTNER OF THE REGISTRANT direct 1995-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER OF APPLICANT direct 1996-05-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 1996-05-01
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 1996-05-01
AEW MANAGEMENT & ADVISORS LP MEMBER indirect 1996-12-01
JURIKA & VOYLES LP LIMITED PARTNER OF REGISTRANT direct 1997-01-01
JURIKA & VOYLES LP SHAREHOLDER indirect 1997-01-01
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER OF AEW CAP LP, SHAREHOLDER OF AEW INV direct 1997-12-01
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER OF REGISTRANT direct 1997-12-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR; MEMBER OF NATIXIS GLOBAL ASSET MANAGEMENT HOLDINGS, LLC direct 1997-12-01
AEW ADVISORS INC STOCKHOLDER AEW INV direct 1997-12-01
BACK BAY ADVISORS SOLE LIMITED PARTNER OF BACK BAY ADVISORS L.P. (APPLICANT) direct 1997-12-01
KOBRICK FUNDS LLC SOLE MEMBER direct 1999-07-01
AEW ADVISORS INC SHAREHOLDER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER direct 2001-12-01
AURORA INVESTMENT MANAGEMENT L.L.C. SHAREHOLDER indirect 2004-01-01
GATEWAY INVESTMENT ADVISERS, LLC MEMBER direct 2008-02-01
CASPIAN PRIVATE EQUITY, LLC MEMBER direct 2008-03-01
MCDONNELL INVESTMENT MANAGEMENT, LLC MEMBER direct 2012-09-01
AEW ADVISORS INC LMT PTR AEW CAP LP, STHLDR NVEST HOLDINGS direct 1997-12-01 2001-02-06
REICH & TANG ASSET MANAGEMENT LP SOLE LIMITED PARTNER OF APPLICANT direct 1997-12-01 2001-02-15
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP SHAREHOLDER indirect 1994-08-01 2001-02-26
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER direct 1997-12-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER OF AEW CAP LP direct 1997-12-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-05-01 2001-03-30
NVEST ASSOCIATES INC SHAREHOLDER indirect 1997-12-01 2001-03-30
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-12-01 2001-03-30
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER indirect 1994-08-01 2001-08-28
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER direct 1997-12-01 2001-08-28
HARRIS ASSOCIATES LP LIMITED PARTNER direct 1995-10-01 2001-11-16
HARRIS ASSOCIATES LP SHAREHOLDER indirect 1995-10-01 2001-11-16
NVEST FUNDS MANAGEMENT LP SHAREHOLDER indirect 1994-08-01 2002-01-02
NVEST FUNDS MANAGEMENT LP LIMITED PARTNER direct 1997-12-01 2002-01-02
VNSM TRUST CO LIMITED PARTNERSHIP direct 1997-12-01 2002-01-15
JURIKA & VOYLES LP SHAREHOLDER indirect 1997-12-01 2002-01-15
JURIKA & VOYLES LP SOLE LIMITED PARTNER OF REGISTRANT direct 1997-12-01 2002-01-15
WESTPEAK INVESTMENT ADVISORS LP LIMITED PARTNER direct 1993-09-01 2002-01-22
WESTPEAK GLOBAL ADVISORS, L.P. SHAREHOLDER indirect 1994-08-01 2002-01-22
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 1997-12-01 2002-03-28
AEW ADVISORS INC STHLDR AEW INV, STHLDR CDCIAM HOLDINGS direct 1997-12-01 2002-04-01
AEW MANAGEMENT & ADVISORS LP SHAREHOLDER indirect 1996-12-01 2002-05-01
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER OF CDC IXIS ASSET MANAGEMENT DISTRIBUTION CORPORATION direct 1994-08-01 2003-02-19
VNSM TRUST COMPANY LIMITED PARTNER indirect 1996-05-01 2003-03-31
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER indirect 1994-08-01 2003-08-14
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 1995-09-01 2003-10-08
HARRIS ALTERNATIVES L.L.C. SOLE SHAREHOLDER indirect 1995-10-01 2003-10-08
VAUGHAN NELSON TRUST COMPANY SHAREHOLDER indirect 1996-05-01 2004-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF CDC IXIS ASSET MANAGEMENT HOLDINGS INC direct 1997-12-01 2004-07-08
WESTPEAK GLOBAL ADVISORS, L.P. SHAREHOLDER indirect 1993-09-01 2004-07-12
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER (CDCIAM HOLDINGS) indirect 1994-08-01 2004-07-12
HARRIS ASSOCIATES LP SHAREHOLDER indirect 1995-10-01 2004-07-12
AEW MANAGEMENT & ADVISORS LP SHAREHOLDER indirect 1996-12-01 2004-07-13
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. SHAREHOLDER indirect 1996-05-01 2004-09-27
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. MEMBER indirect 1997-12-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-07-01 2004-11-11
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. MEMBER indirect 1997-12-01 2004-11-15
REICH & TANG ASSET MANAGEMENT,LLC OWNER OF A 99.5% MEMBERSHIP INTEREST IN THE APPLICANT direct 1997-12-01 2004-12-02
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. SHAREHOLDER indirect 1994-08-01 2004-12-06
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-07-01 2005-04-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF IXIS ASSET MANAGEMENT HOLDINGS INC direct 1997-12-01 2005-06-28
HANSBERGER GLOBAL INVESTORS, INC. SHAREHOLDER-SEE SCHEDULE D - MISCELLANEOUS indirect 2003-02-01 2005-08-09
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-07-01 2006-03-09
HARRIS ASSOCIATES LP SHAREHOLDER indirect 1995-10-01 2006-03-27
WESTPEAK GLOBAL ADVISORS, L.P. SHAREHOLDER indirect 1993-09-01 2006-03-30
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER OF APPLICANT direct 1993-09-01 2006-03-30
IXIS ASSET MANAGEMENT ADVISORS, L.P. SHAREHOLDER indirect 1994-08-01 2006-03-30
REICH & TANG ASSET MANAGEMENT,LLC SHAREHOLDER indirect 1994-08-01 2006-03-31
AEW MANAGEMENT & ADVISORS LP SHAREHOLDER indirect 1996-12-01 2006-04-18
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER indirect 1994-08-01 2006-09-19
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. SHAREHOLDER indirect 1996-05-01 2006-11-20
VAUGHAN NELSON TRUST COMPANY SHAREHOLDER indirect 1996-05-01 2006-11-30
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 1994-08-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 1994-08-01 2007-03-29
HARRIS ASSOCIATES LP MEMBER indirect 1995-10-01 2007-03-29
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 1996-05-01 2007-03-29
AEW MANAGEMENT & ADVISORS LP MEMBER indirect 1996-12-01 2007-03-29
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 1994-08-01 2007-03-30
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 1996-05-01 2007-03-30
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 1996-05-01 2007-03-30
REICH & TANG ASSET MANAGEMENT,LLC OWNER OF A 100% MEMBERSHIP INTEREST IN THE APPLICANT direct 1997-12-01 2007-03-30
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF IXIS ASSET MANAGEMENT HOLDINGS direct 1997-12-01 2007-04-12
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2007-04-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 1997-07-01 2007-05-01
IXIS ASSET MANAGEMENT ASIA LTD MEMBER indirect 1994-08-01 2007-08-28
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 1994-08-01 2007-11-09
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 1997-07-01 2008-03-28
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 1994-08-01 2008-05-19
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2008-07-10
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 1994-08-01 2008-07-18
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 1996-05-01 2008-07-18
HARRIS ASSOCIATES LP MEMBER indirect 1995-10-01 2008-07-24
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2009-03-30
REICH & TANG ASSET MANAGEMENT,LLC OWNER OF 100% MEMBERSHIP INTEREST IN THE APPLICANT direct 1994-08-01 2009-08-10
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER OF APPLICANT direct 1994-08-01 2010-07-07
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 1994-08-01 2010-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF NATIXIS GLOBAL ASSET MANAGEMENT HOLDINGS, LLC direct 1997-12-01 2010-07-15
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) MEMBER indirect 1994-08-01 2011-03-29
AURORA INVESTMENT MANAGEMENT L.L.C. SHAREHOLDER indirect 2004-01-01 2011-07-20
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2007-03-01 2011-07-22
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2004-01-01 2014-03-17
HANSBERGER GLOBAL INVESTORS, INC. SHAREHOLDER indirect 2007-03-01 2014-07-31
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 1997-07-01 2015-03-31
SNYDER CAPITAL MANAGEMENT LP SOLE STKHLDR OF SCMI direct 2007-06-01 2015-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER direct 1997-12-01 2015-11-23
HARRIS ASSOCIATES LP LIMITED PARTNER OF THE APPLICANT direct 1995-10-01 2016-01-29
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2004-01-01 2017-01-04
KUO, DON, KUANGLUN DEPUTY CHIEF OPERATING OFFICER, SECRETARY 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT, LLC DEPUTY CHIEF OPERATING OFFICER, SECRETARY direct 2021-01-01
TRIGG, MIKE, BRADY SENIOR VP, PORTFOLIO MANAGER 12/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2013-12-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2013-12-01
Joerger, David, Joseph COMPLIANCE OFFICER 07/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT, LLC COMPLIANCE OFFICER direct 2021-07-01
PAYNE, SLOANE, WALLER ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2004-10-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2004-10-01
NATIXIS SHAREHOLDER NATIXIS INVESTMENT MANAGERS 09/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
BPCE SHAREHOLDER NATIXIS 07/01/2009 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
NATIXIS INVESTMENT MANAGERS PARTICIPATIONS 1 SHAREHOLDER NATIXIS U.S. HOLDINGS, INC. 06/01/2005 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
NATIXIS INVESTMENT MANAGERS SHAREHOLDER NATIXIS INVESTMENT MANAGERS PARTICIPATIONS 1 08/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
TRIGG, MIKE, BRADY ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2013-12-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2013-12-01
BLACK, PAUL, RUSSELL MEMBER, ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PRESIDENT/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT SVP direct 1998-02-01 2003-06-17
WCM INVESTMENT MANAGEMENT PRESIDENT direct 2002-12-01 2004-03-11
WINRICH, KURT, RANDAL MEMBER, ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT CHAIRMAN/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT PRESIDENT direct 1992-01-01 2003-06-17
WCM INVESTMENT MANAGEMENT CHAIRMAN OF THE BOARD direct 2002-12-01 2004-03-11
NATIXIS INVESTMENT MANAGERS, LLC GENERAL PARTNER NATIXIS INVESTMENT MANAGERS, L.P. 10/01/2000 Indirect Other
Fund Name Position direct/indirect start date end date
BACK BAY ADVISORS GENERAL PARTNER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY GENERAL PARTNER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC GENERAL PARTNER indirect 2000-10-01
JURIKA & VOYLES LP GENERAL PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01
AEW ADVISORS INC GENERAL PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01
KOBRICK FUNDS LLC GENERAL PARTNER indirect 2000-10-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. GENERAL PARTNER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC GENERAL PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. GENERAL PARTNER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. GENERAL PARTNER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2001-01-31
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2001-02-02
AEW ADVISORS INC PARTNER indirect 2000-10-01 2001-02-06
NVEST FUNDS MANAGEMENT LP LIMITED PARTNER & MEMBER indirect 2000-10-01 2001-02-23
NVEST FUNDS MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2001-02-23
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP GENERAL PARTNER indirect 2000-10-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2001-02-28
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2001-03-30
NVEST ASSOCIATES INC GENERAL PARTNER indirect 2000-10-01 2001-03-30
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2001-03-30
NVEST FUNDS MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2002-01-02
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER & MEMBER indirect 2000-10-01 2002-01-02
JURIKA & VOYLES LP GENERAL PARTNER indirect 2000-10-01 2002-01-15
VNSM TRUST CO GENERAL PARTNER indirect 2000-10-01 2002-01-15
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2002-01-22
REICH & TANG ASSET MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2002-01-28
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER OF CDCIAMNA indirect 2000-10-01 2002-05-02
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2003-08-14
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. GENERAL PARTNER indirect 2000-10-01 2004-01-13
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2004-04-05
VNSM TRUST COMPANY GENERAL PARTNER indirect 2000-10-01 2004-07-07
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2004-07-08
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2004-07-12
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER (CDCIAM NA) indirect 2000-10-01 2004-07-12
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01 2004-07-12
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01 2004-07-13
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2004-07-13
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP GENERAL PARTNER indirect 2000-10-01 2004-09-27
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01 2004-09-29
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. GENERAL PARTNER indirect 2000-10-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2004-11-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2004-11-01
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. GENERAL PARTNER indirect 2000-10-01 2004-11-15
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2004-11-29
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. GENERAL PARTNER indirect 2000-10-01 2004-12-06
HARRIS ALTERNATIVES L.L.C. GENERAL PARTNER indirect 2000-10-01 2004-12-09
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. GENERAL PARTNER indirect 2000-10-01 2005-03-29
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2005-06-28
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2005-06-28
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2005-07-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2005-07-26
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01 2005-08-05
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2005-08-09
VAUGHAN NELSON TRUST COMPANY GENERAL PARTNER indirect 2000-10-01 2005-08-17
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01 2005-08-17
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2005-09-13
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2005-12-13
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01 2006-01-03
HARRIS ALTERNATIVES L.L.C. GENERAL PARTNER indirect 2000-10-01 2006-04-04
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2006-09-19
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. GENERAL PARTNER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2007-03-29
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2007-03-29
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01 2007-03-29
HARRIS ALTERNATIVES L.L.C. GENERAL PARTNER indirect 2000-10-01 2007-03-29
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2007-03-29
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2007-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2007-03-30
VAUGHAN NELSON TRUST COMPANY GENERAL PARTNER indirect 2000-10-01 2007-03-30
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01 2007-03-30
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2007-04-12
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2007-05-01
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01 2007-05-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2007-07-13
IXIS ASSET MANAGEMENT ASIA LTD GENERAL PARTNER indirect 2000-10-01 2007-08-28
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2007-11-09
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2008-03-28
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01 2008-04-03
VAUGHAN NELSON TRUST COMPANY GENERAL PARTNER indirect 2000-10-01 2008-07-18
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01 2008-07-24
