EAM GLOBAL INVESTORS LLC

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EAM Global Investors is based out of Solana Beach. EAM Global Investors is a hedge fund with 13 clients and discretionary assets under management (AUM) of $1,481,803,128 (Form ADV from 2021-03-29). Their last reported 13F filing for Q2 2021 included $361,145,000 in managed 13F securities and a top 10 holdings concentration of 16.24%. EAM Global Investors's largest holding is NeoGames S.A. with shares held of 186,775. EAM Global Investors has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 15 13F filings

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06/30/2021

13F Activity

  • Market Value $361.145 Million
  • Prior Market Value $360.967 Million
  • New Purchases91 stocks
  • Additional Purchases2 stocks
  • Sold out of89 stocks
  • Reduced holdings in39 stocks
  • Top 10 Holdings % 16.24 %
  • Turnover % [1]:127.66%
  • Turnover Alt % [2]: 64.67 %
  • Time Held Top20:0.65 quarters
  • Time Held Top10:0.70 quarters
  • Time Held All:0.90 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.

06/30/2021

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-08-16

Performance for Q2 2021: 8.11%
Performance Last 4 Quarters: 60.55%
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

View Last Form Adv Compilation Report on Record

EAM GLOBAL INVESTORS LLC
Classified as Hedge Fund
215 HIGHWAY 101 SUITE 216
SOLANA BEACH CA    92075
Country: United States

Business Phone: 760-479-5080
Fax: 760-633-1431
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 19
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities: 315,408,000
Total Number of Clients: 13
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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EAM GLOBAL INVESTORS LLC

