CARDINAL CAPITAL MANAGEMENT, INC.

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Cardinal Capital Management is based out of Winnipeg. Cardinal Capital Management is a large advisory firm with 1342 clients and discretionary assets under management (AUM) of $1,494,985,000 (Form ADV from 2019-02-12). Their last reported 13F filing for Q2 2019 included $1,004,743,000 in managed 13F securities and a top 10 holdings concentration of 52.58%. Cardinal Capital Management's largest holding is Toronto-Dominion Bank (The) with shares held of 1,064,866. Cardinal Capital Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 22 13F filings

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06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $1.005 Billion
  • Prior Market Value $999.927 Million
  • New Purchases0 stocks
  • Additional Purchases14 stocks
  • Sold out of10 stocks
  • Reduced holdings in25 stocks
  • Top 10 Holdings % 52.58 %
  • Turnover % [1]:21.74%
  • Turnover Alt % [2]: 3.51 %
  • Time Held Top20:11.95 quarters
  • Time Held Top10:11.40 quarters
  • Time Held All:14.28 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.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-05-15

Performance for Q1 2019: 4.78%
Performance Last 4 Quarters: 2.42%
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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13F Filings Available:
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

CARDINAL CAPITAL MANAGEMENT, INC.
1780 WELLINGTON AVENUE SUITE 400
WINNIPEG    R3H-1B3
Country: Canada

Business Phone: 1-800-310-4664
Fax: 204-783-0725
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in:
Number of employees: 34
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 1342
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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CARDINAL CAPITAL MANAGEMENT, INC.

ownership team - last updated 2019-02-12
Name Title Start Date Direct/Indirect % Ownership
BURT, TIMOTHY, E. SENIOR VICE PRESIDENT - BUSINESS DEVELOPMENT 10/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEEMENT,INC. PRESIDENT direct 1992-08-01
CARDINAL CAPITAL MANAGEMENT, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER (01/2005) direct 1992-08-01
CARDINAL CAPITAL MANAGEMENT, INC. PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 1992-08-01
CARDINAL CAPITAL MANAGEMENT, INC. SENIOR VICE PRESIDENT - BUSINESS DEVELOPMENT direct 2016-10-01
CARDINAL CAPITAL MANAGEMENT, INC. SENIOR VICE PRESIDENT - BUSINESS DEVELOPMENT/CHIEF COMPLIANCE OFFICER direct 2016-10-01
ICPM HOLDINGS, INC. SHAREHOLDER 05/01/2001 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BATTERY MANAGEMENT CORP. SHAREHOLDER direct 2005-01-01
MMGC FINANCIAL SERVICES OWNER direct 2005-02-01
CDC INVESTMENT MANAGEMENT CORP GOVERNMENT SPOSORED indirect 1816-01-01
PNB INVESTMENT LIMITED SHAREHOLDER direct 1988-11-01
CDC INVESTMENT MANAGEMENT CORP SHAREHOLDER indirect 1990-03-01
CARR GLOBAL ADVISORS INC SHAREHOLDER indirect 1991-12-01
HOUSATONIC MANAGEMENT COMPANY, INC. MEMBER (OF HOUSATONIC MANAGEMENT COMPANY, INC.) direct 1995-12-01
CARR GLOBAL ADVISORS INC SHAREHOLDER indirect 1996-12-01
HGI INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 1997-02-01
NOMURA IBJ GLOBAL INVESTMENT ADVISORS INC SHAREHOLDER indirect 1997-06-01
JH PARTNERS, LLC OWNER, MANAGING MEMBER indirect 1999-01-01
MANUFACTURES ADVISER CORPORATION SHAREHOLDER indirect 1999-09-01
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 1999-09-01
QUANTUM RESOURCES ADVISORS, LLC PARTNER indirect 2000-01-01
QUANTUM RESOURCES ADVISORS, LLC LIMITED PARTNER indirect 2000-01-01
PEGASUS ASSOCIATES, LLC MEMBER direct 2000-06-01
BARCLAYS GLOBAL INVESTORS CANADA LIMITED SHAREHOLDER indirect 2000-11-01
BARCLAYS GLOBAL INVESTORS CANADA LIMITED SHAREHOLDER direct 2000-12-01
PEGASUS GROUP, LLC MEMBER direct 2001-05-01
CARDINAL CAPITAL MANAGEEMENT,INC. SHAREHOLDER direct 2001-05-01
CARDINAL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2001-05-01
STANDISH INTERNATIONAL MANAGEMENT COMPANY, LLC SOLE OWNER OF STANDISH MELLON ASSET MANAGEMENT COMPANY LLC indirect 2001-07-01
STAR HARBOR WEALTH MANAGEMENT, L.L.C. OWNER direct 2002-01-01
STONEBRIDGE CAPITAL MANAGEMENT VII, LLC MEMBER direct 2002-03-01
GLEACHER FUND ADVISORS LP GENERAL PARTNER direct 2002-03-01
BOWMAN HADDON WEALTH MANAGEMENT, LLC MEMBER direct 2002-06-01
BOWMAN HADDON WEALTH MANAGEMENT, LLC MEMBER indirect 2002-06-01
WESTPORT ASSET MANAGEMENT INC TRUST direct 2002-11-01
WESTPORT ADVISERS LLC TRUST indirect 2002-11-01
WASHINGTON INCOME ADVISORS HOLDING COMPANY direct 2004-03-01
CAPITAL MANAGEMENT STRATEGIES FINACIAL SERVICES INC PARENT CORPORATION indirect 2001-01-01 2001-01-29
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2001-01-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2001-01-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SUPERVISOR indirect 2000-10-01 2001-01-31
SII INVESTMENTS, INC. SHAREHOLDER indirect 1991-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1991-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1996-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1997-01-01 2001-03-28
NOMURA SECURITIES INTERNATIONAL, INC. PARENT indirect 1989-04-01 2001-04-30
NOMURA IBJ GLOBAL INVESTMENT ADVISORS INC SHAREHOLDER direct 1999-06-01 2001-04-30
CDC IXIS ASSET MANAGEMENT SUPERVISOR indirect 1812-01-01 2001-06-12
NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC INDIRECT OWNER indirect 1991-03-01 2001-06-18
IFC HOLDINGS, INC. SHAREHOLDER indirect 1991-11-01 2001-08-06
IFC HOLDINGS, INC. SHAREHOLDER indirect 1996-11-01 2001-08-06
IFC HOLDINGS, INC. SHAREHOLDER indirect 1997-01-01 2001-08-06
KRASNEY HOLIDAY FINANCIAL GROUP, LLC MEMBER direct 2001-05-01 2001-08-13
NOMURA FUNDS RESEARCH AND TECHNOLOGIES AMERICA INC. SHAREHOLDER indirect 2001-05-01 2001-08-31
NOMURA SECURITIES INTERNATIONAL, INC. PARENT indirect 2001-10-01 2002-01-07
SWISS AMERICAN SECURITIES INC. OWNER direct 1973-03-01 2002-02-25
SWISS AMERICAN SECURITIES INC. OWNER indirect 1997-01-01 2002-02-25
SWISS AMERICAN SECURITIES INC. OWNER indirect 1997-01-01 2002-02-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2002-03-28
MAXWELL NOLL INC OWNER direct 2002-10-01 2003-03-21
MMGC FINANCIAL SERVICES OWNER direct 1993-09-01 2003-03-31
HEWINS FINANCIAL ADVISORS, LLC SOLE MEMBER OF WIPFLI FINANCIAL, LLC indirect 2000-07-01 2003-05-14
KOPP INVESTMENT ADVISORS, INC SOLE MEMBER direct 2003-09-01 2003-10-29
LUTZ FINANCIAL SERVICES, LLC MEMBER direct 2001-08-01 2004-03-18