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2009-03-30
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2009-08-10
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2010-07-07
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) GENERAL PARTNER indirect 2000-10-01 2011-03-29
NATIXIS CASPIAN PRIVATE EQUITY, LLC GENERAL PARTNER indirect 2000-10-01 2011-11-18
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2014-07-31
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2015-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2015-11-23
NATIXIS U.S. HOLDINGS, INC. LIMITED PARTNER NATIXIS INVESTMENT MANAGERS, L.P. 10/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER, MEMBER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 2000-10-01
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01
NGAM ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01
HARRIS ASSOCIATES LP MEMBER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. LIMITED PARTNER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC MEMBER indirect 2000-10-01
AEW ADVISORS INC LIMITED PARTNER, MEMBER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2000-10-01
HARRIS ASSOCIATES LP LIMITED PARTNER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC LIMITED PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC LIMITED PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC MEMBER indirect 2000-10-01
JURIKA & VOYLES LP LIMITED PARTNER OF CDCIAMNA AND MEMBER OF CDCIAM US LLC indirect 2000-10-01
BACK BAY ADVISORS LIMITED PARTNER AND MEMBER RESPECTIVELY indirect 2000-10-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. LIMITED PARTNER, MEMBER indirect 2000-10-01
KOBRICK FUNDS LLC LIMITED PARTNER (CDCIANNA) AND MEMBER (CDCIAMUS) indirect 2000-10-01
CHAMONIX PARTNERS CAPITAL MANAGEMENT LLC OWNER indirect 2011-10-01
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER MEMBER indirect 2000-10-01 2001-01-31
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (NVEST), MEMBER (LLC) indirect 2000-10-01 2001-02-02
AEW ADVISORS INC LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-02-06
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER indirect 2000-10-01 2001-02-28
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR indirect 2000-10-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2001-03-30
NVEST ASSOCIATES INC LIMITED PARTNER (CDC IXIS) MEMBER (LLC) indirect 2000-10-01 2001-03-30
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (CDCIAM NA), MEMBER (LLC) indirect 2000-10-01 2001-08-28
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-11-16
VNSM TRUST CO LIMITED PARTNER, MEMBER indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP LIMITED PARTNER OF CDC IXIS ASSET MANAGEMENT NORTH AMERICA, L.P. AND MEMBER OF CDC IXIS ASSET MANAGEMENT US, LLC indirect 2000-10-01 2002-01-15
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2002-01-22
WESTPEAK INVESTMENT ADVISORS LP LIMITED PARTNER indirect 2000-10-01 2002-01-22
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER OF #1 AND MEMBER OF #2 indirect 2000-10-01 2002-01-28
AEW MANAGEMENT & ADVISORS LP MEMBER, PARTNER indirect 2000-10-01 2002-05-01
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER OF #1 AND MEMBER OF #2 indirect 2000-10-01 2002-05-02
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR indirect 2000-10-01 2002-06-05
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2003-02-19
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. LIMITED PARTNER indirect 2000-10-01 2004-01-13
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. SOLE MEMBER indirect 2000-10-01 2004-01-13
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01 2004-01-16
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-08
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (CDCIAM NA), MEMBER (CDCIAM US LLC) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2004-07-12
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2004-07-12
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01 2004-07-13
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2004-07-13
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2004-07-13
HARRIS ALTERNATIVES L.L.C. SOLE MEMBER indirect 2000-10-01 2004-09-24
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2004-09-24
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER indirect 2000-10-01 2004-09-27
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01 2004-09-27
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2004-09-29
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2004-09-29
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. LIMITED PARTNER (CDCIAMNA), MEMBER (CDCIAM US LLC) indirect 2000-10-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2004-11-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2004-11-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. LIMITED PARTNER (IAMNA), MEMBER (IAM US LLC) indirect 2000-10-01 2004-11-15
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2004-11-29
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2004-11-29
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01 2004-12-06
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER indirect 2000-10-01 2004-12-06
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER AND MEMBER indirect 2000-10-01 2005-03-29
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-06-28
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2005-06-28
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2005-07-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2005-07-26
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-08-05
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2005-08-09
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2005-08-09
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2005-08-17
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-08-17
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2005-12-13
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2006-01-03
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-02-16
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2006-03-31
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2006-04-04
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2006-04-18
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-09-19
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-11-30
HARRIS ALTERNATIVES L.L.C. SOLE MEMBER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2007-03-29
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2007-03-29
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER AND MEMBER indirect 2000-10-01 2007-03-29
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2007-03-29
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2007-03-30
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2007-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2007-03-30
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER/MEMBER indirect 2000-10-01 2007-03-30
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-04-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2007-05-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2007-05-01
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2007-05-07
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01 2007-05-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2007-07-13
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2007-07-13
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2007-07-20
IXIS ASSET MANAGEMENT ASIA LTD MEMBER indirect 2000-10-01 2007-08-28
IXIS ASSET MANAGEMENT ASIA LTD LIMITED PARTNER indirect 2000-10-01 2007-08-28
IXIS ASSET MANAGEMENT ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2007-11-09
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01 2007-11-09
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2008-03-28
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2008-03-28
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2008-04-03
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2008-04-03
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2008-04-03
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 2000-10-01 2008-07-18
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 2000-10-01 2008-07-18
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2009-03-30
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2009-08-10
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2009-08-10
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2010-07-07
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2010-07-07
NATIXIS CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01 2011-02-17
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) LIMITED PARTNER indirect 2000-10-01 2011-03-29
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) MEMBER indirect 2000-10-01 2011-03-29
HARRIS ASSOCIATES LP MEMBER indirect 2000-10-01 2011-03-31
HARRIS ASSOCIATES LP LIMITED PARTNER indirect 2000-10-01 2011-03-31
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2011-07-22
NATIXIS CASPIAN PRIVATE EQUITY, LLC LIMITED PARTNER indirect 2000-10-01 2011-11-18
NATIXIS CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01 2011-11-18
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2014-07-31
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2014-07-31
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2015-03-31
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2015-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2015-11-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2015-11-23
NATIXIS U.S. HOLDINGS, INC. MEMBER NATIXIS INVESTMENT MANAGERS, LLC 10/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER, MEMBER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 2000-10-01
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01
NGAM ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01
HARRIS ASSOCIATES LP MEMBER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. LIMITED PARTNER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC MEMBER indirect 2000-10-01
AEW ADVISORS INC LIMITED PARTNER, MEMBER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2000-10-01
HARRIS ASSOCIATES LP LIMITED PARTNER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC LIMITED PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC LIMITED PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC MEMBER indirect 2000-10-01
JURIKA & VOYLES LP LIMITED PARTNER OF CDCIAMNA AND MEMBER OF CDCIAM US LLC indirect 2000-10-01
BACK BAY ADVISORS LIMITED PARTNER AND MEMBER RESPECTIVELY indirect 2000-10-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. LIMITED PARTNER, MEMBER indirect 2000-10-01
KOBRICK FUNDS LLC LIMITED PARTNER (CDCIANNA) AND MEMBER (CDCIAMUS) indirect 2000-10-01
CHAMONIX PARTNERS CAPITAL MANAGEMENT LLC OWNER indirect 2011-10-01
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER MEMBER indirect 2000-10-01 2001-01-31
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (NVEST), MEMBER (LLC) indirect 2000-10-01 2001-02-02
AEW ADVISORS INC LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-02-06
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER indirect 2000-10-01 2001-02-28
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR indirect 2000-10-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2001-03-30
NVEST ASSOCIATES INC LIMITED PARTNER (CDC IXIS) MEMBER (LLC) indirect 2000-10-01 2001-03-30
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (CDCIAM NA), MEMBER (LLC) indirect 2000-10-01 2001-08-28
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-11-16
VNSM TRUST CO LIMITED PARTNER, MEMBER indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP LIMITED PARTNER OF CDC IXIS ASSET MANAGEMENT NORTH AMERICA, L.P. AND MEMBER OF CDC IXIS ASSET MANAGEMENT US, LLC indirect 2000-10-01 2002-01-15
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2002-01-22
WESTPEAK INVESTMENT ADVISORS LP LIMITED PARTNER indirect 2000-10-01 2002-01-22
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER OF #1 AND MEMBER OF #2 indirect 2000-10-01 2002-01-28
AEW MANAGEMENT & ADVISORS LP MEMBER, PARTNER indirect 2000-10-01 2002-05-01
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER OF #1 AND MEMBER OF #2 indirect 2000-10-01 2002-05-02
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR indirect 2000-10-01 2002-06-05
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2003-02-19
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. LIMITED PARTNER indirect 2000-10-01 2004-01-13
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. SOLE MEMBER indirect 2000-10-01 2004-01-13
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01 2004-01-16
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-08
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (CDCIAM NA), MEMBER (CDCIAM US LLC) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2004-07-12
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2004-07-12
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01 2004-07-13
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2004-07-13
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2004-07-13
HARRIS ALTERNATIVES L.L.C. SOLE MEMBER indirect 2000-10-01 2004-09-24
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2004-09-24
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER indirect 2000-10-01 2004-09-27
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01 2004-09-27
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2004-09-29
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2004-09-29
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. LIMITED PARTNER (CDCIAMNA), MEMBER (CDCIAM US LLC) indirect 2000-10-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2004-11-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2004-11-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. LIMITED PARTNER (IAMNA), MEMBER (IAM US LLC) indirect 2000-10-01 2004-11-15
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2004-11-29
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2004-11-29
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01 2004-12-06
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER indirect 2000-10-01 2004-12-06
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER AND MEMBER indirect 2000-10-01 2005-03-29
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-06-28
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2005-06-28
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2005-07-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2005-07-26
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-08-05
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2005-08-09
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2005-08-09
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2005-08-17
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-08-17
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2005-12-13
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2006-01-03
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-02-16
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2006-03-31
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2006-04-04
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2006-04-18
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-09-19
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-11-30
HARRIS ALTERNATIVES L.L.C. SOLE MEMBER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2007-03-29
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2007-03-29
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER AND MEMBER indirect 2000-10-01 2007-03-29
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2007-03-29
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2007-03-30
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2007-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2007-03-30