ownership team - last updated 2021-03-29
Name Title Start Date Direct/Indirect % Ownership
EAM INVESTORS, LLC MANAGER/CLASS A COMMON UNIT HOLDER 05/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
EAM GLOBAL INVESTORS LLC MANAGER/CLASS A COMMON UNIT HOLDER direct 2014-05-01
WACO LIMITED, LLC CLASS A COMMON UNIT HOLDER 05/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CORTINA ASSET MANAGEMENT, LLC MEMBER direct 2007-06-01
EAM INVESTORS, LLC MEMBER direct 2014-01-01
NEW SHERIDAN ADVISORS, LLC MEMBER direct 2014-01-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2014-01-01
EAM GLOBAL INVESTORS LLC CLASS A COMMON UNIT HOLDER direct 2014-05-01
WEISENBERGER, MONTIE, LEE MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER 05/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT, COO, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER direct 2007-07-01
EAM INVESTORS, LLC SENIOR VICE PRESIDENT, MANAGING MEMBER direct 2007-07-01
EUDAIMONIA ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT direct 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER direct 2014-05-01
PRENTICE, TRAVIS, TYLER PRESIDENT, CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR, CLASS B COMMON UNIT HOLDER 05/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC CEO, PRESIDENT direct 2007-07-01
EAM INVESTORS, LLC CEO, CHIEF INVESTMENT OFFICER, MANAGING MEMBER direct 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2007-07-01
EAM GLOBAL INVESTORS LLC PRESIDENT, CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR, CLASS B COMMON UNIT HOLDER direct 2014-05-01
GAERTNER, DEREK, JOHN CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, CLASS A COMMON UNIT HOLDER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORREY PINES CAPITAL MANAGEMENT, LP CHIEF FINANCIAL OFFICER direct 2004-08-01
TORREY PINES CAPITAL MANAGEMENT, LP CHIEF COMPLIANCE OFFICER direct 2004-08-01
EAM INVESTORS, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, MEMBER direct 2007-10-01
EUDAIMONIA ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER direct 2007-10-01
EAM GLOBAL INVESTORS LLC CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, CLASS A COMMON UNIT HOLDER direct 2014-05-01
HURST, FRANK, PAGE MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER 05/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
DUNCAN HURST CAPITAL MANAGEMENT INC PRESIDENT direct 1990-05-01
EAM INVESTORS, LLC PRESIDENT, MANAGING MEMBER direct 2011-06-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2011-06-01
EAM GLOBAL INVESTORS LLC MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER direct 2014-05-01
DUNCAN-HURST CAPITAL MANAGEMENT, L.P. PRESIDENT, MEMBER OF MANAGEMENT COMMITTEE direct 2003-12-01 2005-03-30
BERKELEY CAPITAL MANAGEMENT LLC PRESIDENT direct 2007-03-01 2007-05-03
RELATIONAL INVESTORS LLC MEMBER indirect 2007-11-01 2009-09-17
RELATIONAL INVESTORS LLC SENIOR MANAGING DIRECTOR, MARKETING direct 2007-11-01 2011-01-05
MOSS, JOSHUA, MATTHEW VICE PRESIDENT, CLASS B COMMON UNIT HOLDER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC VICE PRESIDENT, SECRETARY direct 2007-07-01
EAM INVESTORS, LLC VICE PRESIDENT, MEMBER direct 2007-07-01
EAM GLOBAL INVESTORS LLC VICE PRESIDENT, CLASS B COMMON UNIT HOLDER direct 2014-05-01
NORTHERN LIGHTS MIDCO, LLC PREFERRED UNIT HOLDER 07/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SEIZERT CAPITAL PARTNERS, LLC MEMBER direct 2014-07-01
SEIZERT CAPITAL PARTNERS, LLC UNITHOLDER indirect 2016-12-01
APERIO GROUP, LLC MEMBER direct 2016-01-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2014-07-01
TAMRO CAPITAL PARTNERS LLC MEMBER direct 2014-07-01
AETHER INVESTMENT PARTNERS, LLC MEMBER direct 2014-07-01
AETHER INVESTMENT PARTNERS, LLC MEMBER direct 2014-10-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2016-12-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SHAREHOLDER direct 2014-07-01
RAVEN CAPITAL MANAGEMENT LLC MEMBER direct 2014-07-01
BLACKCRANE CAPITAL, LLC MEMBER, OWNER direct 2014-07-01
EAM GLOBAL INVESTORS LLC PREFERRED UNIT HOLDER direct 2014-07-01
GOODHART PARTNERS LLP SHAREHOLDER indirect 2014-11-01
GQG PARTNERS LLC MEMBER direct 2016-04-01
EAM INVESTORS, LLC MANAGER/CLASS A COMMON UNIT HOLDER 05/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
EAM GLOBAL INVESTORS LLC MANAGER/CLASS A COMMON UNIT HOLDER direct 2014-05-01
WACO LIMITED, LLC CLASS A COMMON UNIT HOLDER 05/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CORTINA ASSET MANAGEMENT, LLC MEMBER direct 2007-06-01
EAM INVESTORS, LLC MEMBER direct 2014-01-01
NEW SHERIDAN ADVISORS, LLC MEMBER direct 2014-01-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2014-01-01
EAM GLOBAL INVESTORS LLC CLASS A COMMON UNIT HOLDER direct 2014-05-01
WEISENBERGER, MONTIE, LEE MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER 05/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT, COO, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER direct 2007-07-01
EAM INVESTORS, LLC SENIOR VICE PRESIDENT, MANAGING MEMBER direct 2007-07-01
EUDAIMONIA ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT direct 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER direct 2014-05-01
PRENTICE, TRAVIS, TYLER PRESIDENT, CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR, CLASS B COMMON UNIT HOLDER 05/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC CEO, PRESIDENT direct 2007-07-01
EAM INVESTORS, LLC CEO, CHIEF INVESTMENT OFFICER, MANAGING MEMBER direct 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2007-07-01
EAM GLOBAL INVESTORS LLC PRESIDENT, CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR, CLASS B COMMON UNIT HOLDER direct 2014-05-01
GAERTNER, DEREK, JOHN CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, CLASS A COMMON UNIT HOLDER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORREY PINES CAPITAL MANAGEMENT, LP CHIEF FINANCIAL OFFICER direct 2004-08-01
TORREY PINES CAPITAL MANAGEMENT, LP CHIEF COMPLIANCE OFFICER direct 2004-08-01
EAM INVESTORS, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, MEMBER direct 2007-10-01
EUDAIMONIA ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER direct 2007-10-01
EAM GLOBAL INVESTORS LLC CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, CLASS A COMMON UNIT HOLDER direct 2014-05-01
HURST, FRANK, PAGE MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER 05/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
DUNCAN HURST CAPITAL MANAGEMENT INC PRESIDENT direct 1990-05-01
EAM INVESTORS, LLC PRESIDENT, MANAGING MEMBER direct 2011-06-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2011-06-01
EAM GLOBAL INVESTORS LLC MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER direct 2014-05-01
DUNCAN-HURST CAPITAL MANAGEMENT, L.P. PRESIDENT, MEMBER OF MANAGEMENT COMMITTEE direct 2003-12-01 2005-03-30
BERKELEY CAPITAL MANAGEMENT LLC PRESIDENT direct 2007-03-01 2007-05-03
RELATIONAL INVESTORS LLC MEMBER indirect 2007-11-01 2009-09-17