MERCADIEN ASSET MANAGEMENT, LLC MEMBER direct 2000-07-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (SERIES A) indirect 2002-10-01 2004-03-30
WESTPORT ADVISERS LLC TRUST direct 2002-11-01 2004-03-30
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS USA, INC. indirect 2000-01-01 2004-04-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (COMMON STOCK) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (SERIES A) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-06-01 2004-07-12
HANCOCK VENTURE PARTNERS, INC. SHAREHOLDER indirect 2004-04-01 2004-08-12
DECLARATION MANAGEMENT & RESEARCH LLC SHAREHOLDER indirect 2004-04-01 2004-09-23
INDEPENDENCE INVESTMENT LLC SHAREHOLDER indirect 2004-04-01 2004-09-29
FINTEGRA, LLC 71.50 % OWNER indirect 1994-03-01 2005-01-28
WASHINGTON INCOME ADVISORS SOLE PROPRIETOR direct 2004-03-01 2005-02-18
CARDINAL CAPITAL MANAGEEMENT,INC. SHAREHOLDER indirect 2001-05-01 2005-03-04
MORGAN STANLEY AIP GP LP MANAGING MEMBER OF GRYPHON HOLDING LLC indirect 1996-07-01 2005-03-31
MANUFACTUERES SECURITIES SERVICES LLC SHAREHOLDER indirect 1999-09-01 2005-03-31
MORGAN STANLEY AIP GP LP 50% LIMITED PARTNER INTEREST IN MAS CAPITAL MANAGEMENT PARTNERS LP indirect 2000-11-01 2005-03-31
MANUFACTURERS SECURITIES SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2005-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (COMMON STOCK) indirect 2000-10-01 2005-06-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2005-06-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-10-01 2005-07-26
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-12-01 2006-03-31
CONCORD EQUITY GROUP ADVISORS LLC SHAREHOLDER (RIA ONLY) direct 2005-02-01 2006-03-31
KBC ALTERNATIVE INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2001-06-01 2006-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-10-01 2006-03-31
MORGAN STANLEY DEAN WITTER ALTERNATIVE MANAGING MEMBER OF GRYPHON HOLDING LLC indirect 1996-07-01 2006-04-18
MORGAN STANLEY DEAN WITTER ALTERNATIVE 50% LIMITED PARTNER INTEREST IN MAS CAPITAL MANAGEMENT PARTNERS LP indirect 2000-11-01 2006-04-18
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS CALIFORNIA CORPORATION indirect 2004-01-01 2006-11-09
GLEACHER ADVISORS LLC MEMBER direct 2004-04-01 2006-12-04
GLEACHER ADVISORS LLC MEMBER indirect 2004-04-01 2006-12-04
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2006-12-05
MFC GLOBAL INVESTMENT ADVISORY LIMITED SHAREHOLDER indirect 1999-09-01 2007-03-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2007-03-30
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 1999-09-01 2007-06-28
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2007-07-13
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2008-07-10
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2009-03-30
SEAMARK ASSET MANAGEMENT LTD. SHAREHOLDER indirect 2001-07-01 2009-05-08
MARITIME INVESTMENT MANAGEMENT INC. SHAREHOLDER indirect 2001-07-01 2009-05-08
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS BANK PLC indirect 1996-01-01 2009-06-22
DELAWARE INTERNATIONAL ADVISERS LTD MINORITY SHAREHOLDER OF REGISTRANT direct 1990-09-01 2011-03-31
H.D. VEST ADVISORY SERVICES, INC PARTHENON INVESTORS III, L.P. direct 2004-11-01 2012-01-10
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA INVESTMENTS GENPAR, LLC direct 1999-04-01 2014-07-31
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA CAPITAL PARTNERS II, LLC direct 2001-11-01 2014-07-31
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA CAPITAL PARTNERS III, LLC direct 2003-10-01 2014-07-31
AVENUE CAPITAL MANAGEMENT II, L.P. MEMBER OF AVENUE PARTNERS, LLC indirect 2004-01-01 2015-02-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2015-11-23
GENSTAR CAPITAL MANAGEMENT LLC GENERAL PARTNER, GENSTAR CAPITAL, L.P. direct 2000-01-01 2016-12-06
GENSTAR CAPITAL MANAGEMENT LLC MEMBER indirect 2000-01-01 2016-12-06
LAWTON, JAMES DIRECTOR 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEEMENT,INC. DIRECTOR direct 2001-05-01
TOWNSEND, WAYNE DIRECTOR 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEEMENT,INC. DIRECTOR direct 2001-05-01
WITTMIER, ELDEN DIRECTOR 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEEMENT,INC. DIRECTOR direct 2001-05-01
ENGEL, DONALD, CRAIG DIRECTOR 05/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEMENT, INC. DIRECTOR direct 2000-05-01
CARDINAL CAPITAL MANAGEMENT, INC. INDEPENDENT DIRECTOR direct 2007-11-01
BURT, EMILY, ANNE DIRECTOR/SHAREHOLDER 08/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEMENT, INC. DIRECTOR direct 2011-08-01
CARDINAL CAPITAL MANAGEMENT, INC. DIRECTOR/SHAREHOLDER direct 2011-08-01
Mancer, Evan PRESIDENT/CIO 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEMENT, INC. PRESIDENT/CIO direct 2016-10-01
Osborn, DeWayne CHIEF COMPLIANCE OFFICER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2016-04-01
COUGHLIN, BRIAN, ROBERT DIRECTOR 12/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEMENT, INC. DIRECTOR direct 2016-12-01
FRASER, DANNY CHIEF FINANCIAL OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2017-09-01
KAYCO, INC. SHAREHOLDER ICPM HOLDINGS, INC. 05/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BATTERY MANAGEMENT CORP. SHAREHOLDER direct 2005-01-01
MMGC FINANCIAL SERVICES OWNER direct 2005-02-01
CDC INVESTMENT MANAGEMENT CORP GOVERNMENT SPOSORED indirect 1816-01-01
PNB INVESTMENT LIMITED SHAREHOLDER direct 1988-11-01
CDC INVESTMENT MANAGEMENT CORP SHAREHOLDER indirect 1990-03-01
CARR GLOBAL ADVISORS INC SHAREHOLDER indirect 1991-12-01
HOUSATONIC MANAGEMENT COMPANY, INC. MEMBER (OF HOUSATONIC MANAGEMENT COMPANY, INC.) direct 1995-12-01
CARR GLOBAL ADVISORS INC SHAREHOLDER indirect 1996-12-01
HGI INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 1997-02-01
NOMURA IBJ GLOBAL INVESTMENT ADVISORS INC SHAREHOLDER indirect 1997-06-01
JH PARTNERS, LLC OWNER, MANAGING MEMBER indirect 1999-01-01
MANUFACTURES ADVISER CORPORATION SHAREHOLDER indirect 1999-09-01
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 1999-09-01
QUANTUM RESOURCES ADVISORS, LLC PARTNER indirect 2000-01-01
QUANTUM RESOURCES ADVISORS, LLC LIMITED PARTNER indirect 2000-01-01
PEGASUS ASSOCIATES, LLC MEMBER direct 2000-06-01
BARCLAYS GLOBAL INVESTORS CANADA LIMITED SHAREHOLDER indirect 2000-11-01
BARCLAYS GLOBAL INVESTORS CANADA LIMITED SHAREHOLDER direct 2000-12-01
PEGASUS GROUP, LLC MEMBER direct 2001-05-01
CARDINAL CAPITAL MANAGEEMENT,INC. SHAREHOLDER direct 2001-05-01
CARDINAL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2001-05-01