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER/MEMBER indirect 2000-10-01 2007-03-30
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-04-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2007-05-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2007-05-01
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2007-05-07
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01 2007-05-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2007-07-13
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2007-07-13
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2007-07-20
IXIS ASSET MANAGEMENT ASIA LTD MEMBER indirect 2000-10-01 2007-08-28
IXIS ASSET MANAGEMENT ASIA LTD LIMITED PARTNER indirect 2000-10-01 2007-08-28
IXIS ASSET MANAGEMENT ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2007-11-09
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01 2007-11-09
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2008-03-28
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2008-03-28
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2008-04-03
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2008-04-03
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2008-04-03
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 2000-10-01 2008-07-18
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 2000-10-01 2008-07-18
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2009-03-30
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2009-08-10
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2009-08-10
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2010-07-07
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2010-07-07
NATIXIS CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01 2011-02-17
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) LIMITED PARTNER indirect 2000-10-01 2011-03-29
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) MEMBER indirect 2000-10-01 2011-03-29
HARRIS ASSOCIATES LP MEMBER indirect 2000-10-01 2011-03-31
HARRIS ASSOCIATES LP LIMITED PARTNER indirect 2000-10-01 2011-03-31
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2011-07-22
NATIXIS CASPIAN PRIVATE EQUITY, LLC LIMITED PARTNER indirect 2000-10-01 2011-11-18
NATIXIS CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01 2011-11-18
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2014-07-31
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2014-07-31
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2015-03-31
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2015-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2015-11-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2015-11-23

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WCM INTERNATIONAL SMALL CAP GROWTH FUND LP United States 805-9692042369 Other Private Fund LIMITED PARTNERSHIP 337,030,433 5,000,000
WCM FOCUSED GLOBAL GROWTH LONG-SHORT OFFSHORE FUND, LP United States 805-5902048016 Hedge Fund 379,258,451 5,000,000 Master Fund Fund of Funds
WCM FOCUSED EMERGING MARKETS FUND LP United States 805-9724649442 Other Private Fund LIMITED PARTNERSHIP 195,308,820 5,000,000
WCM FOCUSED INTERNATIONAL GROWTH FUND LP United States 805-5773274214 Other Private Fund LIMITED PARTNERSHIP 5,283,574,670 10,000,000
WCM FOCUSED GLOBAL GROWTH FUND LP United States 805-4097172073 Other Private Fund LIMITED PARTNERSHIP 1,220,612,420 5,000,000

WCM INVESTMENT MANAGEMENT, LLC

ownership team - last updated 2021-03-22
Name Title Start Date Direct/Indirect % Ownership
NATIXIS INVESTMENT MANAGERS, L.P. LIMITED PARTNER OF REGISTRANT 04/01/2019 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 1994-08-01
IXIS ASSET MANAGEMENT ADVISORS, L.P. LIMITED PARTNER direct 1994-08-01
ALPHASIMPLEX GROUP, LLC MEMBER indirect 1994-08-01
REICH & TANG ASSET MANAGEMENT,LLC 100% OWNERSHIP INTEREST direct 1994-08-01
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 1994-08-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. SHAREHOLDER indirect 1994-08-01
HARRIS ASSOCIATES LP MEMBER indirect 1995-10-01
HARRIS ASSOCIATES LP LIMITED PARTNER OF THE REGISTRANT direct 1995-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER OF APPLICANT direct 1996-05-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 1996-05-01
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 1996-05-01
AEW MANAGEMENT & ADVISORS LP MEMBER indirect 1996-12-01
JURIKA & VOYLES LP LIMITED PARTNER OF REGISTRANT direct 1997-01-01
JURIKA & VOYLES LP SHAREHOLDER indirect 1997-01-01
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER OF AEW CAP LP, SHAREHOLDER OF AEW INV direct 1997-12-01
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER OF REGISTRANT direct 1997-12-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR; MEMBER OF NATIXIS GLOBAL ASSET MANAGEMENT HOLDINGS, LLC direct 1997-12-01
AEW ADVISORS INC STOCKHOLDER AEW INV direct 1997-12-01
BACK BAY ADVISORS SOLE LIMITED PARTNER OF BACK BAY ADVISORS L.P. (APPLICANT) direct 1997-12-01
KOBRICK FUNDS LLC SOLE MEMBER direct 1999-07-01
AEW ADVISORS INC SHAREHOLDER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER direct 2001-12-01
AURORA INVESTMENT MANAGEMENT L.L.C. SHAREHOLDER indirect 2004-01-01
GATEWAY INVESTMENT ADVISERS, LLC MEMBER direct 2008-02-01
CASPIAN PRIVATE EQUITY, LLC MEMBER direct 2008-03-01
MCDONNELL INVESTMENT MANAGEMENT, LLC MEMBER direct 2012-09-01
AEW ADVISORS INC LMT PTR AEW CAP LP, STHLDR NVEST HOLDINGS direct 1997-12-01 2001-02-06
REICH & TANG ASSET MANAGEMENT LP SOLE LIMITED PARTNER OF APPLICANT direct 1997-12-01 2001-02-15
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP SHAREHOLDER indirect 1994-08-01 2001-02-26
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER direct 1997-12-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER OF AEW CAP LP direct 1997-12-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-05-01 2001-03-30
NVEST ASSOCIATES INC SHAREHOLDER indirect 1997-12-01 2001-03-30
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-12-01 2001-03-30
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER indirect 1994-08-01 2001-08-28
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER direct 1997-12-01 2001-08-28
HARRIS ASSOCIATES LP LIMITED PARTNER direct 1995-10-01 2001-11-16
HARRIS ASSOCIATES LP SHAREHOLDER indirect 1995-10-01 2001-11-16
NVEST FUNDS MANAGEMENT LP SHAREHOLDER indirect 1994-08-01 2002-01-02
NVEST FUNDS MANAGEMENT LP LIMITED PARTNER direct 1997-12-01 2002-01-02
VNSM TRUST CO LIMITED PARTNERSHIP direct 1997-12-01 2002-01-15
JURIKA & VOYLES LP SHAREHOLDER indirect 1997-12-01 2002-01-15
JURIKA & VOYLES LP SOLE LIMITED PARTNER OF REGISTRANT direct 1997-12-01 2002-01-15
WESTPEAK INVESTMENT ADVISORS LP LIMITED PARTNER direct 1993-09-01 2002-01-22
WESTPEAK GLOBAL ADVISORS, L.P. SHAREHOLDER indirect 1994-08-01 2002-01-22
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 1997-12-01 2002-03-28
AEW ADVISORS INC STHLDR AEW INV, STHLDR CDCIAM HOLDINGS direct 1997-12-01 2002-04-01
AEW MANAGEMENT & ADVISORS LP SHAREHOLDER indirect 1996-12-01 2002-05-01
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER OF CDC IXIS ASSET MANAGEMENT DISTRIBUTION CORPORATION direct 1994-08-01 2003-02-19
VNSM TRUST COMPANY LIMITED PARTNER indirect 1996-05-01 2003-03-31
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER indirect 1994-08-01 2003-08-14
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 1995-09-01 2003-10-08
HARRIS ALTERNATIVES L.L.C. SOLE SHAREHOLDER indirect 1995-10-01 2003-10-08
VAUGHAN NELSON TRUST COMPANY SHAREHOLDER indirect 1996-05-01 2004-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF CDC IXIS ASSET MANAGEMENT HOLDINGS INC direct 1997-12-01 2004-07-08
WESTPEAK GLOBAL ADVISORS, L.P. SHAREHOLDER indirect 1993-09-01 2004-07-12
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER (CDCIAM HOLDINGS) indirect 1994-08-01 2004-07-12
HARRIS ASSOCIATES LP SHAREHOLDER indirect 1995-10-01 2004-07-12
AEW MANAGEMENT & ADVISORS LP SHAREHOLDER indirect 1996-12-01 2004-07-13
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. SHAREHOLDER indirect 1996-05-01 2004-09-27
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. MEMBER indirect 1997-12-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-07-01 2004-11-11
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. MEMBER indirect 1997-12-01 2004-11-15
REICH & TANG ASSET MANAGEMENT,LLC OWNER OF A 99.5% MEMBERSHIP INTEREST IN THE APPLICANT direct 1997-12-01 2004-12-02
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. SHAREHOLDER indirect 1994-08-01 2004-12-06
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-07-01 2005-04-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF IXIS ASSET MANAGEMENT HOLDINGS INC direct 1997-12-01 2005-06-28
HANSBERGER GLOBAL INVESTORS, INC. SHAREHOLDER-SEE SCHEDULE D - MISCELLANEOUS indirect 2003-02-01 2005-08-09
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-07-01 2006-03-09
HARRIS ASSOCIATES LP SHAREHOLDER indirect 1995-10-01 2006-03-27
WESTPEAK GLOBAL ADVISORS, L.P. SHAREHOLDER indirect 1993-09-01 2006-03-30
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER OF APPLICANT direct 1993-09-01 2006-03-30
IXIS ASSET MANAGEMENT ADVISORS, L.P. SHAREHOLDER indirect 1994-08-01 2006-03-30
REICH & TANG ASSET MANAGEMENT,LLC SHAREHOLDER indirect 1994-08-01 2006-03-31
AEW MANAGEMENT & ADVISORS LP SHAREHOLDER indirect 1996-12-01 2006-04-18
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER indirect 1994-08-01 2006-09-19
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. SHAREHOLDER indirect 1996-05-01 2006-11-20
VAUGHAN NELSON TRUST COMPANY SHAREHOLDER indirect 1996-05-01 2006-11-30
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 1994-08-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 1994-08-01 2007-03-29
HARRIS ASSOCIATES LP MEMBER indirect 1995-10-01 2007-03-29
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 1996-05-01 2007-03-29
AEW MANAGEMENT & ADVISORS LP MEMBER indirect 1996-12-01 2007-03-29
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 1994-08-01 2007-03-30
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 1996-05-01 2007-03-30
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 1996-05-01 2007-03-30
REICH & TANG ASSET MANAGEMENT,LLC OWNER OF A 100% MEMBERSHIP INTEREST IN THE APPLICANT direct 1997-12-01 2007-03-30
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF IXIS ASSET MANAGEMENT HOLDINGS direct 1997-12-01 2007-04-12
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2007-04-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 1997-07-01 2007-05-01
IXIS ASSET MANAGEMENT ASIA LTD MEMBER indirect 1994-08-01 2007-08-28
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 1994-08-01 2007-11-09
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 1997-07-01 2008-03-28
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 1994-08-01 2008-05-19
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2008-07-10
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 1994-08-01 2008-07-18
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 1996-05-01 2008-07-18
HARRIS ASSOCIATES LP MEMBER indirect 1995-10-01 2008-07-24
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2009-03-30
REICH & TANG ASSET MANAGEMENT,LLC OWNER OF 100% MEMBERSHIP INTEREST IN THE APPLICANT direct 1994-08-01 2009-08-10
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER OF APPLICANT direct 1994-08-01 2010-07-07
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 1994-08-01 2010-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF NATIXIS GLOBAL ASSET MANAGEMENT HOLDINGS, LLC direct 1997-12-01 2010-07-15
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) MEMBER indirect 1994-08-01 2011-03-29
AURORA INVESTMENT MANAGEMENT L.L.C. SHAREHOLDER indirect 2004-01-01 2011-07-20
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2007-03-01 2011-07-22
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2004-01-01 2014-03-17
HANSBERGER GLOBAL INVESTORS, INC. SHAREHOLDER indirect 2007-03-01 2014-07-31
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 1997-07-01 2015-03-31
SNYDER CAPITAL MANAGEMENT LP SOLE STKHLDR OF SCMI direct 2007-06-01 2015-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER direct 1997-12-01 2015-11-23
HARRIS ASSOCIATES LP LIMITED PARTNER OF THE APPLICANT direct 1995-10-01 2016-01-29
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2004-01-01 2017-01-04
WINRICH, KURT, RANDAL CHAIRMAN/CO-CEO 12/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT CHAIRMAN/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT PRESIDENT direct 1992-01-01 2003-06-17
WCM INVESTMENT MANAGEMENT CHAIRMAN OF THE BOARD direct 2002-12-01 2004-03-11
BLACK, PAUL, RUSSELL PRESIDENT/CO-CEO 12/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PRESIDENT/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT SVP direct 1998-02-01 2003-06-17
WCM INVESTMENT MANAGEMENT PRESIDENT direct 2002-12-01 2004-03-11
THALIA STREET PARTNERS LLC MEMBER 06/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT, LLC MEMBER direct 2018-06-01
BREWER, DAVID, ANDREW CHIEF COMPLIANCE OFFICER, SENIOR VP 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT CHIEF COMPLIANCE OFFICER direct 2004-10-01
WCM INVESTMENT MANAGEMENT VP direct 1995-06-01 2003-06-17
WCM INVESTMENT MANAGEMENT SENIOR VP direct 2002-12-01 2004-03-11
WCM INVESTMENT MANAGEMENT SENIOR VP/CCO/COO direct 2002-12-01 2006-02-24
PAYNE, SLOANE, WALLER CHIEF OPERATIONS OFFICER, SENIOR VP 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2004-10-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2004-10-01
KUO, DON, KUANGLUN DEPUTY CHIEF OPERATING OFFICER, SECRETARY 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT, LLC DEPUTY CHIEF OPERATING OFFICER, SECRETARY direct 2021-01-01
TRIGG, MIKE, BRADY SENIOR VP, PORTFOLIO MANAGER 12/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2013-12-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2013-12-01
NATIXIS SHAREHOLDER NATIXIS INVESTMENT MANAGERS 09/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
BPCE SHAREHOLDER NATIXIS 07/01/2009 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
NATIXIS INVESTMENT MANAGERS PARTICIPATIONS 1 SHAREHOLDER NATIXIS U.S. HOLDINGS, INC. 06/01/2005 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
NATIXIS INVESTMENT MANAGERS SHAREHOLDER NATIXIS INVESTMENT MANAGERS PARTICIPATIONS 1 08/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
TRIGG, MIKE, BRADY ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2013-12-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2013-12-01
PAYNE, SLOANE, WALLER ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2004-10-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2004-10-01
BLACK, PAUL, RUSSELL MEMBER, ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PRESIDENT/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT SVP direct 1998-02-01 2003-06-17
WCM INVESTMENT MANAGEMENT PRESIDENT direct 2002-12-01 2004-03-11
WINRICH, KURT, RANDAL MEMBER, ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT CHAIRMAN/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT PRESIDENT direct 1992-01-01 2003-06-17
WCM INVESTMENT MANAGEMENT CHAIRMAN OF THE BOARD direct 2002-12-01 2004-03-11
NATIXIS INVESTMENT MANAGERS, LLC GENERAL PARTNER NATIXIS INVESTMENT MANAGERS, L.P. 10/01/2000 Indirect Other
Fund Name Position direct/indirect start date end date
BACK BAY ADVISORS GENERAL PARTNER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY GENERAL PARTNER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC GENERAL PARTNER indirect 2000-10-01
JURIKA & VOYLES LP GENERAL PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01
AEW ADVISORS INC GENERAL PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01