RELATIONAL INVESTORS LLC SENIOR MANAGING DIRECTOR, MARKETING direct 2007-11-01 2011-01-05
MOSS, JOSHUA, MATTHEW VICE PRESIDENT, CLASS B COMMON UNIT HOLDER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC VICE PRESIDENT, SECRETARY direct 2007-07-01
EAM INVESTORS, LLC VICE PRESIDENT, MEMBER direct 2007-07-01
EAM GLOBAL INVESTORS LLC VICE PRESIDENT, CLASS B COMMON UNIT HOLDER direct 2014-05-01
NORTHERN LIGHTS MIDCO, LLC PREFERRED UNIT HOLDER 07/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SEIZERT CAPITAL PARTNERS, LLC MEMBER direct 2014-07-01
SEIZERT CAPITAL PARTNERS, LLC UNITHOLDER indirect 2016-12-01
APERIO GROUP, LLC MEMBER direct 2016-01-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2014-07-01
TAMRO CAPITAL PARTNERS LLC MEMBER direct 2014-07-01
AETHER INVESTMENT PARTNERS, LLC MEMBER direct 2014-07-01
AETHER INVESTMENT PARTNERS, LLC MEMBER direct 2014-10-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2016-12-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SHAREHOLDER direct 2014-07-01
RAVEN CAPITAL MANAGEMENT LLC MEMBER direct 2014-07-01
BLACKCRANE CAPITAL, LLC MEMBER, OWNER direct 2014-07-01
EAM GLOBAL INVESTORS LLC PREFERRED UNIT HOLDER direct 2014-07-01
GOODHART PARTNERS LLP SHAREHOLDER indirect 2014-11-01
GQG PARTNERS LLC MEMBER direct 2016-04-01
WEISENBERGER, MONTIE, LEE MANAGING MEMBER EAM INVESTORS, LLC 07/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT, COO, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER direct 2007-07-01
EAM INVESTORS, LLC SENIOR VICE PRESIDENT, MANAGING MEMBER direct 2007-07-01
EUDAIMONIA ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT direct 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER direct 2014-05-01
PRENTICE, TRAVIS, TYLER MANAGING MEMBER EAM INVESTORS, LLC 07/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC CEO, PRESIDENT direct 2007-07-01
EAM INVESTORS, LLC CEO, CHIEF INVESTMENT OFFICER, MANAGING MEMBER direct 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2007-07-01
EAM GLOBAL INVESTORS LLC PRESIDENT, CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR, CLASS B COMMON UNIT HOLDER direct 2014-05-01
HURST, FRANK, PAGE MANAGING MEMBER EAM INVESTORS, LLC 06/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
DUNCAN HURST CAPITAL MANAGEMENT INC PRESIDENT direct 1990-05-01
EAM INVESTORS, LLC PRESIDENT, MANAGING MEMBER direct 2011-06-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2011-06-01
EAM GLOBAL INVESTORS LLC MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER direct 2014-05-01
DUNCAN-HURST CAPITAL MANAGEMENT, L.P. PRESIDENT, MEMBER OF MANAGEMENT COMMITTEE direct 2003-12-01 2005-03-30
BERKELEY CAPITAL MANAGEMENT LLC PRESIDENT direct 2007-03-01 2007-05-03
RELATIONAL INVESTORS LLC MEMBER indirect 2007-11-01 2009-09-17
RELATIONAL INVESTORS LLC SENIOR MANAGING DIRECTOR, MARKETING direct 2007-11-01 2011-01-05
WACO LIMITED, LLC MEMBER EAM INVESTORS, LLC 01/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CORTINA ASSET MANAGEMENT, LLC MEMBER direct 2007-06-01
EAM INVESTORS, LLC MEMBER direct 2014-01-01
NEW SHERIDAN ADVISORS, LLC MEMBER direct 2014-01-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2014-01-01
EAM GLOBAL INVESTORS LLC CLASS A COMMON UNIT HOLDER direct 2014-05-01
CR FINANCIAL HOLDINGS, INC. MEMBER WACO LIMITED, LLC 01/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ROTH CAPITAL PARTNERS GP, LLC SHAREHOLDER indirect 2000-01-01
GROW PARTNERS LLC MEMBER indirect 2012-03-01
CORTINA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2013-12-01
EAM INVESTORS, LLC MEMBER indirect 2014-01-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2014-01-01
NEW SHERIDAN ADVISORS, LLC MEMBER indirect 2014-01-01
EUDAIMONIA ASSET MANAGEMENT, LLC MEMBER indirect 2002-12-01 2008-01-28
EAM INVESTORS, LLC MEMBER direct 2008-05-01 2013-07-16
CORTINA ASSET MANAGEMENT, LLC OWNER indirect 2000-01-01 2013-10-04
NEW SHERIDAN ADVISORS, LLC MEMBER direct 2013-06-01 2013-11-05
CORTINA ASSET MANAGEMENT, LLC MEMBER direct 2007-06-01 2016-08-26
CORTINA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2013-12-01 2016-08-26
ROTH, BYRON, CLARENCE SHAREHOLDER CR FINANCIAL HOLDINGS, INC. 01/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEW SHERIDAN ADVISORS, LLC SHAREHOLDER, CEO indirect 2000-01-01
EUDAIMONIA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2000-01-01
CORTINA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2000-01-01
EAM GLOBAL INVESTORS LLC SHAREHOLDER indirect 2000-01-01
ROTH CAPITAL PARTNERS GP, LLC TRUSTEE indirect 2000-02-01
GROW PARTNERS LLC SHAREHOLDER indirect 2001-01-01
ROTH CAPITAL PARTNERS GP, LLC CHIEF EXECUTIVE OFFICER direct 2001-06-01
EUDAIMONIA ASSET MANAGEMENT, LLC CHAIRMAN/CEO/MANAGER indirect 2001-02-01 2008-01-28
CORTINA ASSET MANAGEMENT, LLC OWNER indirect 2000-01-01 2013-10-14
NEW SHERIDAN ADVISORS, LLC SHAREHOLDER indirect 2000-01-01 2013-11-05
CORTINA ASSET MANAGEMENT, LLC OWNER indirect 2000-01-01 2015-03-31
CORTINA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2000-01-01 2016-08-05
CORTINA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2000-01-01 2016-08-26
AURORA TRUST MEMBER NORTHERN LIGHTS MIDCO, LLC 11/01/2014 Indirect 75% or more
AURORA INVESTMENT MANAGEMENT PTY LIMITED TRUSTEE AURORA TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
SEIZERT CAPITAL PARTNERS, LLC TRUSTEE indirect 2014-11-01
ELESSAR INVESTMENT MANAGEMENT, LLC TRUSTEE indirect 2014-11-01
TAMRO CAPITAL PARTNERS LLC TRUSTEE indirect 2014-11-01
AETHER INVESTMENT PARTNERS, LLC TRUSTEE indirect 2014-10-01
EAM GLOBAL INVESTORS LLC TRUSTEE indirect 2014-11-01
PACIFIC CURRENT GROUP UNITHOLDER AURORA TRUST 11/01/2014 Indirect 50 - 75%
NORTHERN LIGHTS CAPITAL PARTNERS, LLC UNITHOLDER AURORA TRUST 11/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SEIZERT CAPITAL PARTNERS, LLC MEMBER direct 2009-01-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2010-01-01
SEIZERT CAPITAL PARTNERS, LLC UNITHOLDER indirect 2014-11-01
APERIO GROUP, LLC UNITHOLDER indirect 2014-11-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2007-12-01
ELESSAR INVESTMENT MANAGEMENT, LLC UNITHOLDER indirect 2014-10-01
ELESSAR INVESTMENT MANAGEMENT, LLC UNITHOLDER indirect 2014-11-01
BHR FUND ADVISORS, L.P. LIMITED PARTNER direct 2006-10-01
ALPHASHARES, LLC MEMBER direct 2008-02-01
TAMRO CAPITAL PARTNERS LLC MEMBER direct 2007-07-01
TAMRO CAPITAL PARTNERS LLC UNITHOLDER indirect 2014-11-01
AETHER INVESTMENT PARTNERS, LLC MEMBER direct 2008-10-01
AETHER INVESTMENT PARTNERS, LLC UNITHOLDER indirect 2014-10-01
AETHER INVESTMENT PARTNERS, LLC UNITHOLDER indirect 2014-11-01
DEL REY GLOBAL INVESTORS, LLC MEMBER direct 2010-07-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SHAREHOLDER / OWNER indirect 2010-05-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SOLE SHAREHOLDER / OWNER direct 2010-05-01
NORTHERN LIGHTS CAPITAL GROUP, LLC UNITHOLDER indirect 2014-11-01
RAVEN CAPITAL MANAGEMENT LLC MEMBER direct 2009-09-01