STANDISH INTERNATIONAL MANAGEMENT COMPANY, LLC SOLE OWNER OF STANDISH MELLON ASSET MANAGEMENT COMPANY LLC indirect 2001-07-01
STAR HARBOR WEALTH MANAGEMENT, L.L.C. OWNER direct 2002-01-01
STONEBRIDGE CAPITAL MANAGEMENT VII, LLC MEMBER direct 2002-03-01
GLEACHER FUND ADVISORS LP GENERAL PARTNER direct 2002-03-01
BOWMAN HADDON WEALTH MANAGEMENT, LLC MEMBER direct 2002-06-01
BOWMAN HADDON WEALTH MANAGEMENT, LLC MEMBER indirect 2002-06-01
WESTPORT ASSET MANAGEMENT INC TRUST direct 2002-11-01
WESTPORT ADVISERS LLC TRUST indirect 2002-11-01
WASHINGTON INCOME ADVISORS HOLDING COMPANY direct 2004-03-01
CAPITAL MANAGEMENT STRATEGIES FINACIAL SERVICES INC PARENT CORPORATION indirect 2001-01-01 2001-01-29
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2001-01-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2001-01-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SUPERVISOR indirect 2000-10-01 2001-01-31
SII INVESTMENTS, INC. SHAREHOLDER indirect 1991-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1991-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1996-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1997-01-01 2001-03-28
NOMURA SECURITIES INTERNATIONAL, INC. PARENT indirect 1989-04-01 2001-04-30
NOMURA IBJ GLOBAL INVESTMENT ADVISORS INC SHAREHOLDER direct 1999-06-01 2001-04-30
CDC IXIS ASSET MANAGEMENT SUPERVISOR indirect 1812-01-01 2001-06-12
NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC INDIRECT OWNER indirect 1991-03-01 2001-06-18
IFC HOLDINGS, INC. SHAREHOLDER indirect 1991-11-01 2001-08-06
IFC HOLDINGS, INC. SHAREHOLDER indirect 1996-11-01 2001-08-06
IFC HOLDINGS, INC. SHAREHOLDER indirect 1997-01-01 2001-08-06
KRASNEY HOLIDAY FINANCIAL GROUP, LLC MEMBER direct 2001-05-01 2001-08-13
NOMURA FUNDS RESEARCH AND TECHNOLOGIES AMERICA INC. SHAREHOLDER indirect 2001-05-01 2001-08-31
NOMURA SECURITIES INTERNATIONAL, INC. PARENT indirect 2001-10-01 2002-01-07
SWISS AMERICAN SECURITIES INC. OWNER direct 1973-03-01 2002-02-25
SWISS AMERICAN SECURITIES INC. OWNER indirect 1997-01-01 2002-02-25
SWISS AMERICAN SECURITIES INC. OWNER indirect 1997-01-01 2002-02-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2002-03-28
MAXWELL NOLL INC OWNER direct 2002-10-01 2003-03-21
MMGC FINANCIAL SERVICES OWNER direct 1993-09-01 2003-03-31
HEWINS FINANCIAL ADVISORS, LLC SOLE MEMBER OF WIPFLI FINANCIAL, LLC indirect 2000-07-01 2003-05-14
KOPP INVESTMENT ADVISORS, INC SOLE MEMBER direct 2003-09-01 2003-10-29
LUTZ FINANCIAL SERVICES, LLC MEMBER direct 2001-08-01 2004-03-18
MERCADIEN ASSET MANAGEMENT, LLC MEMBER direct 2000-07-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (SERIES A) indirect 2002-10-01 2004-03-30
WESTPORT ADVISERS LLC TRUST direct 2002-11-01 2004-03-30
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS USA, INC. indirect 2000-01-01 2004-04-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (COMMON STOCK) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (SERIES A) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-06-01 2004-07-12
HANCOCK VENTURE PARTNERS, INC. SHAREHOLDER indirect 2004-04-01 2004-08-12
DECLARATION MANAGEMENT & RESEARCH LLC SHAREHOLDER indirect 2004-04-01 2004-09-23
INDEPENDENCE INVESTMENT LLC SHAREHOLDER indirect 2004-04-01 2004-09-29
FINTEGRA, LLC 71.50 % OWNER indirect 1994-03-01 2005-01-28
WASHINGTON INCOME ADVISORS SOLE PROPRIETOR direct 2004-03-01 2005-02-18
CARDINAL CAPITAL MANAGEEMENT,INC. SHAREHOLDER indirect 2001-05-01 2005-03-04
MORGAN STANLEY AIP GP LP MANAGING MEMBER OF GRYPHON HOLDING LLC indirect 1996-07-01 2005-03-31
MANUFACTUERES SECURITIES SERVICES LLC SHAREHOLDER indirect 1999-09-01 2005-03-31
MORGAN STANLEY AIP GP LP 50% LIMITED PARTNER INTEREST IN MAS CAPITAL MANAGEMENT PARTNERS LP indirect 2000-11-01 2005-03-31
MANUFACTURERS SECURITIES SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2005-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (COMMON STOCK) indirect 2000-10-01 2005-06-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2005-06-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-10-01 2005-07-26
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-12-01 2006-03-31
CONCORD EQUITY GROUP ADVISORS LLC SHAREHOLDER (RIA ONLY) direct 2005-02-01 2006-03-31
KBC ALTERNATIVE INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2001-06-01 2006-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-10-01 2006-03-31
MORGAN STANLEY DEAN WITTER ALTERNATIVE MANAGING MEMBER OF GRYPHON HOLDING LLC indirect 1996-07-01 2006-04-18
MORGAN STANLEY DEAN WITTER ALTERNATIVE 50% LIMITED PARTNER INTEREST IN MAS CAPITAL MANAGEMENT PARTNERS LP indirect 2000-11-01 2006-04-18
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS CALIFORNIA CORPORATION indirect 2004-01-01 2006-11-09
GLEACHER ADVISORS LLC MEMBER direct 2004-04-01 2006-12-04
GLEACHER ADVISORS LLC MEMBER indirect 2004-04-01 2006-12-04
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2006-12-05
MFC GLOBAL INVESTMENT ADVISORY LIMITED SHAREHOLDER indirect 1999-09-01 2007-03-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2007-03-30
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 1999-09-01 2007-06-28
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2007-07-13
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2008-07-10
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2009-03-30
SEAMARK ASSET MANAGEMENT LTD. SHAREHOLDER indirect 2001-07-01 2009-05-08
MARITIME INVESTMENT MANAGEMENT INC. SHAREHOLDER indirect 2001-07-01 2009-05-08
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS BANK PLC indirect 1996-01-01 2009-06-22
DELAWARE INTERNATIONAL ADVISERS LTD MINORITY SHAREHOLDER OF REGISTRANT direct 1990-09-01 2011-03-31
H.D. VEST ADVISORY SERVICES, INC PARTHENON INVESTORS III, L.P. direct 2004-11-01 2012-01-10
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA INVESTMENTS GENPAR, LLC direct 1999-04-01 2014-07-31
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA CAPITAL PARTNERS II, LLC direct 2001-11-01 2014-07-31
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA CAPITAL PARTNERS III, LLC direct 2003-10-01 2014-07-31
AVENUE CAPITAL MANAGEMENT II, L.P. MEMBER OF AVENUE PARTNERS, LLC indirect 2004-01-01 2015-02-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2015-11-23
GENSTAR CAPITAL MANAGEMENT LLC GENERAL PARTNER, GENSTAR CAPITAL, L.P. direct 2000-01-01 2016-12-06
GENSTAR CAPITAL MANAGEMENT LLC MEMBER indirect 2000-01-01 2016-12-06
LAWTON, KATHLEEN PRESIDENT KAYCO, INC. 05/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEEMENT,INC. PRESIDENT indirect 2001-05-01

CARDINAL CAPITAL MANAGEMENT, INC.