KOBRICK FUNDS LLC GENERAL PARTNER indirect 2000-10-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. GENERAL PARTNER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC GENERAL PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. GENERAL PARTNER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. GENERAL PARTNER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2001-01-31
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2001-02-02
AEW ADVISORS INC PARTNER indirect 2000-10-01 2001-02-06
NVEST FUNDS MANAGEMENT LP LIMITED PARTNER & MEMBER indirect 2000-10-01 2001-02-23
NVEST FUNDS MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2001-02-23
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP GENERAL PARTNER indirect 2000-10-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2001-02-28
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2001-03-30
NVEST ASSOCIATES INC GENERAL PARTNER indirect 2000-10-01 2001-03-30
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2001-03-30
NVEST FUNDS MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2002-01-02
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER & MEMBER indirect 2000-10-01 2002-01-02
JURIKA & VOYLES LP GENERAL PARTNER indirect 2000-10-01 2002-01-15
VNSM TRUST CO GENERAL PARTNER indirect 2000-10-01 2002-01-15
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2002-01-22
REICH & TANG ASSET MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2002-01-28
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER OF CDCIAMNA indirect 2000-10-01 2002-05-02
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2003-08-14
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. GENERAL PARTNER indirect 2000-10-01 2004-01-13
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2004-04-05
VNSM TRUST COMPANY GENERAL PARTNER indirect 2000-10-01 2004-07-07
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2004-07-08
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2004-07-12
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER (CDCIAM NA) indirect 2000-10-01 2004-07-12
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01 2004-07-12
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01 2004-07-13
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2004-07-13
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP GENERAL PARTNER indirect 2000-10-01 2004-09-27
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01 2004-09-29
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. GENERAL PARTNER indirect 2000-10-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2004-11-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2004-11-01
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. GENERAL PARTNER indirect 2000-10-01 2004-11-15
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2004-11-29
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. GENERAL PARTNER indirect 2000-10-01 2004-12-06
HARRIS ALTERNATIVES L.L.C. GENERAL PARTNER indirect 2000-10-01 2004-12-09
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. GENERAL PARTNER indirect 2000-10-01 2005-03-29
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2005-06-28
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2005-06-28
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2005-07-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2005-07-26
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01 2005-08-05
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2005-08-09
VAUGHAN NELSON TRUST COMPANY GENERAL PARTNER indirect 2000-10-01 2005-08-17
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01 2005-08-17
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2005-09-13
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2005-12-13
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01 2006-01-03
HARRIS ALTERNATIVES L.L.C. GENERAL PARTNER indirect 2000-10-01 2006-04-04
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2006-09-19
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. GENERAL PARTNER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2007-03-29
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2007-03-29
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01 2007-03-29
HARRIS ALTERNATIVES L.L.C. GENERAL PARTNER indirect 2000-10-01 2007-03-29
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2007-03-29
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2007-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2007-03-30
VAUGHAN NELSON TRUST COMPANY GENERAL PARTNER indirect 2000-10-01 2007-03-30
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01 2007-03-30
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2007-04-12
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2007-05-01
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01 2007-05-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2007-07-13
IXIS ASSET MANAGEMENT ASIA LTD GENERAL PARTNER indirect 2000-10-01 2007-08-28
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2007-11-09
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2008-03-28
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01 2008-04-03
VAUGHAN NELSON TRUST COMPANY GENERAL PARTNER indirect 2000-10-01 2008-07-18
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01 2008-07-24
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2009-03-30
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2009-08-10
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2010-07-07
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) GENERAL PARTNER indirect 2000-10-01 2011-03-29
NATIXIS CASPIAN PRIVATE EQUITY, LLC GENERAL PARTNER indirect 2000-10-01 2011-11-18
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2014-07-31
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2015-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2015-11-23
NATIXIS U.S. HOLDINGS, INC. MEMBER NATIXIS INVESTMENT MANAGERS, LLC 10/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER, MEMBER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 2000-10-01
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01
NGAM ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01
HARRIS ASSOCIATES LP MEMBER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. LIMITED PARTNER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC MEMBER indirect 2000-10-01
AEW ADVISORS INC LIMITED PARTNER, MEMBER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2000-10-01
HARRIS ASSOCIATES LP LIMITED PARTNER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC LIMITED PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC LIMITED PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC MEMBER indirect 2000-10-01
JURIKA & VOYLES LP LIMITED PARTNER OF CDCIAMNA AND MEMBER OF CDCIAM US LLC indirect 2000-10-01
BACK BAY ADVISORS LIMITED PARTNER AND MEMBER RESPECTIVELY indirect 2000-10-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. LIMITED PARTNER, MEMBER indirect 2000-10-01
KOBRICK FUNDS LLC LIMITED PARTNER (CDCIANNA) AND MEMBER (CDCIAMUS) indirect 2000-10-01
CHAMONIX PARTNERS CAPITAL MANAGEMENT LLC OWNER indirect 2011-10-01
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER MEMBER indirect 2000-10-01 2001-01-31
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (NVEST), MEMBER (LLC) indirect 2000-10-01 2001-02-02
AEW ADVISORS INC LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-02-06
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER indirect 2000-10-01 2001-02-28
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR indirect 2000-10-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2001-03-30
NVEST ASSOCIATES INC LIMITED PARTNER (CDC IXIS) MEMBER (LLC) indirect 2000-10-01 2001-03-30
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (CDCIAM NA), MEMBER (LLC) indirect 2000-10-01 2001-08-28
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-11-16
VNSM TRUST CO LIMITED PARTNER, MEMBER indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP LIMITED PARTNER OF CDC IXIS ASSET MANAGEMENT NORTH AMERICA, L.P. AND MEMBER OF CDC IXIS ASSET MANAGEMENT US, LLC indirect 2000-10-01 2002-01-15
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2002-01-22
WESTPEAK INVESTMENT ADVISORS LP LIMITED PARTNER indirect 2000-10-01 2002-01-22
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER OF #1 AND MEMBER OF #2 indirect 2000-10-01 2002-01-28
AEW MANAGEMENT & ADVISORS LP MEMBER, PARTNER indirect 2000-10-01 2002-05-01
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER OF #1 AND MEMBER OF #2 indirect 2000-10-01 2002-05-02
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR indirect 2000-10-01 2002-06-05
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2003-02-19
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. LIMITED PARTNER indirect 2000-10-01 2004-01-13
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. SOLE MEMBER indirect 2000-10-01 2004-01-13
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01 2004-01-16
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-08
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (CDCIAM NA), MEMBER (CDCIAM US LLC) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2004-07-12
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2004-07-12
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01 2004-07-13
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2004-07-13
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2004-07-13
HARRIS ALTERNATIVES L.L.C. SOLE MEMBER indirect 2000-10-01 2004-09-24
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2004-09-24
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER indirect 2000-10-01 2004-09-27
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01 2004-09-27
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2004-09-29
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2004-09-29
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. LIMITED PARTNER (CDCIAMNA), MEMBER (CDCIAM US LLC) indirect 2000-10-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2004-11-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2004-11-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. LIMITED PARTNER (IAMNA), MEMBER (IAM US LLC) indirect 2000-10-01 2004-11-15
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2004-11-29
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2004-11-29
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01 2004-12-06
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER indirect 2000-10-01 2004-12-06
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER AND MEMBER indirect 2000-10-01 2005-03-29
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-06-28
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2005-06-28
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2005-07-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2005-07-26
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-08-05
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2005-08-09
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2005-08-09
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2005-08-17
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-08-17
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2005-12-13
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2006-01-03
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-02-16
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2006-03-31
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2006-04-04
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2006-04-18
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-09-19
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-11-30
HARRIS ALTERNATIVES L.L.C. SOLE MEMBER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2007-03-29
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2007-03-29
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER AND MEMBER indirect 2000-10-01 2007-03-29
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2007-03-29
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2007-03-30
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2007-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2007-03-30
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER/MEMBER indirect 2000-10-01 2007-03-30
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-04-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2007-05-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2007-05-01
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2007-05-07
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01 2007-05-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2007-07-13
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2007-07-13
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2007-07-20
IXIS ASSET MANAGEMENT ASIA LTD MEMBER indirect 2000-10-01 2007-08-28
IXIS ASSET MANAGEMENT ASIA LTD LIMITED PARTNER indirect 2000-10-01 2007-08-28
IXIS ASSET MANAGEMENT ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2007-11-09
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01 2007-11-09
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2008-03-28
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2008-03-28
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2008-04-03
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2008-04-03
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2008-04-03
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 2000-10-01 2008-07-18
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 2000-10-01 2008-07-18
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2009-03-30
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2009-08-10
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2009-08-10
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2010-07-07
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2010-07-07
NATIXIS CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01 2011-02-17
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) LIMITED PARTNER indirect 2000-10-01 2011-03-29
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) MEMBER indirect 2000-10-01 2011-03-29
HARRIS ASSOCIATES LP MEMBER indirect 2000-10-01 2011-03-31
HARRIS ASSOCIATES LP LIMITED PARTNER indirect 2000-10-01 2011-03-31
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2011-07-22
NATIXIS CASPIAN PRIVATE EQUITY, LLC LIMITED PARTNER indirect 2000-10-01 2011-11-18
NATIXIS CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01 2011-11-18
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2014-07-31
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2014-07-31
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2015-03-31
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2015-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2015-11-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2015-11-23
NATIXIS U.S. HOLDINGS, INC. LIMITED PARTNER NATIXIS INVESTMENT MANAGERS, L.P. 10/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER, MEMBER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 2000-10-01
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01
NGAM ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01
HARRIS ASSOCIATES LP MEMBER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. LIMITED PARTNER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC MEMBER indirect 2000-10-01
AEW ADVISORS INC LIMITED PARTNER, MEMBER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2000-10-01
HARRIS ASSOCIATES LP LIMITED PARTNER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC LIMITED PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC LIMITED PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC MEMBER indirect 2000-10-01
JURIKA & VOYLES LP LIMITED PARTNER OF CDCIAMNA AND MEMBER OF CDCIAM US LLC indirect 2000-10-01
BACK BAY ADVISORS LIMITED PARTNER AND MEMBER RESPECTIVELY indirect 2000-10-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. LIMITED PARTNER, MEMBER indirect 2000-10-01
KOBRICK FUNDS LLC LIMITED PARTNER (CDCIANNA) AND MEMBER (CDCIAMUS) indirect 2000-10-01