RAVEN CAPITAL MANAGEMENT LLC UNITHOLDER indirect 2014-11-01
BLACKCRANE CAPITAL, LLC OWNER indirect 2006-10-01
BLACKCRANE CAPITAL, LLC MEMBER, OWNER direct 2014-03-01
BLACKCRANE CAPITAL, LLC OWNER direct 2014-03-01
BLACKCRANE CAPITAL, LLC UNITHOLDER indirect 2014-11-01
EAM GLOBAL INVESTORS LLC PREFERRED UNIT HOLDER direct 2014-05-01
EAM GLOBAL INVESTORS LLC UNITHOLDER indirect 2014-11-01
GOODHART PARTNERS LLP UNITHOLDER indirect 2014-11-01
GQG PARTNERS LLC UNITHOLDER indirect 2014-11-01
WEISENBERGER, MONTIE, LEE MANAGING MEMBER EAM INVESTORS, LLC 07/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT, COO, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER direct 2007-07-01
EAM INVESTORS, LLC SENIOR VICE PRESIDENT, MANAGING MEMBER direct 2007-07-01
EUDAIMONIA ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT direct 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER direct 2014-05-01
PRENTICE, TRAVIS, TYLER MANAGING MEMBER EAM INVESTORS, LLC 07/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC CEO, PRESIDENT direct 2007-07-01
EAM INVESTORS, LLC CEO, CHIEF INVESTMENT OFFICER, MANAGING MEMBER direct 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2007-07-01
EAM GLOBAL INVESTORS LLC PRESIDENT, CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR, CLASS B COMMON UNIT HOLDER direct 2014-05-01
HURST, FRANK, PAGE MANAGING MEMBER EAM INVESTORS, LLC 06/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
DUNCAN HURST CAPITAL MANAGEMENT INC PRESIDENT direct 1990-05-01
EAM INVESTORS, LLC PRESIDENT, MANAGING MEMBER direct 2011-06-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2011-06-01
EAM GLOBAL INVESTORS LLC MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER direct 2014-05-01
DUNCAN-HURST CAPITAL MANAGEMENT, L.P. PRESIDENT, MEMBER OF MANAGEMENT COMMITTEE direct 2003-12-01 2005-03-30
BERKELEY CAPITAL MANAGEMENT LLC PRESIDENT direct 2007-03-01 2007-05-03
RELATIONAL INVESTORS LLC MEMBER indirect 2007-11-01 2009-09-17
RELATIONAL INVESTORS LLC SENIOR MANAGING DIRECTOR, MARKETING direct 2007-11-01 2011-01-05
WACO LIMITED, LLC MEMBER EAM INVESTORS, LLC 01/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CORTINA ASSET MANAGEMENT, LLC MEMBER direct 2007-06-01
EAM INVESTORS, LLC MEMBER direct 2014-01-01
NEW SHERIDAN ADVISORS, LLC MEMBER direct 2014-01-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2014-01-01
EAM GLOBAL INVESTORS LLC CLASS A COMMON UNIT HOLDER direct 2014-05-01
CR FINANCIAL HOLDINGS, INC. MEMBER WACO LIMITED, LLC 01/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ROTH CAPITAL PARTNERS GP, LLC SHAREHOLDER indirect 2000-01-01
GROW PARTNERS LLC MEMBER indirect 2012-03-01
CORTINA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2013-12-01
EAM INVESTORS, LLC MEMBER indirect 2014-01-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2014-01-01
NEW SHERIDAN ADVISORS, LLC MEMBER indirect 2014-01-01
EUDAIMONIA ASSET MANAGEMENT, LLC MEMBER indirect 2002-12-01 2008-01-28
EAM INVESTORS, LLC MEMBER direct 2008-05-01 2013-07-16
CORTINA ASSET MANAGEMENT, LLC OWNER indirect 2000-01-01 2013-10-04
NEW SHERIDAN ADVISORS, LLC MEMBER direct 2013-06-01 2013-11-05
CORTINA ASSET MANAGEMENT, LLC MEMBER direct 2007-06-01 2016-08-26
CORTINA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2013-12-01 2016-08-26
ROTH, BYRON, CLARENCE SHAREHOLDER CR FINANCIAL HOLDINGS, INC. 01/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEW SHERIDAN ADVISORS, LLC SHAREHOLDER, CEO indirect 2000-01-01
EUDAIMONIA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2000-01-01
CORTINA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2000-01-01
EAM GLOBAL INVESTORS LLC SHAREHOLDER indirect 2000-01-01
ROTH CAPITAL PARTNERS GP, LLC TRUSTEE indirect 2000-02-01
GROW PARTNERS LLC SHAREHOLDER indirect 2001-01-01
ROTH CAPITAL PARTNERS GP, LLC CHIEF EXECUTIVE OFFICER direct 2001-06-01
EUDAIMONIA ASSET MANAGEMENT, LLC CHAIRMAN/CEO/MANAGER indirect 2001-02-01 2008-01-28
CORTINA ASSET MANAGEMENT, LLC OWNER indirect 2000-01-01 2013-10-14
NEW SHERIDAN ADVISORS, LLC SHAREHOLDER indirect 2000-01-01 2013-11-05
CORTINA ASSET MANAGEMENT, LLC OWNER indirect 2000-01-01 2015-03-31
CORTINA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2000-01-01 2016-08-05
CORTINA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2000-01-01 2016-08-26
AURORA TRUST MEMBER NORTHERN LIGHTS MIDCO, LLC 11/01/2014 Indirect 75% or more
AURORA INVESTMENT MANAGEMENT PTY LIMITED TRUSTEE AURORA TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
SEIZERT CAPITAL PARTNERS, LLC TRUSTEE indirect 2014-11-01
ELESSAR INVESTMENT MANAGEMENT, LLC TRUSTEE indirect 2014-11-01
TAMRO CAPITAL PARTNERS LLC TRUSTEE indirect 2014-11-01
AETHER INVESTMENT PARTNERS, LLC TRUSTEE indirect 2014-10-01
EAM GLOBAL INVESTORS LLC TRUSTEE indirect 2014-11-01
PACIFIC CURRENT GROUP UNITHOLDER AURORA TRUST 11/01/2014 Indirect 50 - 75%
NORTHERN LIGHTS CAPITAL PARTNERS, LLC UNITHOLDER AURORA TRUST 11/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SEIZERT CAPITAL PARTNERS, LLC MEMBER direct 2009-01-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2010-01-01
SEIZERT CAPITAL PARTNERS, LLC UNITHOLDER indirect 2014-11-01
APERIO GROUP, LLC UNITHOLDER indirect 2014-11-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2007-12-01
ELESSAR INVESTMENT MANAGEMENT, LLC UNITHOLDER indirect 2014-10-01
ELESSAR INVESTMENT MANAGEMENT, LLC UNITHOLDER indirect 2014-11-01
BHR FUND ADVISORS, L.P. LIMITED PARTNER direct 2006-10-01
ALPHASHARES, LLC MEMBER direct 2008-02-01
TAMRO CAPITAL PARTNERS LLC MEMBER direct 2007-07-01
TAMRO CAPITAL PARTNERS LLC UNITHOLDER indirect 2014-11-01
AETHER INVESTMENT PARTNERS, LLC MEMBER direct 2008-10-01
AETHER INVESTMENT PARTNERS, LLC UNITHOLDER indirect 2014-10-01
AETHER INVESTMENT PARTNERS, LLC UNITHOLDER indirect 2014-11-01
DEL REY GLOBAL INVESTORS, LLC MEMBER direct 2010-07-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SHAREHOLDER / OWNER indirect 2010-05-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SOLE SHAREHOLDER / OWNER direct 2010-05-01
NORTHERN LIGHTS CAPITAL GROUP, LLC UNITHOLDER indirect 2014-11-01
RAVEN CAPITAL MANAGEMENT LLC MEMBER direct 2009-09-01
RAVEN CAPITAL MANAGEMENT LLC UNITHOLDER indirect 2014-11-01
BLACKCRANE CAPITAL, LLC OWNER indirect 2006-10-01
BLACKCRANE CAPITAL, LLC MEMBER, OWNER direct 2014-03-01
BLACKCRANE CAPITAL, LLC OWNER direct 2014-03-01
BLACKCRANE CAPITAL, LLC UNITHOLDER indirect 2014-11-01
EAM GLOBAL INVESTORS LLC PREFERRED UNIT HOLDER direct 2014-05-01
EAM GLOBAL INVESTORS LLC UNITHOLDER indirect 2014-11-01
GOODHART PARTNERS LLP UNITHOLDER indirect 2014-11-01
GQG PARTNERS LLC UNITHOLDER indirect 2014-11-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
EAM INTERNATIONAL SMALL CAP FUND, LP United States 805-8005032665 Other Private Fund LONG ONLY LISTED EQUITY INVESTMENT FUND 46,778,441 1,000,000
EAM EMERGING MARKETS SMALL CAP FUND, LP United States 805-1819865736 Other Private Fund LONG ONLY LISTED INVESTMENT EQUITY FUND 268,629,986 1,000,000