ownership team - last updated 2018-12-21
Name Title Start Date Direct/Indirect % Ownership
BURT, TIMOTHY, E. SENIOR VICE PRESIDENT - BUSINESS DEVELOPMENT 10/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEEMENT,INC. PRESIDENT direct 1992-08-01
CARDINAL CAPITAL MANAGEMENT, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER (01/2005) direct 1992-08-01
CARDINAL CAPITAL MANAGEMENT, INC. PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 1992-08-01
CARDINAL CAPITAL MANAGEMENT, INC. SENIOR VICE PRESIDENT - BUSINESS DEVELOPMENT direct 2016-10-01
CARDINAL CAPITAL MANAGEMENT, INC. SENIOR VICE PRESIDENT - BUSINESS DEVELOPMENT/CHIEF COMPLIANCE OFFICER direct 2016-10-01
ICPM HOLDINGS, INC. SHAREHOLDER 05/01/2001 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BATTERY MANAGEMENT CORP. SHAREHOLDER direct 2005-01-01
MMGC FINANCIAL SERVICES OWNER direct 2005-02-01
CDC INVESTMENT MANAGEMENT CORP GOVERNMENT SPOSORED indirect 1816-01-01
PNB INVESTMENT LIMITED SHAREHOLDER direct 1988-11-01
CDC INVESTMENT MANAGEMENT CORP SHAREHOLDER indirect 1990-03-01
CARR GLOBAL ADVISORS INC SHAREHOLDER indirect 1991-12-01
HOUSATONIC MANAGEMENT COMPANY, INC. MEMBER (OF HOUSATONIC MANAGEMENT COMPANY, INC.) direct 1995-12-01
CARR GLOBAL ADVISORS INC SHAREHOLDER indirect 1996-12-01
HGI INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 1997-02-01
NOMURA IBJ GLOBAL INVESTMENT ADVISORS INC SHAREHOLDER indirect 1997-06-01
JH PARTNERS, LLC OWNER, MANAGING MEMBER indirect 1999-01-01
MANUFACTURES ADVISER CORPORATION SHAREHOLDER indirect 1999-09-01
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 1999-09-01
QUANTUM RESOURCES ADVISORS, LLC PARTNER indirect 2000-01-01
QUANTUM RESOURCES ADVISORS, LLC LIMITED PARTNER indirect 2000-01-01
PEGASUS ASSOCIATES, LLC MEMBER direct 2000-06-01
BARCLAYS GLOBAL INVESTORS CANADA LIMITED SHAREHOLDER indirect 2000-11-01
BARCLAYS GLOBAL INVESTORS CANADA LIMITED SHAREHOLDER direct 2000-12-01
PEGASUS GROUP, LLC MEMBER direct 2001-05-01
CARDINAL CAPITAL MANAGEEMENT,INC. SHAREHOLDER direct 2001-05-01
CARDINAL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2001-05-01
STANDISH INTERNATIONAL MANAGEMENT COMPANY, LLC SOLE OWNER OF STANDISH MELLON ASSET MANAGEMENT COMPANY LLC indirect 2001-07-01
STAR HARBOR WEALTH MANAGEMENT, L.L.C. OWNER direct 2002-01-01
STONEBRIDGE CAPITAL MANAGEMENT VII, LLC MEMBER direct 2002-03-01
GLEACHER FUND ADVISORS LP GENERAL PARTNER direct 2002-03-01
BOWMAN HADDON WEALTH MANAGEMENT, LLC MEMBER direct 2002-06-01
BOWMAN HADDON WEALTH MANAGEMENT, LLC MEMBER indirect 2002-06-01
WESTPORT ASSET MANAGEMENT INC TRUST direct 2002-11-01
WESTPORT ADVISERS LLC TRUST indirect 2002-11-01
WASHINGTON INCOME ADVISORS HOLDING COMPANY direct 2004-03-01
CAPITAL MANAGEMENT STRATEGIES FINACIAL SERVICES INC PARENT CORPORATION indirect 2001-01-01 2001-01-29
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2001-01-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2001-01-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SUPERVISOR indirect 2000-10-01 2001-01-31
SII INVESTMENTS, INC. SHAREHOLDER indirect 1991-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1991-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1996-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1997-01-01 2001-03-28
NOMURA SECURITIES INTERNATIONAL, INC. PARENT indirect 1989-04-01 2001-04-30
NOMURA IBJ GLOBAL INVESTMENT ADVISORS INC SHAREHOLDER direct 1999-06-01 2001-04-30
CDC IXIS ASSET MANAGEMENT SUPERVISOR indirect 1812-01-01 2001-06-12
NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC INDIRECT OWNER indirect 1991-03-01 2001-06-18
IFC HOLDINGS, INC. SHAREHOLDER indirect 1991-11-01 2001-08-06
IFC HOLDINGS, INC. SHAREHOLDER indirect 1996-11-01 2001-08-06
IFC HOLDINGS, INC. SHAREHOLDER indirect 1997-01-01 2001-08-06
KRASNEY HOLIDAY FINANCIAL GROUP, LLC MEMBER direct 2001-05-01 2001-08-13
NOMURA FUNDS RESEARCH AND TECHNOLOGIES AMERICA INC. SHAREHOLDER indirect 2001-05-01 2001-08-31
NOMURA SECURITIES INTERNATIONAL, INC. PARENT indirect 2001-10-01 2002-01-07
SWISS AMERICAN SECURITIES INC. OWNER direct 1973-03-01 2002-02-25
SWISS AMERICAN SECURITIES INC. OWNER indirect 1997-01-01 2002-02-25
SWISS AMERICAN SECURITIES INC. OWNER indirect 1997-01-01 2002-02-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2002-03-28
MAXWELL NOLL INC OWNER direct 2002-10-01 2003-03-21
MMGC FINANCIAL SERVICES OWNER direct 1993-09-01 2003-03-31
HEWINS FINANCIAL ADVISORS, LLC SOLE MEMBER OF WIPFLI FINANCIAL, LLC indirect 2000-07-01 2003-05-14
KOPP INVESTMENT ADVISORS, INC SOLE MEMBER direct 2003-09-01 2003-10-29
LUTZ FINANCIAL SERVICES, LLC MEMBER direct 2001-08-01 2004-03-18
MERCADIEN ASSET MANAGEMENT, LLC MEMBER direct 2000-07-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (SERIES A) indirect 2002-10-01 2004-03-30
WESTPORT ADVISERS LLC TRUST direct 2002-11-01 2004-03-30
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS USA, INC. indirect 2000-01-01 2004-04-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (COMMON STOCK) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (SERIES A) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-06-01 2004-07-12
HANCOCK VENTURE PARTNERS, INC. SHAREHOLDER indirect 2004-04-01 2004-08-12
DECLARATION MANAGEMENT & RESEARCH LLC SHAREHOLDER indirect 2004-04-01 2004-09-23
INDEPENDENCE INVESTMENT LLC SHAREHOLDER indirect 2004-04-01 2004-09-29
FINTEGRA, LLC 71.50 % OWNER indirect 1994-03-01 2005-01-28
WASHINGTON INCOME ADVISORS SOLE PROPRIETOR direct 2004-03-01 2005-02-18
CARDINAL CAPITAL MANAGEEMENT,INC. SHAREHOLDER indirect 2001-05-01 2005-03-04
MORGAN STANLEY AIP GP LP MANAGING MEMBER OF GRYPHON HOLDING LLC indirect 1996-07-01 2005-03-31
MANUFACTUERES SECURITIES SERVICES LLC SHAREHOLDER indirect 1999-09-01 2005-03-31
MORGAN STANLEY AIP GP LP 50% LIMITED PARTNER INTEREST IN MAS CAPITAL MANAGEMENT PARTNERS LP indirect 2000-11-01 2005-03-31
MANUFACTURERS SECURITIES SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2005-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (COMMON STOCK) indirect 2000-10-01 2005-06-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2005-06-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-10-01 2005-07-26
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-12-01 2006-03-31
CONCORD EQUITY GROUP ADVISORS LLC SHAREHOLDER (RIA ONLY) direct 2005-02-01 2006-03-31
KBC ALTERNATIVE INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2001-06-01 2006-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-10-01 2006-03-31
MORGAN STANLEY DEAN WITTER ALTERNATIVE MANAGING MEMBER OF GRYPHON HOLDING LLC indirect 1996-07-01 2006-04-18
MORGAN STANLEY DEAN WITTER ALTERNATIVE 50% LIMITED PARTNER INTEREST IN MAS CAPITAL MANAGEMENT PARTNERS LP indirect 2000-11-01 2006-04-18
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS CALIFORNIA CORPORATION indirect 2004-01-01 2006-11-09
GLEACHER ADVISORS LLC MEMBER direct 2004-04-01 2006-12-04
GLEACHER ADVISORS LLC MEMBER indirect 2004-04-01 2006-12-04
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2006-12-05
MFC GLOBAL INVESTMENT ADVISORY LIMITED SHAREHOLDER indirect 1999-09-01 2007-03-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2007-03-30