CHAMONIX PARTNERS CAPITAL MANAGEMENT LLC OWNER indirect 2011-10-01
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER MEMBER indirect 2000-10-01 2001-01-31
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (NVEST), MEMBER (LLC) indirect 2000-10-01 2001-02-02
AEW ADVISORS INC LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-02-06
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER indirect 2000-10-01 2001-02-28
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR indirect 2000-10-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2001-03-30
NVEST ASSOCIATES INC LIMITED PARTNER (CDC IXIS) MEMBER (LLC) indirect 2000-10-01 2001-03-30
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (CDCIAM NA), MEMBER (LLC) indirect 2000-10-01 2001-08-28
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-11-16
VNSM TRUST CO LIMITED PARTNER, MEMBER indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP LIMITED PARTNER OF CDC IXIS ASSET MANAGEMENT NORTH AMERICA, L.P. AND MEMBER OF CDC IXIS ASSET MANAGEMENT US, LLC indirect 2000-10-01 2002-01-15
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2002-01-22
WESTPEAK INVESTMENT ADVISORS LP LIMITED PARTNER indirect 2000-10-01 2002-01-22
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER OF #1 AND MEMBER OF #2 indirect 2000-10-01 2002-01-28
AEW MANAGEMENT & ADVISORS LP MEMBER, PARTNER indirect 2000-10-01 2002-05-01
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER OF #1 AND MEMBER OF #2 indirect 2000-10-01 2002-05-02
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR indirect 2000-10-01 2002-06-05
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2003-02-19
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. LIMITED PARTNER indirect 2000-10-01 2004-01-13
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. SOLE MEMBER indirect 2000-10-01 2004-01-13
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01 2004-01-16
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-08
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (CDCIAM NA), MEMBER (CDCIAM US LLC) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2004-07-12
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2004-07-12
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01 2004-07-13
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2004-07-13
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2004-07-13
HARRIS ALTERNATIVES L.L.C. SOLE MEMBER indirect 2000-10-01 2004-09-24
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2004-09-24
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER indirect 2000-10-01 2004-09-27
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01 2004-09-27
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2004-09-29
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2004-09-29
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. LIMITED PARTNER (CDCIAMNA), MEMBER (CDCIAM US LLC) indirect 2000-10-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2004-11-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2004-11-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. LIMITED PARTNER (IAMNA), MEMBER (IAM US LLC) indirect 2000-10-01 2004-11-15
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2004-11-29
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2004-11-29
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01 2004-12-06
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER indirect 2000-10-01 2004-12-06
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER AND MEMBER indirect 2000-10-01 2005-03-29
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-06-28
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2005-06-28
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2005-07-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2005-07-26
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-08-05
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2005-08-09
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2005-08-09
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2005-08-17
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-08-17
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2005-12-13
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2006-01-03
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-02-16
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2006-03-31
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2006-04-04
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2006-04-18
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-09-19
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-11-30
HARRIS ALTERNATIVES L.L.C. SOLE MEMBER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2007-03-29
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2007-03-29
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER AND MEMBER indirect 2000-10-01 2007-03-29
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2007-03-29
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2007-03-30
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2007-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2007-03-30
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER/MEMBER indirect 2000-10-01 2007-03-30
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-04-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2007-05-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2007-05-01
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2007-05-07
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01 2007-05-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2007-07-13
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2007-07-13
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2007-07-20
IXIS ASSET MANAGEMENT ASIA LTD MEMBER indirect 2000-10-01 2007-08-28
IXIS ASSET MANAGEMENT ASIA LTD LIMITED PARTNER indirect 2000-10-01 2007-08-28
IXIS ASSET MANAGEMENT ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2007-11-09
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01 2007-11-09
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2008-03-28
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2008-03-28
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2008-04-03
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2008-04-03
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2008-04-03
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 2000-10-01 2008-07-18
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 2000-10-01 2008-07-18
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2009-03-30
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2009-08-10
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2009-08-10
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2010-07-07
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2010-07-07
NATIXIS CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01 2011-02-17
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) LIMITED PARTNER indirect 2000-10-01 2011-03-29
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) MEMBER indirect 2000-10-01 2011-03-29
HARRIS ASSOCIATES LP MEMBER indirect 2000-10-01 2011-03-31
HARRIS ASSOCIATES LP LIMITED PARTNER indirect 2000-10-01 2011-03-31
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2011-07-22
NATIXIS CASPIAN PRIVATE EQUITY, LLC LIMITED PARTNER indirect 2000-10-01 2011-11-18
NATIXIS CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01 2011-11-18
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2014-07-31
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2014-07-31
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2015-03-31
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2015-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2015-11-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2015-11-23

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WCM FOCUSED EMERGING MARKETS FUND LP United States 805-9724649442 Other Private Fund LIMITED PARTNERSHIP 195,308,820 5,000,000
WCM FOCUSED INTERNATIONAL GROWTH FUND LP United States 805-5773274214 Other Private Fund LIMITED PARTNERSHIP 5,283,574,670 10,000,000
WCM FOCUSED GLOBAL GROWTH FUND LP United States 805-4097172073 Other Private Fund LIMITED PARTNERSHIP 1,220,612,420 5,000,000
WCM INTERNATIONAL SMALL CAP GROWTH FUND LP United States 805-9692042369 Other Private Fund LIMITED PARTNERSHIP 337,030,433 5,000,000
WCM FOCUSED GLOBAL GROWTH LONG-SHORT OFFSHORE FUND, LP United States 805-5902048016 Hedge Fund 379,258,451 5,000,000 Master Fund Fund of Funds

WCM INVESTMENT MANAGEMENT, LLC

ownership team - last updated 2020-05-29
Name Title Start Date Direct/Indirect % Ownership
NATIXIS INVESTMENT MANAGERS, L.P. LIMITED PARTNER OF REGISTRANT 04/01/2019 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 1994-08-01
IXIS ASSET MANAGEMENT ADVISORS, L.P. LIMITED PARTNER direct 1994-08-01
ALPHASIMPLEX GROUP, LLC MEMBER indirect 1994-08-01
REICH & TANG ASSET MANAGEMENT,LLC 100% OWNERSHIP INTEREST direct 1994-08-01
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 1994-08-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. SHAREHOLDER indirect 1994-08-01
HARRIS ASSOCIATES LP MEMBER indirect 1995-10-01
HARRIS ASSOCIATES LP LIMITED PARTNER OF THE REGISTRANT direct 1995-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER OF APPLICANT direct 1996-05-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 1996-05-01
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 1996-05-01
AEW MANAGEMENT & ADVISORS LP MEMBER indirect 1996-12-01
JURIKA & VOYLES LP LIMITED PARTNER OF REGISTRANT direct 1997-01-01
JURIKA & VOYLES LP SHAREHOLDER indirect 1997-01-01
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER OF AEW CAP LP, SHAREHOLDER OF AEW INV direct 1997-12-01
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER OF REGISTRANT direct 1997-12-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR; MEMBER OF NATIXIS GLOBAL ASSET MANAGEMENT HOLDINGS, LLC direct 1997-12-01
AEW ADVISORS INC STOCKHOLDER AEW INV direct 1997-12-01
BACK BAY ADVISORS SOLE LIMITED PARTNER OF BACK BAY ADVISORS L.P. (APPLICANT) direct 1997-12-01
KOBRICK FUNDS LLC SOLE MEMBER direct 1999-07-01
AEW ADVISORS INC SHAREHOLDER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER direct 2001-12-01
AURORA INVESTMENT MANAGEMENT L.L.C. SHAREHOLDER indirect 2004-01-01
GATEWAY INVESTMENT ADVISERS, LLC MEMBER direct 2008-02-01
CASPIAN PRIVATE EQUITY, LLC MEMBER direct 2008-03-01
MCDONNELL INVESTMENT MANAGEMENT, LLC MEMBER direct 2012-09-01
AEW ADVISORS INC LMT PTR AEW CAP LP, STHLDR NVEST HOLDINGS direct 1997-12-01 2001-02-06
REICH & TANG ASSET MANAGEMENT LP SOLE LIMITED PARTNER OF APPLICANT direct 1997-12-01 2001-02-15
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP SHAREHOLDER indirect 1994-08-01 2001-02-26
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER direct 1997-12-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER OF AEW CAP LP direct 1997-12-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-05-01 2001-03-30
NVEST ASSOCIATES INC SHAREHOLDER indirect 1997-12-01 2001-03-30
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-12-01 2001-03-30
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER indirect 1994-08-01 2001-08-28
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER direct 1997-12-01 2001-08-28
HARRIS ASSOCIATES LP LIMITED PARTNER direct 1995-10-01 2001-11-16
HARRIS ASSOCIATES LP SHAREHOLDER indirect 1995-10-01 2001-11-16
NVEST FUNDS MANAGEMENT LP SHAREHOLDER indirect 1994-08-01 2002-01-02
NVEST FUNDS MANAGEMENT LP LIMITED PARTNER direct 1997-12-01 2002-01-02
VNSM TRUST CO LIMITED PARTNERSHIP direct 1997-12-01 2002-01-15
JURIKA & VOYLES LP SHAREHOLDER indirect 1997-12-01 2002-01-15
JURIKA & VOYLES LP SOLE LIMITED PARTNER OF REGISTRANT direct 1997-12-01 2002-01-15
WESTPEAK INVESTMENT ADVISORS LP LIMITED PARTNER direct 1993-09-01 2002-01-22
WESTPEAK GLOBAL ADVISORS, L.P. SHAREHOLDER indirect 1994-08-01 2002-01-22
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 1997-12-01 2002-03-28
AEW ADVISORS INC STHLDR AEW INV, STHLDR CDCIAM HOLDINGS direct 1997-12-01 2002-04-01
AEW MANAGEMENT & ADVISORS LP SHAREHOLDER indirect 1996-12-01 2002-05-01
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER OF CDC IXIS ASSET MANAGEMENT DISTRIBUTION CORPORATION direct 1994-08-01 2003-02-19
VNSM TRUST COMPANY LIMITED PARTNER indirect 1996-05-01 2003-03-31
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER indirect 1994-08-01 2003-08-14
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 1995-09-01 2003-10-08
HARRIS ALTERNATIVES L.L.C. SOLE SHAREHOLDER indirect 1995-10-01 2003-10-08
VAUGHAN NELSON TRUST COMPANY SHAREHOLDER indirect 1996-05-01 2004-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF CDC IXIS ASSET MANAGEMENT HOLDINGS INC direct 1997-12-01 2004-07-08
WESTPEAK GLOBAL ADVISORS, L.P. SHAREHOLDER indirect 1993-09-01 2004-07-12
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER (CDCIAM HOLDINGS) indirect 1994-08-01 2004-07-12
HARRIS ASSOCIATES LP SHAREHOLDER indirect 1995-10-01 2004-07-12
AEW MANAGEMENT & ADVISORS LP SHAREHOLDER indirect 1996-12-01 2004-07-13
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. SHAREHOLDER indirect 1996-05-01 2004-09-27
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. MEMBER indirect 1997-12-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-07-01 2004-11-11
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. MEMBER indirect 1997-12-01 2004-11-15
REICH & TANG ASSET MANAGEMENT,LLC OWNER OF A 99.5% MEMBERSHIP INTEREST IN THE APPLICANT direct 1997-12-01 2004-12-02
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. SHAREHOLDER indirect 1994-08-01 2004-12-06
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-07-01 2005-04-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF IXIS ASSET MANAGEMENT HOLDINGS INC direct 1997-12-01 2005-06-28
HANSBERGER GLOBAL INVESTORS, INC. SHAREHOLDER-SEE SCHEDULE D - MISCELLANEOUS indirect 2003-02-01 2005-08-09
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-07-01 2006-03-09
HARRIS ASSOCIATES LP SHAREHOLDER indirect 1995-10-01 2006-03-27
WESTPEAK GLOBAL ADVISORS, L.P. SHAREHOLDER indirect 1993-09-01 2006-03-30
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER OF APPLICANT direct 1993-09-01 2006-03-30
IXIS ASSET MANAGEMENT ADVISORS, L.P. SHAREHOLDER indirect 1994-08-01 2006-03-30
REICH & TANG ASSET MANAGEMENT,LLC SHAREHOLDER indirect 1994-08-01 2006-03-31
AEW MANAGEMENT & ADVISORS LP SHAREHOLDER indirect 1996-12-01 2006-04-18
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER indirect 1994-08-01 2006-09-19
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. SHAREHOLDER indirect 1996-05-01 2006-11-20
VAUGHAN NELSON TRUST COMPANY SHAREHOLDER indirect 1996-05-01 2006-11-30
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 1994-08-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 1994-08-01 2007-03-29
HARRIS ASSOCIATES LP MEMBER indirect 1995-10-01 2007-03-29
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 1996-05-01 2007-03-29
AEW MANAGEMENT & ADVISORS LP MEMBER indirect 1996-12-01 2007-03-29
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 1994-08-01 2007-03-30
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 1996-05-01 2007-03-30
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 1996-05-01 2007-03-30
REICH & TANG ASSET MANAGEMENT,LLC OWNER OF A 100% MEMBERSHIP INTEREST IN THE APPLICANT direct 1997-12-01 2007-03-30
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF IXIS ASSET MANAGEMENT HOLDINGS direct 1997-12-01 2007-04-12
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2007-04-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 1997-07-01 2007-05-01
IXIS ASSET MANAGEMENT ASIA LTD MEMBER indirect 1994-08-01 2007-08-28
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 1994-08-01 2007-11-09
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 1997-07-01 2008-03-28