EAM GLOBAL INVESTORS LLC

ownership team - last updated 2020-08-18
Name Title Start Date Direct/Indirect % Ownership
EAM INVESTORS, LLC MANAGER/CLASS A COMMON UNIT HOLDER 05/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
EAM GLOBAL INVESTORS LLC MANAGER/CLASS A COMMON UNIT HOLDER direct 2014-05-01
WACO LIMITED, LLC CLASS A COMMON UNIT HOLDER 05/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CORTINA ASSET MANAGEMENT, LLC MEMBER direct 2007-06-01
EAM INVESTORS, LLC MEMBER direct 2014-01-01
NEW SHERIDAN ADVISORS, LLC MEMBER direct 2014-01-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2014-01-01
EAM GLOBAL INVESTORS LLC CLASS A COMMON UNIT HOLDER direct 2014-05-01
WEISENBERGER, MONTIE, LEE MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER 05/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT, COO, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER direct 2007-07-01
EAM INVESTORS, LLC SENIOR VICE PRESIDENT, MANAGING MEMBER direct 2007-07-01
EUDAIMONIA ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT direct 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER direct 2014-05-01
PRENTICE, TRAVIS, TYLER PRESIDENT, CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR, CLASS B COMMON UNIT HOLDER 05/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC CEO, PRESIDENT direct 2007-07-01
EAM INVESTORS, LLC CEO, CHIEF INVESTMENT OFFICER, MANAGING MEMBER direct 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2007-07-01
EAM GLOBAL INVESTORS LLC PRESIDENT, CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR, CLASS B COMMON UNIT HOLDER direct 2014-05-01
GAERTNER, DEREK, JOHN CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, CLASS A COMMON UNIT HOLDER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORREY PINES CAPITAL MANAGEMENT, LP CHIEF FINANCIAL OFFICER direct 2004-08-01
TORREY PINES CAPITAL MANAGEMENT, LP CHIEF COMPLIANCE OFFICER direct 2004-08-01
EAM INVESTORS, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, MEMBER direct 2007-10-01
EUDAIMONIA ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER direct 2007-10-01
EAM GLOBAL INVESTORS LLC CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, CLASS A COMMON UNIT HOLDER direct 2014-05-01
HURST, FRANK, PAGE MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER 05/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
DUNCAN HURST CAPITAL MANAGEMENT INC PRESIDENT direct 1990-05-01
EAM INVESTORS, LLC PRESIDENT, MANAGING MEMBER direct 2011-06-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2011-06-01
EAM GLOBAL INVESTORS LLC MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER direct 2014-05-01
DUNCAN-HURST CAPITAL MANAGEMENT, L.P. PRESIDENT, MEMBER OF MANAGEMENT COMMITTEE direct 2003-12-01 2005-03-30
BERKELEY CAPITAL MANAGEMENT LLC PRESIDENT direct 2007-03-01 2007-05-03
RELATIONAL INVESTORS LLC MEMBER indirect 2007-11-01 2009-09-17
RELATIONAL INVESTORS LLC SENIOR MANAGING DIRECTOR, MARKETING direct 2007-11-01 2011-01-05
MOSS, JOSHUA, MATTHEW VICE PRESIDENT, CLASS B COMMON UNIT HOLDER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC VICE PRESIDENT, SECRETARY direct 2007-07-01
EAM INVESTORS, LLC VICE PRESIDENT, MEMBER direct 2007-07-01
EAM GLOBAL INVESTORS LLC VICE PRESIDENT, CLASS B COMMON UNIT HOLDER direct 2014-05-01
NORTHERN LIGHTS MIDCO, LLC PREFERRED UNIT HOLDER 07/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SEIZERT CAPITAL PARTNERS, LLC MEMBER direct 2014-07-01
SEIZERT CAPITAL PARTNERS, LLC UNITHOLDER indirect 2016-12-01
APERIO GROUP, LLC MEMBER direct 2016-01-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2014-07-01
TAMRO CAPITAL PARTNERS LLC MEMBER direct 2014-07-01
AETHER INVESTMENT PARTNERS, LLC MEMBER direct 2014-07-01
AETHER INVESTMENT PARTNERS, LLC MEMBER direct 2014-10-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2016-12-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SHAREHOLDER direct 2014-07-01
RAVEN CAPITAL MANAGEMENT LLC MEMBER direct 2014-07-01
BLACKCRANE CAPITAL, LLC MEMBER, OWNER direct 2014-07-01
EAM GLOBAL INVESTORS LLC PREFERRED UNIT HOLDER direct 2014-07-01
GOODHART PARTNERS LLP SHAREHOLDER indirect 2014-11-01
GQG PARTNERS LLC MEMBER direct 2016-04-01
WEISENBERGER, MONTIE, LEE MANAGING MEMBER EAM INVESTORS, LLC 07/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT, COO, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER direct 2007-07-01
EAM INVESTORS, LLC SENIOR VICE PRESIDENT, MANAGING MEMBER direct 2007-07-01
EUDAIMONIA ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT direct 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER direct 2014-05-01
PRENTICE, TRAVIS, TYLER MANAGING MEMBER EAM INVESTORS, LLC 07/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC CEO, PRESIDENT direct 2007-07-01
EAM INVESTORS, LLC CEO, CHIEF INVESTMENT OFFICER, MANAGING MEMBER direct 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2007-07-01
EAM GLOBAL INVESTORS LLC PRESIDENT, CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR, CLASS B COMMON UNIT HOLDER direct 2014-05-01
HURST, FRANK, PAGE MANAGING MEMBER EAM INVESTORS, LLC 06/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
DUNCAN HURST CAPITAL MANAGEMENT INC PRESIDENT direct 1990-05-01
EAM INVESTORS, LLC PRESIDENT, MANAGING MEMBER direct 2011-06-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2011-06-01
EAM GLOBAL INVESTORS LLC MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER direct 2014-05-01
DUNCAN-HURST CAPITAL MANAGEMENT, L.P. PRESIDENT, MEMBER OF MANAGEMENT COMMITTEE direct 2003-12-01 2005-03-30
BERKELEY CAPITAL MANAGEMENT LLC PRESIDENT direct 2007-03-01 2007-05-03
RELATIONAL INVESTORS LLC MEMBER indirect 2007-11-01 2009-09-17
RELATIONAL INVESTORS LLC SENIOR MANAGING DIRECTOR, MARKETING direct 2007-11-01 2011-01-05
WACO LIMITED, LLC MEMBER EAM INVESTORS, LLC 01/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CORTINA ASSET MANAGEMENT, LLC MEMBER direct 2007-06-01
EAM INVESTORS, LLC MEMBER direct 2014-01-01
NEW SHERIDAN ADVISORS, LLC MEMBER direct 2014-01-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2014-01-01
EAM GLOBAL INVESTORS LLC CLASS A COMMON UNIT HOLDER direct 2014-05-01
CR FINANCIAL HOLDINGS, INC. MEMBER WACO LIMITED, LLC 01/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ROTH CAPITAL PARTNERS GP, LLC SHAREHOLDER indirect 2000-01-01
GROW PARTNERS LLC MEMBER indirect 2012-03-01
CORTINA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2013-12-01
EAM INVESTORS, LLC MEMBER indirect 2014-01-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2014-01-01
NEW SHERIDAN ADVISORS, LLC MEMBER indirect 2014-01-01
EUDAIMONIA ASSET MANAGEMENT, LLC MEMBER indirect 2002-12-01 2008-01-28
EAM INVESTORS, LLC MEMBER direct 2008-05-01 2013-07-16
CORTINA ASSET MANAGEMENT, LLC OWNER indirect 2000-01-01 2013-10-04
NEW SHERIDAN ADVISORS, LLC MEMBER direct 2013-06-01 2013-11-05
CORTINA ASSET MANAGEMENT, LLC MEMBER direct 2007-06-01 2016-08-26
CORTINA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2013-12-01 2016-08-26
ROTH, BYRON, CLARENCE SHAREHOLDER CR FINANCIAL HOLDINGS, INC. 01/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEW SHERIDAN ADVISORS, LLC SHAREHOLDER, CEO indirect 2000-01-01
EUDAIMONIA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2000-01-01
CORTINA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2000-01-01
EAM GLOBAL INVESTORS LLC SHAREHOLDER indirect 2000-01-01
ROTH CAPITAL PARTNERS GP, LLC TRUSTEE indirect 2000-02-01
GROW PARTNERS LLC SHAREHOLDER indirect 2001-01-01
ROTH CAPITAL PARTNERS GP, LLC CHIEF EXECUTIVE OFFICER direct 2001-06-01
EUDAIMONIA ASSET MANAGEMENT, LLC CHAIRMAN/CEO/MANAGER indirect 2001-02-01 2008-01-28
CORTINA ASSET MANAGEMENT, LLC OWNER indirect 2000-01-01 2013-10-14
NEW SHERIDAN ADVISORS, LLC SHAREHOLDER indirect 2000-01-01 2013-11-05
CORTINA ASSET MANAGEMENT, LLC OWNER indirect 2000-01-01 2015-03-31
CORTINA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2000-01-01 2016-08-05
CORTINA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2000-01-01 2016-08-26
AURORA TRUST MEMBER NORTHERN LIGHTS MIDCO, LLC 11/01/2014 Indirect 75% or more
AURORA INVESTMENT MANAGEMENT PTY LIMITED TRUSTEE AURORA TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
SEIZERT CAPITAL PARTNERS, LLC TRUSTEE indirect 2014-11-01
ELESSAR INVESTMENT MANAGEMENT, LLC TRUSTEE indirect 2014-11-01
TAMRO CAPITAL PARTNERS LLC TRUSTEE indirect 2014-11-01
AETHER INVESTMENT PARTNERS, LLC TRUSTEE indirect 2014-10-01
EAM GLOBAL INVESTORS LLC TRUSTEE indirect 2014-11-01
PACIFIC CURRENT GROUP UNITHOLDER AURORA TRUST 11/01/2014 Indirect 50 - 75%
NORTHERN LIGHTS CAPITAL PARTNERS, LLC UNITHOLDER AURORA TRUST 11/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SEIZERT CAPITAL PARTNERS, LLC MEMBER direct 2009-01-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2010-01-01
SEIZERT CAPITAL PARTNERS, LLC UNITHOLDER indirect 2014-11-01
APERIO GROUP, LLC UNITHOLDER indirect 2014-11-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2007-12-01
ELESSAR INVESTMENT MANAGEMENT, LLC UNITHOLDER indirect 2014-10-01
ELESSAR INVESTMENT MANAGEMENT, LLC UNITHOLDER indirect 2014-11-01
BHR FUND ADVISORS, L.P. LIMITED PARTNER direct 2006-10-01
ALPHASHARES, LLC MEMBER direct 2008-02-01
TAMRO CAPITAL PARTNERS LLC MEMBER direct 2007-07-01
TAMRO CAPITAL PARTNERS LLC UNITHOLDER indirect 2014-11-01
AETHER INVESTMENT PARTNERS, LLC MEMBER direct 2008-10-01
AETHER INVESTMENT PARTNERS, LLC UNITHOLDER indirect 2014-10-01
AETHER INVESTMENT PARTNERS, LLC UNITHOLDER indirect 2014-11-01
DEL REY GLOBAL INVESTORS, LLC MEMBER direct 2010-07-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SHAREHOLDER / OWNER indirect 2010-05-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SOLE SHAREHOLDER / OWNER direct 2010-05-01
NORTHERN LIGHTS CAPITAL GROUP, LLC UNITHOLDER indirect 2014-11-01
RAVEN CAPITAL MANAGEMENT LLC MEMBER direct 2009-09-01
RAVEN CAPITAL MANAGEMENT LLC UNITHOLDER indirect 2014-11-01
BLACKCRANE CAPITAL, LLC OWNER indirect 2006-10-01
BLACKCRANE CAPITAL, LLC MEMBER, OWNER direct 2014-03-01
BLACKCRANE CAPITAL, LLC OWNER direct 2014-03-01
BLACKCRANE CAPITAL, LLC UNITHOLDER indirect 2014-11-01
EAM GLOBAL INVESTORS LLC PREFERRED UNIT HOLDER direct 2014-05-01
EAM GLOBAL INVESTORS LLC UNITHOLDER indirect 2014-11-01
GOODHART PARTNERS LLP UNITHOLDER indirect 2014-11-01
GQG PARTNERS LLC UNITHOLDER indirect 2014-11-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
EAM INTERNATIONAL SMALL CAP FUND, LP United States 805-8005032665 Hedge Fund 31,799,187 1,000,000
EAM EMERGING MARKETS SMALL CAP FUND, LP United States 805-1819865736 Hedge Fund 194,530,397 1,000,000