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 1999-09-01 2007-06-28
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2007-07-13
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2008-07-10
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2009-03-30
SEAMARK ASSET MANAGEMENT LTD. SHAREHOLDER indirect 2001-07-01 2009-05-08
MARITIME INVESTMENT MANAGEMENT INC. SHAREHOLDER indirect 2001-07-01 2009-05-08
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS BANK PLC indirect 1996-01-01 2009-06-22
DELAWARE INTERNATIONAL ADVISERS LTD MINORITY SHAREHOLDER OF REGISTRANT direct 1990-09-01 2011-03-31
H.D. VEST ADVISORY SERVICES, INC PARTHENON INVESTORS III, L.P. direct 2004-11-01 2012-01-10
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA INVESTMENTS GENPAR, LLC direct 1999-04-01 2014-07-31
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA CAPITAL PARTNERS II, LLC direct 2001-11-01 2014-07-31
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA CAPITAL PARTNERS III, LLC direct 2003-10-01 2014-07-31
AVENUE CAPITAL MANAGEMENT II, L.P. MEMBER OF AVENUE PARTNERS, LLC indirect 2004-01-01 2015-02-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2015-11-23
GENSTAR CAPITAL MANAGEMENT LLC GENERAL PARTNER, GENSTAR CAPITAL, L.P. direct 2000-01-01 2016-12-06
GENSTAR CAPITAL MANAGEMENT LLC MEMBER indirect 2000-01-01 2016-12-06
LAWTON, JAMES DIRECTOR 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEEMENT,INC. DIRECTOR direct 2001-05-01
TOWNSEND, WAYNE DIRECTOR 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEEMENT,INC. DIRECTOR direct 2001-05-01
WITTMIER, ELDEN DIRECTOR 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEEMENT,INC. DIRECTOR direct 2001-05-01
ENGEL, DONALD, CRAIG DIRECTOR 05/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEMENT, INC. DIRECTOR direct 2000-05-01
CARDINAL CAPITAL MANAGEMENT, INC. INDEPENDENT DIRECTOR direct 2007-11-01
BURT, EMILY, ANNE DIRECTOR/SHAREHOLDER 08/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEMENT, INC. DIRECTOR direct 2011-08-01
CARDINAL CAPITAL MANAGEMENT, INC. DIRECTOR/SHAREHOLDER direct 2011-08-01
Mancer, Evan PRESIDENT/CIO 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEMENT, INC. PRESIDENT/CIO direct 2016-10-01
Osborn, DeWayne CHIEF COMPLIANCE OFFICER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2016-04-01
COUGHLIN, BRIAN, ROBERT DIRECTOR 12/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEMENT, INC. DIRECTOR direct 2016-12-01
FRASER, DANNY CHIEF FINANCIAL OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2017-09-01
KAYCO, INC. SHAREHOLDER ICPM HOLDINGS, INC. 05/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BATTERY MANAGEMENT CORP. SHAREHOLDER direct 2005-01-01
MMGC FINANCIAL SERVICES OWNER direct 2005-02-01
CDC INVESTMENT MANAGEMENT CORP GOVERNMENT SPOSORED indirect 1816-01-01
PNB INVESTMENT LIMITED SHAREHOLDER direct 1988-11-01
CDC INVESTMENT MANAGEMENT CORP SHAREHOLDER indirect 1990-03-01
CARR GLOBAL ADVISORS INC SHAREHOLDER indirect 1991-12-01
HOUSATONIC MANAGEMENT COMPANY, INC. MEMBER (OF HOUSATONIC MANAGEMENT COMPANY, INC.) direct 1995-12-01
CARR GLOBAL ADVISORS INC SHAREHOLDER indirect 1996-12-01
HGI INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 1997-02-01
NOMURA IBJ GLOBAL INVESTMENT ADVISORS INC SHAREHOLDER indirect 1997-06-01
JH PARTNERS, LLC OWNER, MANAGING MEMBER indirect 1999-01-01
MANUFACTURES ADVISER CORPORATION SHAREHOLDER indirect 1999-09-01
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 1999-09-01
QUANTUM RESOURCES ADVISORS, LLC PARTNER indirect 2000-01-01
QUANTUM RESOURCES ADVISORS, LLC LIMITED PARTNER indirect 2000-01-01
PEGASUS ASSOCIATES, LLC MEMBER direct 2000-06-01
BARCLAYS GLOBAL INVESTORS CANADA LIMITED SHAREHOLDER indirect 2000-11-01
BARCLAYS GLOBAL INVESTORS CANADA LIMITED SHAREHOLDER direct 2000-12-01
PEGASUS GROUP, LLC MEMBER direct 2001-05-01
CARDINAL CAPITAL MANAGEEMENT,INC. SHAREHOLDER direct 2001-05-01
CARDINAL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2001-05-01
STANDISH INTERNATIONAL MANAGEMENT COMPANY, LLC SOLE OWNER OF STANDISH MELLON ASSET MANAGEMENT COMPANY LLC indirect 2001-07-01
STAR HARBOR WEALTH MANAGEMENT, L.L.C. OWNER direct 2002-01-01
STONEBRIDGE CAPITAL MANAGEMENT VII, LLC MEMBER direct 2002-03-01
GLEACHER FUND ADVISORS LP GENERAL PARTNER direct 2002-03-01
BOWMAN HADDON WEALTH MANAGEMENT, LLC MEMBER direct 2002-06-01
BOWMAN HADDON WEALTH MANAGEMENT, LLC MEMBER indirect 2002-06-01
WESTPORT ASSET MANAGEMENT INC TRUST direct 2002-11-01
WESTPORT ADVISERS LLC TRUST indirect 2002-11-01
WASHINGTON INCOME ADVISORS HOLDING COMPANY direct 2004-03-01
CAPITAL MANAGEMENT STRATEGIES FINACIAL SERVICES INC PARENT CORPORATION indirect 2001-01-01 2001-01-29
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2001-01-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2001-01-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SUPERVISOR indirect 2000-10-01 2001-01-31
SII INVESTMENTS, INC. SHAREHOLDER indirect 1991-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1991-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1996-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1997-01-01 2001-03-28
NOMURA SECURITIES INTERNATIONAL, INC. PARENT indirect 1989-04-01 2001-04-30
NOMURA IBJ GLOBAL INVESTMENT ADVISORS INC SHAREHOLDER direct 1999-06-01 2001-04-30
CDC IXIS ASSET MANAGEMENT SUPERVISOR indirect 1812-01-01 2001-06-12
NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC INDIRECT OWNER indirect 1991-03-01 2001-06-18
IFC HOLDINGS, INC. SHAREHOLDER indirect 1991-11-01 2001-08-06
IFC HOLDINGS, INC. SHAREHOLDER indirect 1996-11-01 2001-08-06
IFC HOLDINGS, INC. SHAREHOLDER indirect 1997-01-01 2001-08-06
KRASNEY HOLIDAY FINANCIAL GROUP, LLC MEMBER direct 2001-05-01 2001-08-13
NOMURA FUNDS RESEARCH AND TECHNOLOGIES AMERICA INC. SHAREHOLDER indirect 2001-05-01 2001-08-31
NOMURA SECURITIES INTERNATIONAL, INC. PARENT indirect 2001-10-01 2002-01-07
SWISS AMERICAN SECURITIES INC. OWNER direct 1973-03-01 2002-02-25
SWISS AMERICAN SECURITIES INC. OWNER indirect 1997-01-01 2002-02-25
SWISS AMERICAN SECURITIES INC. OWNER indirect 1997-01-01 2002-02-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2002-03-28
MAXWELL NOLL INC OWNER direct 2002-10-01 2003-03-21
MMGC FINANCIAL SERVICES OWNER direct 1993-09-01 2003-03-31
HEWINS FINANCIAL ADVISORS, LLC SOLE MEMBER OF WIPFLI FINANCIAL, LLC indirect 2000-07-01 2003-05-14
KOPP INVESTMENT ADVISORS, INC SOLE MEMBER direct 2003-09-01 2003-10-29
LUTZ FINANCIAL SERVICES, LLC MEMBER direct 2001-08-01 2004-03-18
MERCADIEN ASSET MANAGEMENT, LLC MEMBER direct 2000-07-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (SERIES A) indirect 2002-10-01 2004-03-30
WESTPORT ADVISERS LLC TRUST direct 2002-11-01 2004-03-30
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS USA, INC. indirect 2000-01-01 2004-04-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (COMMON STOCK) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (SERIES A) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-06-01 2004-07-12
HANCOCK VENTURE PARTNERS, INC. SHAREHOLDER indirect 2004-04-01 2004-08-12
DECLARATION MANAGEMENT & RESEARCH LLC SHAREHOLDER indirect 2004-04-01 2004-09-23