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 1994-08-01 2008-05-19
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2008-07-10
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 1994-08-01 2008-07-18
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 1996-05-01 2008-07-18
HARRIS ASSOCIATES LP MEMBER indirect 1995-10-01 2008-07-24
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2009-03-30
REICH & TANG ASSET MANAGEMENT,LLC OWNER OF 100% MEMBERSHIP INTEREST IN THE APPLICANT direct 1994-08-01 2009-08-10
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER OF APPLICANT direct 1994-08-01 2010-07-07
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 1994-08-01 2010-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF NATIXIS GLOBAL ASSET MANAGEMENT HOLDINGS, LLC direct 1997-12-01 2010-07-15
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) MEMBER indirect 1994-08-01 2011-03-29
AURORA INVESTMENT MANAGEMENT L.L.C. SHAREHOLDER indirect 2004-01-01 2011-07-20
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2007-03-01 2011-07-22
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2004-01-01 2014-03-17
HANSBERGER GLOBAL INVESTORS, INC. SHAREHOLDER indirect 2007-03-01 2014-07-31
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 1997-07-01 2015-03-31
SNYDER CAPITAL MANAGEMENT LP SOLE STKHLDR OF SCMI direct 2007-06-01 2015-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER direct 1997-12-01 2015-11-23
HARRIS ASSOCIATES LP LIMITED PARTNER OF THE APPLICANT direct 1995-10-01 2016-01-29
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2004-01-01 2017-01-04
WINRICH, KURT, RANDAL CHAIRMAN/CO-CEO 12/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT CHAIRMAN/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT PRESIDENT direct 1992-01-01 2003-06-17
WCM INVESTMENT MANAGEMENT CHAIRMAN OF THE BOARD direct 2002-12-01 2004-03-11
BLACK, PAUL, RUSSELL PRESIDENT/CO-CEO 12/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PRESIDENT/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT SVP direct 1998-02-01 2003-06-17
WCM INVESTMENT MANAGEMENT PRESIDENT direct 2002-12-01 2004-03-11
THALIA STREET PARTNERS LLC MEMBER 06/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT, LLC MEMBER direct 2018-06-01
BREWER, DAVID, ANDREW CHIEF COMPLIANCE OFFICER, SENIOR VP 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT CHIEF COMPLIANCE OFFICER direct 2004-10-01
WCM INVESTMENT MANAGEMENT VP direct 1995-06-01 2003-06-17
WCM INVESTMENT MANAGEMENT SENIOR VP direct 2002-12-01 2004-03-11
WCM INVESTMENT MANAGEMENT SENIOR VP/CCO/COO direct 2002-12-01 2006-02-24
PAYNE, SLOANE, WALLER CHIEF OPERATIONS OFFICER, SENIOR VP 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2004-10-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2004-10-01
TRIGG, MIKE, BRADY SENIOR VP, PORTFOLIO MANAGER 12/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2013-12-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2013-12-01
NATIXIS SHAREHOLDER NATIXIS INVESTMENT MANAGERS 09/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
BPCE SHAREHOLDER NATIXIS 07/01/2009 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
NATIXIS INVESTMENT MANAGERS PARTICIPATIONS 1 SHAREHOLDER NATIXIS U.S. HOLDINGS, INC. 06/01/2005 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
NATIXIS INVESTMENT MANAGERS SHAREHOLDER NATIXIS INVESTMENT MANAGERS PARTICIPATIONS 1 08/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
TRIGG, MIKE, BRADY ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2013-12-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2013-12-01
PAYNE, SLOANE, WALLER ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2004-10-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2004-10-01
BLACK, PAUL, RUSSELL MEMBER, ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PRESIDENT/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT SVP direct 1998-02-01 2003-06-17
WCM INVESTMENT MANAGEMENT PRESIDENT direct 2002-12-01 2004-03-11
WINRICH, KURT, RANDAL MEMBER, ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT CHAIRMAN/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT PRESIDENT direct 1992-01-01 2003-06-17
WCM INVESTMENT MANAGEMENT CHAIRMAN OF THE BOARD direct 2002-12-01 2004-03-11
NATIXIS INVESTMENT MANAGERS, LLC GENERAL PARTNER NATIXIS INVESTMENT MANAGERS, L.P. 10/01/2000 Indirect Other
Fund Name Position direct/indirect start date end date
BACK BAY ADVISORS GENERAL PARTNER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY GENERAL PARTNER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC GENERAL PARTNER indirect 2000-10-01
JURIKA & VOYLES LP GENERAL PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01
AEW ADVISORS INC GENERAL PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01
KOBRICK FUNDS LLC GENERAL PARTNER indirect 2000-10-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. GENERAL PARTNER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC GENERAL PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. GENERAL PARTNER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. GENERAL PARTNER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2001-01-31
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2001-02-02
AEW ADVISORS INC PARTNER indirect 2000-10-01 2001-02-06
NVEST FUNDS MANAGEMENT LP LIMITED PARTNER & MEMBER indirect 2000-10-01 2001-02-23
NVEST FUNDS MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2001-02-23
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP GENERAL PARTNER indirect 2000-10-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2001-02-28
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2001-03-30
NVEST ASSOCIATES INC GENERAL PARTNER indirect 2000-10-01 2001-03-30
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2001-03-30
NVEST FUNDS MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2002-01-02
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER & MEMBER indirect 2000-10-01 2002-01-02
JURIKA & VOYLES LP GENERAL PARTNER indirect 2000-10-01 2002-01-15
VNSM TRUST CO GENERAL PARTNER indirect 2000-10-01 2002-01-15
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2002-01-22
REICH & TANG ASSET MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2002-01-28
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER OF CDCIAMNA indirect 2000-10-01 2002-05-02
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2003-08-14
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. GENERAL PARTNER indirect 2000-10-01 2004-01-13
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2004-04-05
VNSM TRUST COMPANY GENERAL PARTNER indirect 2000-10-01 2004-07-07
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2004-07-08
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2004-07-12
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER (CDCIAM NA) indirect 2000-10-01 2004-07-12
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01 2004-07-12
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01 2004-07-13
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2004-07-13
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP GENERAL PARTNER indirect 2000-10-01 2004-09-27
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01 2004-09-29
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. GENERAL PARTNER indirect 2000-10-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2004-11-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2004-11-01
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. GENERAL PARTNER indirect 2000-10-01 2004-11-15
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2004-11-29
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. GENERAL PARTNER indirect 2000-10-01 2004-12-06
HARRIS ALTERNATIVES L.L.C. GENERAL PARTNER indirect 2000-10-01 2004-12-09
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. GENERAL PARTNER indirect 2000-10-01 2005-03-29
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2005-06-28
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2005-06-28
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2005-07-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2005-07-26
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01 2005-08-05
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2005-08-09
VAUGHAN NELSON TRUST COMPANY GENERAL PARTNER indirect 2000-10-01 2005-08-17
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01 2005-08-17
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2005-09-13
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2005-12-13
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01 2006-01-03
HARRIS ALTERNATIVES L.L.C. GENERAL PARTNER indirect 2000-10-01 2006-04-04
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2006-09-19
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. GENERAL PARTNER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2007-03-29
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2007-03-29
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01 2007-03-29
HARRIS ALTERNATIVES L.L.C. GENERAL PARTNER indirect 2000-10-01 2007-03-29
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2007-03-29
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2007-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2007-03-30
VAUGHAN NELSON TRUST COMPANY GENERAL PARTNER indirect 2000-10-01 2007-03-30
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01 2007-03-30
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2007-04-12
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2007-05-01
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01 2007-05-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2007-07-13
IXIS ASSET MANAGEMENT ASIA LTD GENERAL PARTNER indirect 2000-10-01 2007-08-28
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2007-11-09
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2008-03-28
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01 2008-04-03
VAUGHAN NELSON TRUST COMPANY GENERAL PARTNER indirect 2000-10-01 2008-07-18
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01 2008-07-24
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2009-03-30
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2009-08-10
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2010-07-07
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) GENERAL PARTNER indirect 2000-10-01 2011-03-29
NATIXIS CASPIAN PRIVATE EQUITY, LLC GENERAL PARTNER indirect 2000-10-01 2011-11-18
HANSBERGER GLOBAL INVESTORS, INC. GENERAL PARTNER indirect 2000-10-01 2014-07-31
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2015-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2015-11-23
NATIXIS U.S. HOLDINGS, INC. MEMBER NATIXIS INVESTMENT MANAGERS, LLC 10/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER, MEMBER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 2000-10-01
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01
NGAM ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01
HARRIS ASSOCIATES LP MEMBER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. LIMITED PARTNER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC MEMBER indirect 2000-10-01
AEW ADVISORS INC LIMITED PARTNER, MEMBER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2000-10-01
HARRIS ASSOCIATES LP LIMITED PARTNER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC LIMITED PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC LIMITED PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC MEMBER indirect 2000-10-01
JURIKA & VOYLES LP LIMITED PARTNER OF CDCIAMNA AND MEMBER OF CDCIAM US LLC indirect 2000-10-01
BACK BAY ADVISORS LIMITED PARTNER AND MEMBER RESPECTIVELY indirect 2000-10-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. LIMITED PARTNER, MEMBER indirect 2000-10-01
KOBRICK FUNDS LLC LIMITED PARTNER (CDCIANNA) AND MEMBER (CDCIAMUS) indirect 2000-10-01
CHAMONIX PARTNERS CAPITAL MANAGEMENT LLC OWNER indirect 2011-10-01
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER MEMBER indirect 2000-10-01 2001-01-31
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (NVEST), MEMBER (LLC) indirect 2000-10-01 2001-02-02
AEW ADVISORS INC LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-02-06
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER indirect 2000-10-01 2001-02-28
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR indirect 2000-10-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2001-03-30
NVEST ASSOCIATES INC LIMITED PARTNER (CDC IXIS) MEMBER (LLC) indirect 2000-10-01 2001-03-30
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (CDCIAM NA), MEMBER (LLC) indirect 2000-10-01 2001-08-28
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-11-16
VNSM TRUST CO LIMITED PARTNER, MEMBER indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP LIMITED PARTNER OF CDC IXIS ASSET MANAGEMENT NORTH AMERICA, L.P. AND MEMBER OF CDC IXIS ASSET MANAGEMENT US, LLC indirect 2000-10-01 2002-01-15
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2002-01-22
WESTPEAK INVESTMENT ADVISORS LP LIMITED PARTNER indirect 2000-10-01 2002-01-22
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER OF #1 AND MEMBER OF #2 indirect 2000-10-01 2002-01-28
AEW MANAGEMENT & ADVISORS LP MEMBER, PARTNER indirect 2000-10-01 2002-05-01
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER OF #1 AND MEMBER OF #2 indirect 2000-10-01 2002-05-02
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR indirect 2000-10-01 2002-06-05
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2003-02-19
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. LIMITED PARTNER indirect 2000-10-01 2004-01-13
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. SOLE MEMBER indirect 2000-10-01 2004-01-13
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01 2004-01-16
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-08
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (CDCIAM NA), MEMBER (CDCIAM US LLC) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2004-07-12
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2004-07-12
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01 2004-07-13
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2004-07-13
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2004-07-13
HARRIS ALTERNATIVES L.L.C. SOLE MEMBER indirect 2000-10-01 2004-09-24
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2004-09-24
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER indirect 2000-10-01 2004-09-27
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01 2004-09-27
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2004-09-29
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2004-09-29
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. LIMITED PARTNER (CDCIAMNA), MEMBER (CDCIAM US LLC) indirect 2000-10-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2004-11-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2004-11-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. LIMITED PARTNER (IAMNA), MEMBER (IAM US LLC) indirect 2000-10-01 2004-11-15
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2004-11-29
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2004-11-29
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01 2004-12-06
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER indirect 2000-10-01 2004-12-06
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER AND MEMBER indirect 2000-10-01 2005-03-29
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-06-28
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2005-06-28
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2005-07-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2005-07-26
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-08-05
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2005-08-09
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2005-08-09
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2005-08-17