EAM GLOBAL INVESTORS LLC

ownership team - last updated 2020-03-30
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
EAM INTERNATIONAL SMALL CAP FUND, LP United States 805-8005032665 Hedge Fund 31,799,187 1,000,000
EAM EMERGING MARKETS SMALL CAP FUND, LP United States 805-1819865736 Hedge Fund 194,530,397 1,000,000

EAM GLOBAL INVESTORS LLC

ownership team - last updated 2019-03-25
Name Title Start Date Direct/Indirect % Ownership
EAM INVESTORS, LLC MANAGER/CLASS A COMMON UNIT HOLDER 05/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
EAM GLOBAL INVESTORS LLC MANAGER/CLASS A COMMON UNIT HOLDER direct 2014-05-01
WACO LIMITED, LLC CLASS A COMMON UNIT HOLDER 05/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CORTINA ASSET MANAGEMENT, LLC MEMBER direct 2007-06-01
EAM INVESTORS, LLC MEMBER direct 2014-01-01
NEW SHERIDAN ADVISORS, LLC MEMBER direct 2014-01-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2014-01-01
EAM GLOBAL INVESTORS LLC CLASS A COMMON UNIT HOLDER direct 2014-05-01
WEISENBERGER, MONTIE, LEE MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER 05/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT, COO, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER direct 2007-07-01
EAM INVESTORS, LLC SENIOR VICE PRESIDENT, MANAGING MEMBER direct 2007-07-01
EUDAIMONIA ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT direct 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER direct 2014-05-01
PRENTICE, TRAVIS, TYLER PRESIDENT, CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR, CLASS B COMMON UNIT HOLDER 05/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC CEO, PRESIDENT direct 2007-07-01
EAM INVESTORS, LLC CEO, CHIEF INVESTMENT OFFICER, MANAGING MEMBER direct 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2007-07-01
EAM GLOBAL INVESTORS LLC PRESIDENT, CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR, CLASS B COMMON UNIT HOLDER direct 2014-05-01
GAERTNER, DEREK, JOHN CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, CLASS A COMMON UNIT HOLDER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORREY PINES CAPITAL MANAGEMENT, LP CHIEF FINANCIAL OFFICER direct 2004-08-01
TORREY PINES CAPITAL MANAGEMENT, LP CHIEF COMPLIANCE OFFICER direct 2004-08-01
EAM INVESTORS, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, MEMBER direct 2007-10-01
EUDAIMONIA ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER direct 2007-10-01
EAM GLOBAL INVESTORS LLC CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, CLASS A COMMON UNIT HOLDER direct 2014-05-01
HURST, FRANK, PAGE MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER 05/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
DUNCAN HURST CAPITAL MANAGEMENT INC PRESIDENT direct 1990-05-01
EAM INVESTORS, LLC PRESIDENT, MANAGING MEMBER direct 2011-06-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2011-06-01
EAM GLOBAL INVESTORS LLC MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER direct 2014-05-01
DUNCAN-HURST CAPITAL MANAGEMENT, L.P. PRESIDENT, MEMBER OF MANAGEMENT COMMITTEE direct 2003-12-01 2005-03-30
BERKELEY CAPITAL MANAGEMENT LLC PRESIDENT direct 2007-03-01 2007-05-03
RELATIONAL INVESTORS LLC MEMBER indirect 2007-11-01 2009-09-17
RELATIONAL INVESTORS LLC SENIOR MANAGING DIRECTOR, MARKETING direct 2007-11-01 2011-01-05
MOSS, JOSHUA, MATTHEW VICE PRESIDENT, CLASS B COMMON UNIT HOLDER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC VICE PRESIDENT, SECRETARY direct 2007-07-01
EAM INVESTORS, LLC VICE PRESIDENT, MEMBER direct 2007-07-01
EAM GLOBAL INVESTORS LLC VICE PRESIDENT, CLASS B COMMON UNIT HOLDER direct 2014-05-01
NORTHERN LIGHTS MIDCO, LLC PREFERRED UNIT HOLDER 07/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SEIZERT CAPITAL PARTNERS, LLC MEMBER direct 2014-07-01
SEIZERT CAPITAL PARTNERS, LLC UNITHOLDER indirect 2016-12-01
APERIO GROUP, LLC MEMBER direct 2016-01-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2014-07-01
TAMRO CAPITAL PARTNERS LLC MEMBER direct 2014-07-01
AETHER INVESTMENT PARTNERS, LLC MEMBER direct 2014-07-01
AETHER INVESTMENT PARTNERS, LLC MEMBER direct 2014-10-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2016-12-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SHAREHOLDER direct 2014-07-01
RAVEN CAPITAL MANAGEMENT LLC MEMBER direct 2014-07-01
BLACKCRANE CAPITAL, LLC MEMBER, OWNER direct 2014-07-01
EAM GLOBAL INVESTORS LLC PREFERRED UNIT HOLDER direct 2014-07-01
GOODHART PARTNERS LLP SHAREHOLDER indirect 2014-11-01
GQG PARTNERS LLC MEMBER direct 2016-04-01
WEISENBERGER, MONTIE, LEE MANAGING MEMBER EAM INVESTORS, LLC 07/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT, COO, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER direct 2007-07-01
EAM INVESTORS, LLC SENIOR VICE PRESIDENT, MANAGING MEMBER direct 2007-07-01
EUDAIMONIA ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT direct 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER direct 2014-05-01
PRENTICE, TRAVIS, TYLER MANAGING MEMBER EAM INVESTORS, LLC 07/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC CEO, PRESIDENT direct 2007-07-01
EAM INVESTORS, LLC CEO, CHIEF INVESTMENT OFFICER, MANAGING MEMBER direct 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2007-07-01
EAM GLOBAL INVESTORS LLC PRESIDENT, CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR, CLASS B COMMON UNIT HOLDER direct 2014-05-01