INDEPENDENCE INVESTMENT LLC SHAREHOLDER indirect 2004-04-01 2004-09-29
FINTEGRA, LLC 71.50 % OWNER indirect 1994-03-01 2005-01-28
WASHINGTON INCOME ADVISORS SOLE PROPRIETOR direct 2004-03-01 2005-02-18
CARDINAL CAPITAL MANAGEEMENT,INC. SHAREHOLDER indirect 2001-05-01 2005-03-04
MORGAN STANLEY AIP GP LP MANAGING MEMBER OF GRYPHON HOLDING LLC indirect 1996-07-01 2005-03-31
MANUFACTUERES SECURITIES SERVICES LLC SHAREHOLDER indirect 1999-09-01 2005-03-31
MORGAN STANLEY AIP GP LP 50% LIMITED PARTNER INTEREST IN MAS CAPITAL MANAGEMENT PARTNERS LP indirect 2000-11-01 2005-03-31
MANUFACTURERS SECURITIES SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2005-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (COMMON STOCK) indirect 2000-10-01 2005-06-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2005-06-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-10-01 2005-07-26
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-12-01 2006-03-31
CONCORD EQUITY GROUP ADVISORS LLC SHAREHOLDER (RIA ONLY) direct 2005-02-01 2006-03-31
KBC ALTERNATIVE INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2001-06-01 2006-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-10-01 2006-03-31
MORGAN STANLEY DEAN WITTER ALTERNATIVE MANAGING MEMBER OF GRYPHON HOLDING LLC indirect 1996-07-01 2006-04-18
MORGAN STANLEY DEAN WITTER ALTERNATIVE 50% LIMITED PARTNER INTEREST IN MAS CAPITAL MANAGEMENT PARTNERS LP indirect 2000-11-01 2006-04-18
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS CALIFORNIA CORPORATION indirect 2004-01-01 2006-11-09
GLEACHER ADVISORS LLC MEMBER direct 2004-04-01 2006-12-04
GLEACHER ADVISORS LLC MEMBER indirect 2004-04-01 2006-12-04
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2006-12-05
MFC GLOBAL INVESTMENT ADVISORY LIMITED SHAREHOLDER indirect 1999-09-01 2007-03-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2007-03-30
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 1999-09-01 2007-06-28
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2007-07-13
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2008-07-10
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2009-03-30
SEAMARK ASSET MANAGEMENT LTD. SHAREHOLDER indirect 2001-07-01 2009-05-08
MARITIME INVESTMENT MANAGEMENT INC. SHAREHOLDER indirect 2001-07-01 2009-05-08
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS BANK PLC indirect 1996-01-01 2009-06-22
DELAWARE INTERNATIONAL ADVISERS LTD MINORITY SHAREHOLDER OF REGISTRANT direct 1990-09-01 2011-03-31
H.D. VEST ADVISORY SERVICES, INC PARTHENON INVESTORS III, L.P. direct 2004-11-01 2012-01-10
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA INVESTMENTS GENPAR, LLC direct 1999-04-01 2014-07-31
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA CAPITAL PARTNERS II, LLC direct 2001-11-01 2014-07-31
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA CAPITAL PARTNERS III, LLC direct 2003-10-01 2014-07-31
AVENUE CAPITAL MANAGEMENT II, L.P. MEMBER OF AVENUE PARTNERS, LLC indirect 2004-01-01 2015-02-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2015-11-23
GENSTAR CAPITAL MANAGEMENT LLC GENERAL PARTNER, GENSTAR CAPITAL, L.P. direct 2000-01-01 2016-12-06
GENSTAR CAPITAL MANAGEMENT LLC MEMBER indirect 2000-01-01 2016-12-06
LAWTON, KATHLEEN PRESIDENT KAYCO, INC. 05/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEEMENT,INC. PRESIDENT indirect 2001-05-01

CARDINAL CAPITAL MANAGEMENT, INC.

ownership team - last updated 2017-12-12
Name Title Start Date Direct/Indirect % Ownership
BURT, TIMOTHY, E. SENIOR VICE PRESIDENT - BUSINESS DEVELOPMENT 10/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEEMENT,INC. PRESIDENT direct 1992-08-01
CARDINAL CAPITAL MANAGEMENT, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER (01/2005) direct 1992-08-01
CARDINAL CAPITAL MANAGEMENT, INC. PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 1992-08-01
CARDINAL CAPITAL MANAGEMENT, INC. SENIOR VICE PRESIDENT - BUSINESS DEVELOPMENT direct 2016-10-01
CARDINAL CAPITAL MANAGEMENT, INC. SENIOR VICE PRESIDENT - BUSINESS DEVELOPMENT/CHIEF COMPLIANCE OFFICER direct 2016-10-01
ICPM HOLDINGS, INC. SHAREHOLDER 05/01/2001 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BATTERY MANAGEMENT CORP. SHAREHOLDER direct 2005-01-01
MMGC FINANCIAL SERVICES OWNER direct 2005-02-01
CDC INVESTMENT MANAGEMENT CORP GOVERNMENT SPOSORED indirect 1816-01-01
PNB INVESTMENT LIMITED SHAREHOLDER direct 1988-11-01
CDC INVESTMENT MANAGEMENT CORP SHAREHOLDER indirect 1990-03-01
CARR GLOBAL ADVISORS INC SHAREHOLDER indirect 1991-12-01
HOUSATONIC MANAGEMENT COMPANY, INC. MEMBER (OF HOUSATONIC MANAGEMENT COMPANY, INC.) direct 1995-12-01
CARR GLOBAL ADVISORS INC SHAREHOLDER indirect 1996-12-01
HGI INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 1997-02-01
NOMURA IBJ GLOBAL INVESTMENT ADVISORS INC SHAREHOLDER indirect 1997-06-01
JH PARTNERS, LLC OWNER, MANAGING MEMBER indirect 1999-01-01
MANUFACTURES ADVISER CORPORATION SHAREHOLDER indirect 1999-09-01
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 1999-09-01
QUANTUM RESOURCES ADVISORS, LLC PARTNER indirect 2000-01-01
QUANTUM RESOURCES ADVISORS, LLC LIMITED PARTNER indirect 2000-01-01
PEGASUS ASSOCIATES, LLC MEMBER direct 2000-06-01
BARCLAYS GLOBAL INVESTORS CANADA LIMITED SHAREHOLDER indirect 2000-11-01
BARCLAYS GLOBAL INVESTORS CANADA LIMITED SHAREHOLDER direct 2000-12-01
PEGASUS GROUP, LLC MEMBER direct 2001-05-01
CARDINAL CAPITAL MANAGEEMENT,INC. SHAREHOLDER direct 2001-05-01
CARDINAL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2001-05-01
STANDISH INTERNATIONAL MANAGEMENT COMPANY, LLC SOLE OWNER OF STANDISH MELLON ASSET MANAGEMENT COMPANY LLC indirect 2001-07-01
STAR HARBOR WEALTH MANAGEMENT, L.L.C. OWNER direct 2002-01-01
STONEBRIDGE CAPITAL MANAGEMENT VII, LLC MEMBER direct 2002-03-01
GLEACHER FUND ADVISORS LP GENERAL PARTNER direct 2002-03-01
BOWMAN HADDON WEALTH MANAGEMENT, LLC MEMBER direct 2002-06-01
BOWMAN HADDON WEALTH MANAGEMENT, LLC MEMBER indirect 2002-06-01
WESTPORT ASSET MANAGEMENT INC TRUST direct 2002-11-01
WESTPORT ADVISERS LLC TRUST indirect 2002-11-01
WASHINGTON INCOME ADVISORS HOLDING COMPANY direct 2004-03-01
CAPITAL MANAGEMENT STRATEGIES FINACIAL SERVICES INC PARENT CORPORATION indirect 2001-01-01 2001-01-29
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2001-01-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2001-01-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SUPERVISOR indirect 2000-10-01 2001-01-31
SII INVESTMENTS, INC. SHAREHOLDER indirect 1991-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1991-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1996-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1997-01-01 2001-03-28
NOMURA SECURITIES INTERNATIONAL, INC. PARENT indirect 1989-04-01 2001-04-30
NOMURA IBJ GLOBAL INVESTMENT ADVISORS INC SHAREHOLDER direct 1999-06-01 2001-04-30
CDC IXIS ASSET MANAGEMENT SUPERVISOR indirect 1812-01-01 2001-06-12
NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC INDIRECT OWNER indirect 1991-03-01 2001-06-18
IFC HOLDINGS, INC. SHAREHOLDER indirect 1991-11-01 2001-08-06
IFC HOLDINGS, INC. SHAREHOLDER indirect 1996-11-01 2001-08-06