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-08-17
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2005-12-13
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2006-01-03
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-02-16
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2006-03-31
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2006-04-04
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2006-04-18
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-09-19
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-11-30
HARRIS ALTERNATIVES L.L.C. SOLE MEMBER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2007-03-29
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2007-03-29
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER AND MEMBER indirect 2000-10-01 2007-03-29
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2007-03-29
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2007-03-30
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2007-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2007-03-30
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER/MEMBER indirect 2000-10-01 2007-03-30
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-04-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2007-05-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2007-05-01
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2007-05-07
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01 2007-05-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2007-07-13
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2007-07-13
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2007-07-20
IXIS ASSET MANAGEMENT ASIA LTD MEMBER indirect 2000-10-01 2007-08-28
IXIS ASSET MANAGEMENT ASIA LTD LIMITED PARTNER indirect 2000-10-01 2007-08-28
IXIS ASSET MANAGEMENT ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2007-11-09
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01 2007-11-09
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2008-03-28
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2008-03-28
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2008-04-03
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2008-04-03
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2008-04-03
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 2000-10-01 2008-07-18
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 2000-10-01 2008-07-18
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2009-03-30
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2009-08-10
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2009-08-10
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2010-07-07
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2010-07-07
NATIXIS CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01 2011-02-17
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) LIMITED PARTNER indirect 2000-10-01 2011-03-29
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) MEMBER indirect 2000-10-01 2011-03-29
HARRIS ASSOCIATES LP MEMBER indirect 2000-10-01 2011-03-31
HARRIS ASSOCIATES LP LIMITED PARTNER indirect 2000-10-01 2011-03-31
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2011-07-22
NATIXIS CASPIAN PRIVATE EQUITY, LLC LIMITED PARTNER indirect 2000-10-01 2011-11-18
NATIXIS CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01 2011-11-18
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2014-07-31
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2014-07-31
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2015-03-31
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2015-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2015-11-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2015-11-23
NATIXIS U.S. HOLDINGS, INC. LIMITED PARTNER NATIXIS INVESTMENT MANAGERS, L.P. 10/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER, MEMBER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 2000-10-01
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01
NGAM ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01
HARRIS ASSOCIATES LP MEMBER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. LIMITED PARTNER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC MEMBER indirect 2000-10-01
AEW ADVISORS INC LIMITED PARTNER, MEMBER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2000-10-01
HARRIS ASSOCIATES LP LIMITED PARTNER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC LIMITED PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC LIMITED PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC MEMBER indirect 2000-10-01
JURIKA & VOYLES LP LIMITED PARTNER OF CDCIAMNA AND MEMBER OF CDCIAM US LLC indirect 2000-10-01
BACK BAY ADVISORS LIMITED PARTNER AND MEMBER RESPECTIVELY indirect 2000-10-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. LIMITED PARTNER, MEMBER indirect 2000-10-01
KOBRICK FUNDS LLC LIMITED PARTNER (CDCIANNA) AND MEMBER (CDCIAMUS) indirect 2000-10-01
CHAMONIX PARTNERS CAPITAL MANAGEMENT LLC OWNER indirect 2011-10-01
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER MEMBER indirect 2000-10-01 2001-01-31
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (NVEST), MEMBER (LLC) indirect 2000-10-01 2001-02-02
AEW ADVISORS INC LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-02-06
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER indirect 2000-10-01 2001-02-28
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR indirect 2000-10-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2001-03-30
NVEST ASSOCIATES INC LIMITED PARTNER (CDC IXIS) MEMBER (LLC) indirect 2000-10-01 2001-03-30
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (CDCIAM NA), MEMBER (LLC) indirect 2000-10-01 2001-08-28
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2001-11-16
VNSM TRUST CO LIMITED PARTNER, MEMBER indirect 2000-10-01 2002-01-15
JURIKA & VOYLES LP LIMITED PARTNER OF CDC IXIS ASSET MANAGEMENT NORTH AMERICA, L.P. AND MEMBER OF CDC IXIS ASSET MANAGEMENT US, LLC indirect 2000-10-01 2002-01-15
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2002-01-22
WESTPEAK INVESTMENT ADVISORS LP LIMITED PARTNER indirect 2000-10-01 2002-01-22
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER OF #1 AND MEMBER OF #2 indirect 2000-10-01 2002-01-28
AEW MANAGEMENT & ADVISORS LP MEMBER, PARTNER indirect 2000-10-01 2002-05-01
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER OF #1 AND MEMBER OF #2 indirect 2000-10-01 2002-05-02
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR indirect 2000-10-01 2002-06-05
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2003-02-19
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. LIMITED PARTNER indirect 2000-10-01 2004-01-13
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. SOLE MEMBER indirect 2000-10-01 2004-01-13
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01 2004-01-16
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-08
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER (CDCIAM NA), MEMBER (CDCIAM US LLC) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2004-07-12
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2004-07-12
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01 2004-07-13
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2004-07-13
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2004-07-13
HARRIS ALTERNATIVES L.L.C. SOLE MEMBER indirect 2000-10-01 2004-09-24
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2004-09-24
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER indirect 2000-10-01 2004-09-27
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 2000-10-01 2004-09-27
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2004-09-29
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2004-09-29
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. LIMITED PARTNER (CDCIAMNA), MEMBER (CDCIAM US LLC) indirect 2000-10-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2004-11-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2004-11-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. LIMITED PARTNER (IAMNA), MEMBER (IAM US LLC) indirect 2000-10-01 2004-11-15
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2004-11-29
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2004-11-29
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01 2004-12-06
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER indirect 2000-10-01 2004-12-06
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER AND MEMBER indirect 2000-10-01 2005-03-29
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-06-28
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2005-06-28
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2005-07-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2005-07-26
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-08-05
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2005-08-09
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2005-08-09
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2005-08-17
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2005-08-17
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2005-12-13
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2006-01-03
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-02-16
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2006-03-31
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2006-04-04
AEW MANAGEMENT & ADVISORS LP PARTNER, MEMBER indirect 2000-10-01 2006-04-18
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-09-19
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER, MEMBER indirect 2000-10-01 2006-11-30
HARRIS ALTERNATIVES L.L.C. SOLE MEMBER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2007-03-29
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
HARRIS ASSOCIATES LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2007-03-29
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER AND MEMBER indirect 2000-10-01 2007-03-29
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-03-29
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 2000-10-01 2007-03-29
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2007-03-30
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2007-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2007-03-30
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER/MEMBER indirect 2000-10-01 2007-03-30
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2007-04-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2007-05-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2007-05-01
CASPIAN CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2000-10-01 2007-05-07
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER indirect 2000-10-01 2007-05-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2007-07-13
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2007-07-13
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2007-07-20
IXIS ASSET MANAGEMENT ASIA LTD MEMBER indirect 2000-10-01 2007-08-28
IXIS ASSET MANAGEMENT ASIA LTD LIMITED PARTNER indirect 2000-10-01 2007-08-28
IXIS ASSET MANAGEMENT ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2007-11-09
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 2000-10-01 2007-11-09
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2008-03-28
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2008-03-28
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2008-04-03
REICH & TANG ASSET MANAGEMENT,LLC LIMITED PARTNER indirect 2000-10-01 2008-04-03
REICH & TANG ASSET MANAGEMENT,LLC MEMBER indirect 2000-10-01 2008-04-03
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 2000-10-01 2008-07-18
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 2000-10-01 2008-07-18
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER, MEMBER indirect 2000-10-01 2009-03-30
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2009-08-10
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2009-08-10
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 2000-10-01 2010-07-07
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER indirect 2000-10-01 2010-07-07
NATIXIS CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01 2011-02-17
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) LIMITED PARTNER indirect 2000-10-01 2011-03-29
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) MEMBER indirect 2000-10-01 2011-03-29
HARRIS ASSOCIATES LP MEMBER indirect 2000-10-01 2011-03-31
HARRIS ASSOCIATES LP LIMITED PARTNER indirect 2000-10-01 2011-03-31
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2011-07-22
NATIXIS CASPIAN PRIVATE EQUITY, LLC LIMITED PARTNER indirect 2000-10-01 2011-11-18
NATIXIS CASPIAN PRIVATE EQUITY, LLC MEMBER indirect 2000-10-01 2011-11-18
HANSBERGER GLOBAL INVESTORS, INC. LIMITED PARTNER indirect 2000-10-01 2014-07-31
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2000-10-01 2014-07-31
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2015-03-31
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2015-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP MEMBER indirect 2000-10-01 2015-11-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER indirect 2000-10-01 2015-11-23

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WCM FOCUSED EMERGING MARKETS FUND LP United States 805-9724649442 Other Private Fund LIMITED PARTNERSHIP 5,823,654 5,000,000
WCM FOCUSED INTERNATIONAL GROWTH FUND LP United States 805-5773274214 Other Private Fund LIMITED PARTNERSHIP 3,480,035,357 5,000,000
WCM FOCUSED GLOBAL GROWTH FUND LP United States 805-4097172073 Other Private Fund LIMITED PARTNERSHIP 902,484,195 5,000,000
WCM INTERNATIONAL SMALL CAP GROWTH FUND LP United States 805-9692042369 Other Private Fund LIMITED PARTNERSHIP 174,426,457 5,000,000
WCM FOCUSED GLOBAL GROWTH LONG-SHORT OFFSHORE FUND, LP United States 805-5902048016 Hedge Fund 87,507,289 5,000,000 Master Fund Fund of Funds

WCM INVESTMENT MANAGEMENT, LLC

ownership team - last updated 2020-03-20
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WCM FOCUSED EMERGING MARKETS FUND LP United States 805-9724649442 Other Private Fund LIMITED PARTNERSHIP 5,307,068 5,000,000
WCM FOCUSED INTERNATIONAL GROWTH FUND LP United States 805-5773274214 Other Private Fund LIMITED PARTNERSHIP 3,356,693,940 5,000,000
WCM FOCUSED GLOBAL GROWTH FUND LP United States 805-4097172073 Other Private Fund LIMITED PARTNERSHIP 893,374,123 5,000,000
WCM INTERNATIONAL SMALL CAP GROWTH FUND LP United States 805-9692042369 Other Private Fund LIMITED PARTNERSHIP 169,400,740 5,000,000
WCM FOCUSED GLOBAL GROWTH LONG-SHORT OFFSHORE FUND, LP United States 805-5902048016 Hedge Fund 63,966,988 5,000,000 Master Fund Fund of Funds

WCM INVESTMENT MANAGEMENT, LLC

ownership team - last updated 2019-04-16
Name Title Start Date Direct/Indirect % Ownership
NATIXIS INVESTMENT MANAGERS, L.P. LIMITED PARTNER OF REGISTRANT 04/01/2019 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 1994-08-01
IXIS ASSET MANAGEMENT ADVISORS, L.P. LIMITED PARTNER direct 1994-08-01
ALPHASIMPLEX GROUP, LLC MEMBER indirect 1994-08-01
REICH & TANG ASSET MANAGEMENT,LLC 100% OWNERSHIP INTEREST direct 1994-08-01
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 1994-08-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. SHAREHOLDER indirect 1994-08-01
HARRIS ASSOCIATES LP MEMBER indirect 1995-10-01
HARRIS ASSOCIATES LP LIMITED PARTNER OF THE REGISTRANT direct 1995-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. LIMITED PARTNER OF APPLICANT direct 1996-05-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 1996-05-01
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 1996-05-01
AEW MANAGEMENT & ADVISORS LP MEMBER indirect 1996-12-01
JURIKA & VOYLES LP LIMITED PARTNER OF REGISTRANT direct 1997-01-01
JURIKA & VOYLES LP SHAREHOLDER indirect 1997-01-01
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER OF AEW CAP LP, SHAREHOLDER OF AEW INV direct 1997-12-01