HURST, FRANK, PAGE MANAGING MEMBER EAM INVESTORS, LLC 06/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
DUNCAN HURST CAPITAL MANAGEMENT INC PRESIDENT direct 1990-05-01
EAM INVESTORS, LLC PRESIDENT, MANAGING MEMBER direct 2011-06-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2011-06-01
EAM GLOBAL INVESTORS LLC MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER direct 2014-05-01
DUNCAN-HURST CAPITAL MANAGEMENT, L.P. PRESIDENT, MEMBER OF MANAGEMENT COMMITTEE direct 2003-12-01 2005-03-30
BERKELEY CAPITAL MANAGEMENT LLC PRESIDENT direct 2007-03-01 2007-05-03
RELATIONAL INVESTORS LLC MEMBER indirect 2007-11-01 2009-09-17
RELATIONAL INVESTORS LLC SENIOR MANAGING DIRECTOR, MARKETING direct 2007-11-01 2011-01-05
WACO LIMITED, LLC MEMBER EAM INVESTORS, LLC 01/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CORTINA ASSET MANAGEMENT, LLC MEMBER direct 2007-06-01
EAM INVESTORS, LLC MEMBER direct 2014-01-01
NEW SHERIDAN ADVISORS, LLC MEMBER direct 2014-01-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2014-01-01
EAM GLOBAL INVESTORS LLC CLASS A COMMON UNIT HOLDER direct 2014-05-01
CR FINANCIAL HOLDINGS, INC. MEMBER WACO LIMITED, LLC 01/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ROTH CAPITAL PARTNERS GP, LLC SHAREHOLDER indirect 2000-01-01
GROW PARTNERS LLC MEMBER indirect 2012-03-01
CORTINA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2013-12-01
EAM INVESTORS, LLC MEMBER indirect 2014-01-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2014-01-01
NEW SHERIDAN ADVISORS, LLC MEMBER indirect 2014-01-01
EUDAIMONIA ASSET MANAGEMENT, LLC MEMBER indirect 2002-12-01 2008-01-28
EAM INVESTORS, LLC MEMBER direct 2008-05-01 2013-07-16
CORTINA ASSET MANAGEMENT, LLC OWNER indirect 2000-01-01 2013-10-04
NEW SHERIDAN ADVISORS, LLC MEMBER direct 2013-06-01 2013-11-05
CORTINA ASSET MANAGEMENT, LLC MEMBER direct 2007-06-01 2016-08-26
CORTINA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2013-12-01 2016-08-26
ROTH, BYRON, CLARENCE SHAREHOLDER CR FINANCIAL HOLDINGS, INC. 01/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEW SHERIDAN ADVISORS, LLC SHAREHOLDER, CEO indirect 2000-01-01
EUDAIMONIA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2000-01-01
CORTINA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2000-01-01
EAM GLOBAL INVESTORS LLC SHAREHOLDER indirect 2000-01-01
ROTH CAPITAL PARTNERS GP, LLC TRUSTEE indirect 2000-02-01
GROW PARTNERS LLC SHAREHOLDER indirect 2001-01-01
ROTH CAPITAL PARTNERS GP, LLC CHIEF EXECUTIVE OFFICER direct 2001-06-01
EUDAIMONIA ASSET MANAGEMENT, LLC CHAIRMAN/CEO/MANAGER indirect 2001-02-01 2008-01-28
CORTINA ASSET MANAGEMENT, LLC OWNER indirect 2000-01-01 2013-10-14
NEW SHERIDAN ADVISORS, LLC SHAREHOLDER indirect 2000-01-01 2013-11-05
CORTINA ASSET MANAGEMENT, LLC OWNER indirect 2000-01-01 2015-03-31
CORTINA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2000-01-01 2016-08-05
CORTINA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2000-01-01 2016-08-26
AURORA TRUST MEMBER NORTHERN LIGHTS MIDCO, LLC 11/01/2014 Indirect 75% or more
AURORA INVESTMENT MANAGEMENT PTY LIMITED TRUSTEE AURORA TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
SEIZERT CAPITAL PARTNERS, LLC TRUSTEE indirect 2014-11-01
ELESSAR INVESTMENT MANAGEMENT, LLC TRUSTEE indirect 2014-11-01
TAMRO CAPITAL PARTNERS LLC TRUSTEE indirect 2014-11-01
AETHER INVESTMENT PARTNERS, LLC TRUSTEE indirect 2014-10-01
EAM GLOBAL INVESTORS LLC TRUSTEE indirect 2014-11-01
PACIFIC CURRENT GROUP UNITHOLDER AURORA TRUST 11/01/2014 Indirect 50 - 75%
NORTHERN LIGHTS CAPITAL PARTNERS, LLC UNITHOLDER AURORA TRUST 11/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SEIZERT CAPITAL PARTNERS, LLC MEMBER direct 2009-01-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2010-01-01
SEIZERT CAPITAL PARTNERS, LLC UNITHOLDER indirect 2014-11-01
APERIO GROUP, LLC UNITHOLDER indirect 2014-11-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2007-12-01
ELESSAR INVESTMENT MANAGEMENT, LLC UNITHOLDER indirect 2014-10-01
ELESSAR INVESTMENT MANAGEMENT, LLC UNITHOLDER indirect 2014-11-01
BHR FUND ADVISORS, L.P. LIMITED PARTNER direct 2006-10-01
ALPHASHARES, LLC MEMBER direct 2008-02-01
TAMRO CAPITAL PARTNERS LLC MEMBER direct 2007-07-01
TAMRO CAPITAL PARTNERS LLC UNITHOLDER indirect 2014-11-01
AETHER INVESTMENT PARTNERS, LLC MEMBER direct 2008-10-01
AETHER INVESTMENT PARTNERS, LLC UNITHOLDER indirect 2014-10-01
AETHER INVESTMENT PARTNERS, LLC UNITHOLDER indirect 2014-11-01
DEL REY GLOBAL INVESTORS, LLC MEMBER direct 2010-07-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SHAREHOLDER / OWNER indirect 2010-05-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SOLE SHAREHOLDER / OWNER direct 2010-05-01
NORTHERN LIGHTS CAPITAL GROUP, LLC UNITHOLDER indirect 2014-11-01
RAVEN CAPITAL MANAGEMENT LLC MEMBER direct 2009-09-01
RAVEN CAPITAL MANAGEMENT LLC UNITHOLDER indirect 2014-11-01
BLACKCRANE CAPITAL, LLC OWNER indirect 2006-10-01
BLACKCRANE CAPITAL, LLC MEMBER, OWNER direct 2014-03-01
BLACKCRANE CAPITAL, LLC OWNER direct 2014-03-01
BLACKCRANE CAPITAL, LLC UNITHOLDER indirect 2014-11-01
EAM GLOBAL INVESTORS LLC PREFERRED UNIT HOLDER direct 2014-05-01
EAM GLOBAL INVESTORS LLC UNITHOLDER indirect 2014-11-01
GOODHART PARTNERS LLP UNITHOLDER indirect 2014-11-01
GQG PARTNERS LLC UNITHOLDER indirect 2014-11-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
EAM EMERGING MARKETS SMALL CAP FUND, LP United States 805-1819865736 Hedge Fund 98,802,183 1,000,000