IFC HOLDINGS, INC. SHAREHOLDER indirect 1997-01-01 2001-08-06
KRASNEY HOLIDAY FINANCIAL GROUP, LLC MEMBER direct 2001-05-01 2001-08-13
NOMURA FUNDS RESEARCH AND TECHNOLOGIES AMERICA INC. SHAREHOLDER indirect 2001-05-01 2001-08-31
NOMURA SECURITIES INTERNATIONAL, INC. PARENT indirect 2001-10-01 2002-01-07
SWISS AMERICAN SECURITIES INC. OWNER direct 1973-03-01 2002-02-25
SWISS AMERICAN SECURITIES INC. OWNER indirect 1997-01-01 2002-02-25
SWISS AMERICAN SECURITIES INC. OWNER indirect 1997-01-01 2002-02-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2002-03-28
MAXWELL NOLL INC OWNER direct 2002-10-01 2003-03-21
MMGC FINANCIAL SERVICES OWNER direct 1993-09-01 2003-03-31
HEWINS FINANCIAL ADVISORS, LLC SOLE MEMBER OF WIPFLI FINANCIAL, LLC indirect 2000-07-01 2003-05-14
KOPP INVESTMENT ADVISORS, INC SOLE MEMBER direct 2003-09-01 2003-10-29
LUTZ FINANCIAL SERVICES, LLC MEMBER direct 2001-08-01 2004-03-18
MERCADIEN ASSET MANAGEMENT, LLC MEMBER direct 2000-07-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (SERIES A) indirect 2002-10-01 2004-03-30
WESTPORT ADVISERS LLC TRUST direct 2002-11-01 2004-03-30
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS USA, INC. indirect 2000-01-01 2004-04-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (COMMON STOCK) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (SERIES A) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-06-01 2004-07-12
HANCOCK VENTURE PARTNERS, INC. SHAREHOLDER indirect 2004-04-01 2004-08-12
DECLARATION MANAGEMENT & RESEARCH LLC SHAREHOLDER indirect 2004-04-01 2004-09-23
INDEPENDENCE INVESTMENT LLC SHAREHOLDER indirect 2004-04-01 2004-09-29
FINTEGRA, LLC 71.50 % OWNER indirect 1994-03-01 2005-01-28
WASHINGTON INCOME ADVISORS SOLE PROPRIETOR direct 2004-03-01 2005-02-18
CARDINAL CAPITAL MANAGEEMENT,INC. SHAREHOLDER indirect 2001-05-01 2005-03-04
MORGAN STANLEY AIP GP LP MANAGING MEMBER OF GRYPHON HOLDING LLC indirect 1996-07-01 2005-03-31
MANUFACTUERES SECURITIES SERVICES LLC SHAREHOLDER indirect 1999-09-01 2005-03-31
MORGAN STANLEY AIP GP LP 50% LIMITED PARTNER INTEREST IN MAS CAPITAL MANAGEMENT PARTNERS LP indirect 2000-11-01 2005-03-31
MANUFACTURERS SECURITIES SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2005-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (COMMON STOCK) indirect 2000-10-01 2005-06-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2005-06-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-10-01 2005-07-26
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-12-01 2006-03-31
CONCORD EQUITY GROUP ADVISORS LLC SHAREHOLDER (RIA ONLY) direct 2005-02-01 2006-03-31
KBC ALTERNATIVE INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2001-06-01 2006-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-10-01 2006-03-31
MORGAN STANLEY DEAN WITTER ALTERNATIVE MANAGING MEMBER OF GRYPHON HOLDING LLC indirect 1996-07-01 2006-04-18
MORGAN STANLEY DEAN WITTER ALTERNATIVE 50% LIMITED PARTNER INTEREST IN MAS CAPITAL MANAGEMENT PARTNERS LP indirect 2000-11-01 2006-04-18
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS CALIFORNIA CORPORATION indirect 2004-01-01 2006-11-09
GLEACHER ADVISORS LLC MEMBER direct 2004-04-01 2006-12-04
GLEACHER ADVISORS LLC MEMBER indirect 2004-04-01 2006-12-04
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2006-12-05
MFC GLOBAL INVESTMENT ADVISORY LIMITED SHAREHOLDER indirect 1999-09-01 2007-03-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2007-03-30
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 1999-09-01 2007-06-28
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2007-07-13
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2008-07-10
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2009-03-30
SEAMARK ASSET MANAGEMENT LTD. SHAREHOLDER indirect 2001-07-01 2009-05-08
MARITIME INVESTMENT MANAGEMENT INC. SHAREHOLDER indirect 2001-07-01 2009-05-08
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS BANK PLC indirect 1996-01-01 2009-06-22
DELAWARE INTERNATIONAL ADVISERS LTD MINORITY SHAREHOLDER OF REGISTRANT direct 1990-09-01 2011-03-31
H.D. VEST ADVISORY SERVICES, INC PARTHENON INVESTORS III, L.P. direct 2004-11-01 2012-01-10
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA INVESTMENTS GENPAR, LLC direct 1999-04-01 2014-07-31
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA CAPITAL PARTNERS II, LLC direct 2001-11-01 2014-07-31
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA CAPITAL PARTNERS III, LLC direct 2003-10-01 2014-07-31
AVENUE CAPITAL MANAGEMENT II, L.P. MEMBER OF AVENUE PARTNERS, LLC indirect 2004-01-01 2015-02-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2015-11-23
GENSTAR CAPITAL MANAGEMENT LLC GENERAL PARTNER, GENSTAR CAPITAL, L.P. direct 2000-01-01 2016-12-06
GENSTAR CAPITAL MANAGEMENT LLC MEMBER indirect 2000-01-01 2016-12-06
SHAW, BRIAN, D DIRECTOR/SHAREHOLDER 10/01/1993 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEEMENT,INC. EXECUTIVE VICE PRESIDENT direct 1993-10-01
CARDINAL CAPITAL MANAGEMENT, INC. DIRECTOR/SHAREHOLDER direct 1993-10-01
CARDINAL CAPITAL MANAGEMENT, INC. DIRECTOR direct 1993-10-01
LAWTON, JAMES DIRECTOR 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEEMENT,INC. DIRECTOR direct 2001-05-01
TOWNSEND, WAYNE DIRECTOR 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEEMENT,INC. DIRECTOR direct 2001-05-01
WITTMIER, ELDON DIRECTOR 05/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEEMENT,INC. DIRECTOR direct 2001-05-01
ENGEL, DONALD, CRAIG DIRECTOR 05/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEMENT, INC. DIRECTOR direct 2000-05-01
CARDINAL CAPITAL MANAGEMENT, INC. INDEPENDENT DIRECTOR direct 2007-11-01
BURT, EMILY, ANNE DIRECTOR/SHAREHOLDER 08/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEMENT, INC. DIRECTOR direct 2011-08-01
CARDINAL CAPITAL MANAGEMENT, INC. DIRECTOR/SHAREHOLDER direct 2011-08-01
Mancer, Evan PRESIDENT/CIO 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEMENT, INC. PRESIDENT/CIO direct 2016-10-01
Osborn, DeWayne CHIEF COMPLIANCE OFFICER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2016-04-01
KAYCO, INC. SHAREHOLDER ICPM HOLDINGS, INC. 05/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
BATTERY MANAGEMENT CORP. SHAREHOLDER direct 2005-01-01
MMGC FINANCIAL SERVICES OWNER direct 2005-02-01
CDC INVESTMENT MANAGEMENT CORP GOVERNMENT SPOSORED indirect 1816-01-01
PNB INVESTMENT LIMITED SHAREHOLDER direct 1988-11-01
CDC INVESTMENT MANAGEMENT CORP SHAREHOLDER indirect 1990-03-01
CARR GLOBAL ADVISORS INC SHAREHOLDER indirect 1991-12-01
HOUSATONIC MANAGEMENT COMPANY, INC. MEMBER (OF HOUSATONIC MANAGEMENT COMPANY, INC.) direct 1995-12-01
CARR GLOBAL ADVISORS INC SHAREHOLDER indirect 1996-12-01
HGI INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 1997-02-01
NOMURA IBJ GLOBAL INVESTMENT ADVISORS INC SHAREHOLDER indirect 1997-06-01
JH PARTNERS, LLC OWNER, MANAGING MEMBER indirect 1999-01-01
MANUFACTURES ADVISER CORPORATION SHAREHOLDER indirect 1999-09-01
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 1999-09-01
QUANTUM RESOURCES ADVISORS, LLC PARTNER indirect 2000-01-01
QUANTUM RESOURCES ADVISORS, LLC LIMITED PARTNER indirect 2000-01-01
PEGASUS ASSOCIATES, LLC MEMBER direct 2000-06-01