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER OF REGISTRANT direct 1997-12-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR; MEMBER OF NATIXIS GLOBAL ASSET MANAGEMENT HOLDINGS, LLC direct 1997-12-01
AEW ADVISORS INC STOCKHOLDER AEW INV direct 1997-12-01
BACK BAY ADVISORS SOLE LIMITED PARTNER OF BACK BAY ADVISORS L.P. (APPLICANT) direct 1997-12-01
KOBRICK FUNDS LLC SOLE MEMBER direct 1999-07-01
AEW ADVISORS INC SHAREHOLDER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC MEMBER direct 2001-12-01
AURORA INVESTMENT MANAGEMENT L.L.C. SHAREHOLDER indirect 2004-01-01
GATEWAY INVESTMENT ADVISERS, LLC MEMBER direct 2008-02-01
CASPIAN PRIVATE EQUITY, LLC MEMBER direct 2008-03-01
MCDONNELL INVESTMENT MANAGEMENT, LLC MEMBER direct 2012-09-01
AEW ADVISORS INC LMT PTR AEW CAP LP, STHLDR NVEST HOLDINGS direct 1997-12-01 2001-02-06
REICH & TANG ASSET MANAGEMENT LP SOLE LIMITED PARTNER OF APPLICANT direct 1997-12-01 2001-02-15
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP SHAREHOLDER indirect 1994-08-01 2001-02-26
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP LIMITED PARTNER direct 1997-12-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP LIMITED PARTNER OF AEW CAP LP direct 1997-12-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-05-01 2001-03-30
NVEST ASSOCIATES INC SHAREHOLDER indirect 1997-12-01 2001-03-30
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-12-01 2001-03-30
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER indirect 1994-08-01 2001-08-28
LOOMIS, SAYLES & COMPANY, L.P. LIMITED PARTNER direct 1997-12-01 2001-08-28
HARRIS ASSOCIATES LP LIMITED PARTNER direct 1995-10-01 2001-11-16
HARRIS ASSOCIATES LP SHAREHOLDER indirect 1995-10-01 2001-11-16
NVEST FUNDS MANAGEMENT LP SHAREHOLDER indirect 1994-08-01 2002-01-02
NVEST FUNDS MANAGEMENT LP LIMITED PARTNER direct 1997-12-01 2002-01-02
VNSM TRUST CO LIMITED PARTNERSHIP direct 1997-12-01 2002-01-15
JURIKA & VOYLES LP SHAREHOLDER indirect 1997-12-01 2002-01-15
JURIKA & VOYLES LP SOLE LIMITED PARTNER OF REGISTRANT direct 1997-12-01 2002-01-15
WESTPEAK INVESTMENT ADVISORS LP LIMITED PARTNER direct 1993-09-01 2002-01-22
WESTPEAK GLOBAL ADVISORS, L.P. SHAREHOLDER indirect 1994-08-01 2002-01-22
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 1997-12-01 2002-03-28
AEW ADVISORS INC STHLDR AEW INV, STHLDR CDCIAM HOLDINGS direct 1997-12-01 2002-04-01
AEW MANAGEMENT & ADVISORS LP SHAREHOLDER indirect 1996-12-01 2002-05-01
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER OF CDC IXIS ASSET MANAGEMENT DISTRIBUTION CORPORATION direct 1994-08-01 2003-02-19
VNSM TRUST COMPANY LIMITED PARTNER indirect 1996-05-01 2003-03-31
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER indirect 1994-08-01 2003-08-14
HARRIS ALTERNATIVES L.L.C. LIMITED PARTNER indirect 1995-09-01 2003-10-08
HARRIS ALTERNATIVES L.L.C. SOLE SHAREHOLDER indirect 1995-10-01 2003-10-08
VAUGHAN NELSON TRUST COMPANY SHAREHOLDER indirect 1996-05-01 2004-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF CDC IXIS ASSET MANAGEMENT HOLDINGS INC direct 1997-12-01 2004-07-08
WESTPEAK GLOBAL ADVISORS, L.P. SHAREHOLDER indirect 1993-09-01 2004-07-12
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER (CDCIAM HOLDINGS) indirect 1994-08-01 2004-07-12
HARRIS ASSOCIATES LP SHAREHOLDER indirect 1995-10-01 2004-07-12
AEW MANAGEMENT & ADVISORS LP SHAREHOLDER indirect 1996-12-01 2004-07-13
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. SHAREHOLDER indirect 1996-05-01 2004-09-27
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. MEMBER indirect 1997-12-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-07-01 2004-11-11
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. MEMBER indirect 1997-12-01 2004-11-15
REICH & TANG ASSET MANAGEMENT,LLC OWNER OF A 99.5% MEMBERSHIP INTEREST IN THE APPLICANT direct 1997-12-01 2004-12-02
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. SHAREHOLDER indirect 1994-08-01 2004-12-06
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-07-01 2005-04-01
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF IXIS ASSET MANAGEMENT HOLDINGS INC direct 1997-12-01 2005-06-28
HANSBERGER GLOBAL INVESTORS, INC. SHAREHOLDER-SEE SCHEDULE D - MISCELLANEOUS indirect 2003-02-01 2005-08-09
SNYDER CAPITAL MANAGEMENT LP SHAREHOLDER indirect 1997-07-01 2006-03-09
HARRIS ASSOCIATES LP SHAREHOLDER indirect 1995-10-01 2006-03-27
WESTPEAK GLOBAL ADVISORS, L.P. SHAREHOLDER indirect 1993-09-01 2006-03-30
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER OF APPLICANT direct 1993-09-01 2006-03-30
IXIS ASSET MANAGEMENT ADVISORS, L.P. SHAREHOLDER indirect 1994-08-01 2006-03-30
REICH & TANG ASSET MANAGEMENT,LLC SHAREHOLDER indirect 1994-08-01 2006-03-31
AEW MANAGEMENT & ADVISORS LP SHAREHOLDER indirect 1996-12-01 2006-04-18
LOOMIS, SAYLES & COMPANY, L.P. SHAREHOLDER indirect 1994-08-01 2006-09-19
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. SHAREHOLDER indirect 1996-05-01 2006-11-20
VAUGHAN NELSON TRUST COMPANY SHAREHOLDER indirect 1996-05-01 2006-11-30
LOOMIS, SAYLES & COMPANY, L.P. MEMBER indirect 1994-08-01 2007-03-29
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 1994-08-01 2007-03-29
HARRIS ASSOCIATES LP MEMBER indirect 1995-10-01 2007-03-29
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. MEMBER indirect 1996-05-01 2007-03-29
AEW MANAGEMENT & ADVISORS LP MEMBER indirect 1996-12-01 2007-03-29
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 1994-08-01 2007-03-30
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 1996-05-01 2007-03-30
VAUGHAN NELSON TRUST COMPANY LIMITED PARTNER indirect 1996-05-01 2007-03-30
REICH & TANG ASSET MANAGEMENT,LLC OWNER OF A 100% MEMBERSHIP INTEREST IN THE APPLICANT direct 1997-12-01 2007-03-30
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF IXIS ASSET MANAGEMENT HOLDINGS direct 1997-12-01 2007-04-12
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2007-04-12
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 1997-07-01 2007-05-01
IXIS ASSET MANAGEMENT ASIA LTD MEMBER indirect 1994-08-01 2007-08-28
IXIS ASSET MANAGEMENT ADVISORS, L.P. MEMBER indirect 1994-08-01 2007-11-09
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 1997-07-01 2008-03-28
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 1994-08-01 2008-05-19
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2008-07-10
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 1994-08-01 2008-07-18
VAUGHAN NELSON TRUST COMPANY MEMBER indirect 1996-05-01 2008-07-18
HARRIS ASSOCIATES LP MEMBER indirect 1995-10-01 2008-07-24
AEW CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2009-03-30
REICH & TANG ASSET MANAGEMENT,LLC OWNER OF 100% MEMBERSHIP INTEREST IN THE APPLICANT direct 1994-08-01 2009-08-10
WESTPEAK GLOBAL ADVISORS, L.P. LIMITED PARTNER OF APPLICANT direct 1994-08-01 2010-07-07
WESTPEAK GLOBAL ADVISORS, L.P. MEMBER indirect 1994-08-01 2010-07-07
AEW CAPITAL MANAGEMENT LP LIMITED PARTNER OF ADVISOR, SHAREHOLDER OF NATIXIS GLOBAL ASSET MANAGEMENT HOLDINGS, LLC direct 1997-12-01 2010-07-15
ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD) MEMBER indirect 1994-08-01 2011-03-29
AURORA INVESTMENT MANAGEMENT L.L.C. SHAREHOLDER indirect 2004-01-01 2011-07-20
HANSBERGER GLOBAL INVESTORS, INC. MEMBER indirect 2007-03-01 2011-07-22
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2004-01-01 2014-03-17
HANSBERGER GLOBAL INVESTORS, INC. SHAREHOLDER indirect 2007-03-01 2014-07-31
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 1997-07-01 2015-03-31
SNYDER CAPITAL MANAGEMENT LP SOLE STKHLDR OF SCMI direct 2007-06-01 2015-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP LIMITED PARTNER direct 1997-12-01 2015-11-23
HARRIS ASSOCIATES LP LIMITED PARTNER OF THE APPLICANT direct 1995-10-01 2016-01-29
AURORA INVESTMENT MANAGEMENT L.L.C. MEMBER indirect 2004-01-01 2017-01-04
WINRICH, KURT, RANDAL CHAIRMAN/CO-CEO 12/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT CHAIRMAN/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT PRESIDENT direct 1992-01-01 2003-06-17
WCM INVESTMENT MANAGEMENT CHAIRMAN OF THE BOARD direct 2002-12-01 2004-03-11
BLACK, PAUL, RUSSELL PRESIDENT/CO-CEO 12/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PRESIDENT/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT SVP direct 1998-02-01 2003-06-17
WCM INVESTMENT MANAGEMENT PRESIDENT direct 2002-12-01 2004-03-11
THALIA STREET PARTNERS LLC MEMBER 06/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT, LLC MEMBER direct 2018-06-01
BREWER, DAVID, ANDREW CHIEF COMPLIANCE OFFICER, SENIOR VP 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT CHIEF COMPLIANCE OFFICER direct 2004-10-01
WCM INVESTMENT MANAGEMENT VP direct 1995-06-01 2003-06-17
WCM INVESTMENT MANAGEMENT SENIOR VP direct 2002-12-01 2004-03-11
WCM INVESTMENT MANAGEMENT SENIOR VP/CCO/COO direct 2002-12-01 2006-02-24
PAYNE, SLOANE, WALLER CHIEF OPERATIONS OFFICER, SENIOR VP 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2004-10-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2004-10-01
TRIGG, MIKE, BRADY SENIOR VP, PORTFOLIO MANAGER 12/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2013-12-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2013-12-01
NATIXIS SHAREHOLDER NATIXIS INVESTMENT MANAGERS 09/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
BPCE SHAREHOLDER NATIXIS 07/01/2009 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
NATIXIS INVESTMENT MANAGERS PARTICIPATIONS 1 SHAREHOLDER NATIXIS U.S. HOLDINGS, INC. 06/01/2005 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
NATIXIS INVESTMENT MANAGERS SHAREHOLDER NATIXIS INVESTMENT MANAGERS PARTICIPATIONS 1 08/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER direct 2008-01-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT II LLC (RELYING ADVISER) direct 2017-05-01
MJX ASSET MANAGEMENT LLC 100% OWNER OF MJX VENTURE MANAGEMENT LLC (RELYING ADVISER) direct 2016-01-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER, COMMON SHARE direct 2014-08-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S MEMBER indirect 2014-03-01
DUNDAS PARTNERS LLP GENERAL PARTNER direct 2013-03-01
AS AVARON ASSET MANAGEMENT SHAREHOLDER indirect 2012-01-01
GF INTERNATIONAL INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2010-12-01
BOSERA ASSET MANAGEMENT (INTERNATIONAL) CO., LIMITED SHAREHOLDER direct 2010-03-01
PORTFOLIO RESOURCES ADVISOR GROUP, INC. SHAREHOLDER indirect 1995-02-01
BLS CAPITAL FONDSMAEGLERSELSKAB A/S SHAREHOLDER indirect 2008-01-01
ESO CAPITAL PARTNERS UK LLP GENERAL PARTNER direct 2006-10-01
GFTA ANALYTICS LTD. CURRENT HOLDER indirect 1997-12-01 2001-11-29
BROOKE CAPITAL LIMITED SHAREHOLDER direct 2002-08-01 2010-06-14
ESO CAPITAL UK LIMITED LIMITED COMPANY direct 2006-11-01 2015-04-22
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY direct 2006-10-01 2015-07-17
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-08-01 2015-07-17
AS AVARON ASSET MANAGEMENT SHAREHOLDER direct 2014-08-01 2016-03-07
ESO CAPITAL PARTNERS UK LLP LIMITED COMPANY indirect 2006-11-01 2016-06-10
ESO CAPITAL PARTNERS UK LLP LIMITED LIABILITY COMPANY indirect 2006-08-01 2016-06-10
TRIGG, MIKE, BRADY ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2013-12-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2013-12-01
PAYNE, SLOANE, WALLER ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PORTFOLIO MANAGER direct 2004-10-01
WCM INVESTMENT MANAGEMENT SENIOR VP, PORTFOLIO MANAGER direct 2004-10-01
BLACK, PAUL, RUSSELL MEMBER, ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT PRESIDENT/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT SVP direct 1998-02-01 2003-06-17
WCM INVESTMENT MANAGEMENT PRESIDENT direct 2002-12-01 2004-03-11
WINRICH, KURT, RANDAL MEMBER, ELECTED MANAGER THALIA STREET PARTNERS LLC 06/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WCM INVESTMENT MANAGEMENT CHAIRMAN/CO-CEO direct 2002-12-01
WCM INVESTMENT MANAGEMENT PRESIDENT direct 1992-01-01 2003-06-17
WCM INVESTMENT MANAGEMENT CHAIRMAN OF THE BOARD direct 2002-12-01 2004-03-11
NATIXIS INVESTMENT MANAGERS, LLC GENERAL PARTNER NATIXIS INVESTMENT MANAGERS, L.P. 10/01/2000 Indirect Other
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Fund Name Position direct/indirect start date end date
BACK BAY ADVISORS GENERAL PARTNER indirect 2000-10-01
VAUGHAN NELSON TRUST COMPANY GENERAL PARTNER indirect 2000-10-01
ALPHASIMPLEX GROUP, LLC GENERAL PARTNER indirect 2000-10-01
JURIKA & VOYLES LP GENERAL PARTNER indirect 2000-10-01
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01
AEW ADVISORS INC GENERAL PARTNER indirect 2000-10-01
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01
MCDONNELL INVESTMENT MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01
NATIXIS ASSET MANAGEMENT ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01
KOBRICK FUNDS LLC GENERAL PARTNER indirect 2000-10-01
IXIS ASSET MANAGEMENT GLOBAL ASSOCIATES, INC. GENERAL PARTNER indirect 2000-10-01
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01
CASPIAN PRIVATE EQUITY, LLC GENERAL PARTNER indirect 2000-10-01
AURORA INVESTMENT MANAGEMENT L.L.C. GENERAL PARTNER indirect 2000-10-01
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. GENERAL PARTNER indirect 2000-10-01
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2001-01-31
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2001-02-02
AEW ADVISORS INC PARTNER indirect 2000-10-01 2001-02-06
NVEST FUNDS MANAGEMENT LP LIMITED PARTNER & MEMBER indirect 2000-10-01 2001-02-23
NVEST FUNDS MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2001-02-23
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP GENERAL PARTNER indirect 2000-10-01 2001-02-26
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2001-02-28
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2001-02-28
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2001-03-30
NVEST ASSOCIATES INC GENERAL PARTNER indirect 2000-10-01 2001-03-30
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2001-03-30
NVEST FUNDS MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2002-01-02
CDC IXIS ASSET MANAGEMENT ADVISERS, L.P. LIMITED PARTNER & MEMBER indirect 2000-10-01 2002-01-02
JURIKA & VOYLES LP GENERAL PARTNER indirect 2000-10-01 2002-01-15
VNSM TRUST CO GENERAL PARTNER indirect 2000-10-01 2002-01-15
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2002-01-22
REICH & TANG ASSET MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2002-01-28
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER OF CDCIAMNA indirect 2000-10-01 2002-05-02
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER indirect 2000-10-01 2003-08-14
HARRIS ALTERNATIVES L.L.C.(FORMERLY HARRIS PARTNERS L.L.C. GENERAL PARTNER indirect 2000-10-01 2004-01-13
SNYDER CAPITAL MANAGEMENT LP MEMBER indirect 2000-10-01 2004-04-05
VNSM TRUST COMPANY GENERAL PARTNER indirect 2000-10-01 2004-07-07
AEW CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2004-07-08
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP GENERAL PARTNER indirect 2000-10-01 2004-07-12
WESTPEAK GLOBAL ADVISORS, L.P. GENERAL PARTNER indirect 2000-10-01 2004-07-12
LOOMIS, SAYLES & COMPANY, L.P. GENERAL PARTNER (CDCIAM NA) indirect 2000-10-01 2004-07-12
HARRIS ASSOCIATES LP GENERAL PARTNER indirect 2000-10-01 2004-07-12
CASPIAN CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2000-10-01 2004-07-13
AEW MANAGEMENT & ADVISORS LP GENERAL PARTNER indirect 2000-10-01 2004-07-13
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP GENERAL PARTNER indirect 2000-10-01 2004-09-27
REICH & TANG ASSET MANAGEMENT,LLC GENERAL PARTNER indirect 2000-10-01 2004-09-29
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. GENERAL PARTNER indirect 2000-10-01 2004-10-12
SNYDER CAPITAL MANAGEMENT LP GENERAL PARTNER indirect 2000-10-01 2004-11-01
SNYDER CAPITAL MANAGEMENT LP LIMITED PARTNER indirect 2000-10-01 2004-11-01
CDC IXIS ASSET MANAGEMENT ASSOCIATES, INC. GENERAL PARTNER indirect