BARCLAYS GLOBAL INVESTORS CANADA LIMITED SHAREHOLDER indirect 2000-11-01
BARCLAYS GLOBAL INVESTORS CANADA LIMITED SHAREHOLDER direct 2000-12-01
PEGASUS GROUP, LLC MEMBER direct 2001-05-01
CARDINAL CAPITAL MANAGEEMENT,INC. SHAREHOLDER direct 2001-05-01
CARDINAL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2001-05-01
STANDISH INTERNATIONAL MANAGEMENT COMPANY, LLC SOLE OWNER OF STANDISH MELLON ASSET MANAGEMENT COMPANY LLC indirect 2001-07-01
STAR HARBOR WEALTH MANAGEMENT, L.L.C. OWNER direct 2002-01-01
STONEBRIDGE CAPITAL MANAGEMENT VII, LLC MEMBER direct 2002-03-01
GLEACHER FUND ADVISORS LP GENERAL PARTNER direct 2002-03-01
BOWMAN HADDON WEALTH MANAGEMENT, LLC MEMBER direct 2002-06-01
BOWMAN HADDON WEALTH MANAGEMENT, LLC MEMBER indirect 2002-06-01
WESTPORT ASSET MANAGEMENT INC TRUST direct 2002-11-01
WESTPORT ADVISERS LLC TRUST indirect 2002-11-01
WASHINGTON INCOME ADVISORS HOLDING COMPANY direct 2004-03-01
CAPITAL MANAGEMENT STRATEGIES FINACIAL SERVICES INC PARENT CORPORATION indirect 2001-01-01 2001-01-29
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2001-01-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2001-01-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SUPERVISOR indirect 2000-10-01 2001-01-31
SII INVESTMENTS, INC. SHAREHOLDER indirect 1991-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1991-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1996-11-01 2001-03-28
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1997-01-01 2001-03-28
NOMURA SECURITIES INTERNATIONAL, INC. PARENT indirect 1989-04-01 2001-04-30
NOMURA IBJ GLOBAL INVESTMENT ADVISORS INC SHAREHOLDER direct 1999-06-01 2001-04-30
CDC IXIS ASSET MANAGEMENT SUPERVISOR indirect 1812-01-01 2001-06-12
NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC INDIRECT OWNER indirect 1991-03-01 2001-06-18
IFC HOLDINGS, INC. SHAREHOLDER indirect 1991-11-01 2001-08-06
IFC HOLDINGS, INC. SHAREHOLDER indirect 1996-11-01 2001-08-06
IFC HOLDINGS, INC. SHAREHOLDER indirect 1997-01-01 2001-08-06
KRASNEY HOLIDAY FINANCIAL GROUP, LLC MEMBER direct 2001-05-01 2001-08-13
NOMURA FUNDS RESEARCH AND TECHNOLOGIES AMERICA INC. SHAREHOLDER indirect 2001-05-01 2001-08-31
NOMURA SECURITIES INTERNATIONAL, INC. PARENT indirect 2001-10-01 2002-01-07
SWISS AMERICAN SECURITIES INC. OWNER direct 1973-03-01 2002-02-25
SWISS AMERICAN SECURITIES INC. OWNER indirect 1997-01-01 2002-02-25
SWISS AMERICAN SECURITIES INC. OWNER indirect 1997-01-01 2002-02-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2002-03-28
MAXWELL NOLL INC OWNER direct 2002-10-01 2003-03-21
MMGC FINANCIAL SERVICES OWNER direct 1993-09-01 2003-03-31
HEWINS FINANCIAL ADVISORS, LLC SOLE MEMBER OF WIPFLI FINANCIAL, LLC indirect 2000-07-01 2003-05-14
KOPP INVESTMENT ADVISORS, INC SOLE MEMBER direct 2003-09-01 2003-10-29
LUTZ FINANCIAL SERVICES, LLC MEMBER direct 2001-08-01 2004-03-18
MERCADIEN ASSET MANAGEMENT, LLC MEMBER direct 2000-07-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2004-03-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (SERIES A) indirect 2002-10-01 2004-03-30
WESTPORT ADVISERS LLC TRUST direct 2002-11-01 2004-03-30
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS USA, INC. indirect 2000-01-01 2004-04-30
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (COMMON STOCK) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (SERIES A) indirect 2000-10-01 2004-07-12
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-06-01 2004-07-12
HANCOCK VENTURE PARTNERS, INC. SHAREHOLDER indirect 2004-04-01 2004-08-12
DECLARATION MANAGEMENT & RESEARCH LLC SHAREHOLDER indirect 2004-04-01 2004-09-23
INDEPENDENCE INVESTMENT LLC SHAREHOLDER indirect 2004-04-01 2004-09-29
FINTEGRA, LLC 71.50 % OWNER indirect 1994-03-01 2005-01-28
WASHINGTON INCOME ADVISORS SOLE PROPRIETOR direct 2004-03-01 2005-02-18
CARDINAL CAPITAL MANAGEEMENT,INC. SHAREHOLDER indirect 2001-05-01 2005-03-04
MORGAN STANLEY AIP GP LP MANAGING MEMBER OF GRYPHON HOLDING LLC indirect 1996-07-01 2005-03-31
MANUFACTUERES SECURITIES SERVICES LLC SHAREHOLDER indirect 1999-09-01 2005-03-31
MORGAN STANLEY AIP GP LP 50% LIMITED PARTNER INTEREST IN MAS CAPITAL MANAGEMENT PARTNERS LP indirect 2000-11-01 2005-03-31
MANUFACTURERS SECURITIES SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2005-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER (COMMON STOCK) indirect 2000-10-01 2005-06-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2000-10-01 2005-06-23
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-10-01 2005-07-26
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-12-01 2006-03-31
CONCORD EQUITY GROUP ADVISORS LLC SHAREHOLDER (RIA ONLY) direct 2005-02-01 2006-03-31
KBC ALTERNATIVE INVESTMENT MANAGEMENT LIMITED SHAREHOLDER direct 2001-06-01 2006-03-31
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-10-01 2006-03-31
MORGAN STANLEY DEAN WITTER ALTERNATIVE MANAGING MEMBER OF GRYPHON HOLDING LLC indirect 1996-07-01 2006-04-18
MORGAN STANLEY DEAN WITTER ALTERNATIVE 50% LIMITED PARTNER INTEREST IN MAS CAPITAL MANAGEMENT PARTNERS LP indirect 2000-11-01 2006-04-18
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS CALIFORNIA CORPORATION indirect 2004-01-01 2006-11-09
GLEACHER ADVISORS LLC MEMBER direct 2004-04-01 2006-12-04
GLEACHER ADVISORS LLC MEMBER indirect 2004-04-01 2006-12-04
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2002-01-01 2006-12-05
MFC GLOBAL INVESTMENT ADVISORY LIMITED SHAREHOLDER indirect 1999-09-01 2007-03-07
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2007-03-30
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 1999-09-01 2007-06-28
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2007-07-13
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2008-07-10
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC SHAREHOLDER indirect 2003-12-01 2009-03-30
SEAMARK ASSET MANAGEMENT LTD. SHAREHOLDER indirect 2001-07-01 2009-05-08
MARITIME INVESTMENT MANAGEMENT INC. SHAREHOLDER indirect 2001-07-01 2009-05-08
BARCLAYS GLOBAL FUND ADVISORS SOLE SHAREHOLDER OF BARCLAYS BANK PLC indirect 1996-01-01 2009-06-22
DELAWARE INTERNATIONAL ADVISERS LTD MINORITY SHAREHOLDER OF REGISTRANT direct 1990-09-01 2011-03-31
H.D. VEST ADVISORY SERVICES, INC PARTHENON INVESTORS III, L.P. direct 2004-11-01 2012-01-10
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA INVESTMENTS GENPAR, LLC direct 1999-04-01 2014-07-31
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA CAPITAL PARTNERS II, LLC direct 2001-11-01 2014-07-31
AVENUE ASIA CAPITAL MANAGEMENT, L.P. MEMBER OF AVENUE ASIA CAPITAL PARTNERS III, LLC direct 2003-10-01 2014-07-31
AVENUE CAPITAL MANAGEMENT II, L.P. MEMBER OF AVENUE PARTNERS, LLC indirect 2004-01-01 2015-02-25
CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP SHAREHOLDER indirect 2004-08-01 2015-11-23
GENSTAR CAPITAL MANAGEMENT LLC GENERAL PARTNER, GENSTAR CAPITAL, L.P. direct 2000-01-01 2016-12-06
GENSTAR CAPITAL MANAGEMENT LLC MEMBER indirect 2000-01-01 2016-12-06
LAWTON, KATHLEEN PRESIDENT KAYCO, INC. 05/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CARDINAL CAPITAL MANAGEEMENT,INC. PRESIDENT indirect 2001-05-01

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