EAM GLOBAL INVESTORS LLC

ownership team - last updated 2017-07-10
Name Title Start Date Direct/Indirect % Ownership
NORTHERN LIGHTS MIDCO, LLC PREFERRED UNIT HOLDER 07/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SEIZERT CAPITAL PARTNERS, LLC MEMBER direct 2014-07-01
SEIZERT CAPITAL PARTNERS, LLC UNITHOLDER indirect 2016-12-01
APERIO GROUP, LLC MEMBER direct 2016-01-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2014-07-01
TAMRO CAPITAL PARTNERS LLC MEMBER direct 2014-07-01
AETHER INVESTMENT PARTNERS, LLC MEMBER direct 2014-07-01
AETHER INVESTMENT PARTNERS, LLC MEMBER direct 2014-10-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2016-12-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SHAREHOLDER direct 2014-07-01
RAVEN CAPITAL MANAGEMENT LLC MEMBER direct 2014-07-01
BLACKCRANE CAPITAL, LLC MEMBER, OWNER direct 2014-07-01
EAM GLOBAL INVESTORS LLC PREFERRED UNIT HOLDER direct 2014-07-01
GOODHART PARTNERS LLP SHAREHOLDER indirect 2014-11-01
GQG PARTNERS LLC MEMBER direct 2016-04-01
MOSS, JOSHUA, MATTHEW VICE PRESIDENT, CLASS B COMMON UNIT HOLDER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC VICE PRESIDENT, SECRETARY direct 2007-07-01
EAM INVESTORS, LLC VICE PRESIDENT, MEMBER direct 2007-07-01
EAM GLOBAL INVESTORS LLC VICE PRESIDENT, CLASS B COMMON UNIT HOLDER direct 2014-05-01
HURST, FRANK, PAGE MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER 05/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
DUNCAN HURST CAPITAL MANAGEMENT INC PRESIDENT direct 1990-05-01
EAM INVESTORS, LLC PRESIDENT, MANAGING MEMBER direct 2011-06-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2011-06-01
EAM GLOBAL INVESTORS LLC MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER direct 2014-05-01
DUNCAN-HURST CAPITAL MANAGEMENT, L.P. PRESIDENT, MEMBER OF MANAGEMENT COMMITTEE direct 2003-12-01 2005-03-30
BERKELEY CAPITAL MANAGEMENT LLC PRESIDENT direct 2007-03-01 2007-05-03
RELATIONAL INVESTORS LLC MEMBER indirect 2007-11-01 2009-09-17
RELATIONAL INVESTORS LLC SENIOR MANAGING DIRECTOR, MARKETING direct 2007-11-01 2011-01-05
GAERTNER, DEREK, JOHN CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, CLASS A COMMON UNIT HOLDER 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORREY PINES CAPITAL MANAGEMENT, LP CHIEF FINANCIAL OFFICER direct 2004-08-01
TORREY PINES CAPITAL MANAGEMENT, LP CHIEF COMPLIANCE OFFICER direct 2004-08-01
EAM INVESTORS, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, MEMBER direct 2007-10-01
EUDAIMONIA ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER direct 2007-10-01
EAM GLOBAL INVESTORS LLC CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, CLASS A COMMON UNIT HOLDER direct 2014-05-01
WHV INVESTMENTS, INC. PREFERRED UNIT HOLDER 05/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
HIRAYAMA INVESTMENTS, LLC MEMBER direct 2008-06-01
EAM GLOBAL INVESTORS LLC PREFERRED UNIT HOLDER direct 2014-05-01
PRENTICE, TRAVIS, TYLER PRESIDENT, CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR, CLASS B COMMON UNIT HOLDER 05/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC CEO, PRESIDENT direct 2007-07-01
EAM INVESTORS, LLC CEO, CHIEF INVESTMENT OFFICER, MANAGING MEMBER direct 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2007-07-01
EAM GLOBAL INVESTORS LLC PRESIDENT, CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR, CLASS B COMMON UNIT HOLDER direct 2014-05-01
WEISENBERGER, MONTIE, LEE MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER 05/01/2014 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT, COO, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER direct 2007-07-01
EAM INVESTORS, LLC SENIOR VICE PRESIDENT, MANAGING MEMBER direct 2007-07-01
EUDAIMONIA ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT direct 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER direct 2014-05-01
WACO LIMITED, LLC CLASS A COMMON UNIT HOLDER 05/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CORTINA ASSET MANAGEMENT, LLC MEMBER direct 2007-06-01
EAM INVESTORS, LLC MEMBER direct 2014-01-01
NEW SHERIDAN ADVISORS, LLC MEMBER direct 2014-01-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2014-01-01
EAM GLOBAL INVESTORS LLC CLASS A COMMON UNIT HOLDER direct 2014-05-01
EAM INVESTORS, LLC MANAGER/CLASS A COMMON UNIT HOLDER 05/01/2014 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
EAM GLOBAL INVESTORS LLC MANAGER/CLASS A COMMON UNIT HOLDER direct 2014-05-01
LAIRD NORTON COMPANY, LLC SHAREHOLDER WHITE PINE, INC. 12/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WHV INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 1994-04-01
WENTWORTH, HAUSER AND VIOLICH, INC. LAIRD NORTON INVESTMENT MANAGEMENT,INC. SHAREHOLDER indirect 1994-04-01
WENTWORTH, HAUSER AND VIOLICH, INC. LNFG SHAREHOLDER indirect 1994-04-01
WENTWORTH, HAUSER AND VIOLICH, INC. LAIRD NORTON INVESTMENT MANAGEMENT,INC. SHAREHOLDER indirect 2003-12-01
WENTWORTH, HAUSER AND VIOLICH, INC. LNFG SHAREHOLDER indirect 2003-12-01
WENTWORTH, HAUSER AND VIOLICH, INC. LAIRD NORTON INVESTMENT,INC. SHAREHOLDER indirect 2003-12-01
WENTWORTH, HAUSER AND VIOLICH, INC. LNFG SHAREHOLDER indirect 2003-12-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2006-08-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2006-08-01
SEIZERT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2007-12-01
APERIO GROUP, LLC MEMBER indirect 2006-08-01
APERIO GROUP, LLC SHAREHOLDER indirect 2007-12-01
TYEE ASSET STRATEGIES, LLC SHAREHOLDER indirect 1994-04-01
LAIRD NORTON TYEE ASSET STRATEGIES, LLC SHAREHOLDER indirect 2004-01-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2006-08-01
ELESSAR INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2007-12-01
TAMRO CAPITAL PARTNERS LLC MEMBER indirect 2006-08-01
TAMRO CAPITAL PARTNERS LLC SHAREHOLDER indirect 2007-12-01
HIRAYAMA INVESTMENTS, LLC SHAREHOLDER indirect 1994-04-01
BME INVESTMENT PARTNERS, LLC MEMBER indirect 2006-08-01
BME INVESTMENT PARTNERS, LLC SHAREHOLDER indirect 2007-12-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2006-08-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2006-08-01
AETHER INVESTMENT PARTNERS, LLC SHAREHOLDER indirect 2007-12-01
DEL REY GLOBAL INVESTORS, LLC MEMBER indirect 2006-08-01
DEL REY GLOBAL INVESTORS, LLC SHAREHOLDER indirect 2007-12-01
NORTHERN LIGHTS CAPITAL GROUP, LLC MEMBER indirect 2006-08-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SHAREHOLDER indirect 2007-12-01
WINONA CAPITAL MANAGEMENT, LLC MEMBER, indirect 2006-08-01
WINONA CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2007-12-01
RAVEN CAPITAL MANAGEMENT LLC MEMBER indirect 2006-08-01
RAVEN CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2007-12-01
BLACKCRANE CAPITAL, LLC MEMBER indirect 2006-08-01
BLACKCRANE CAPITAL, LLC SHAREHOLDER indirect 2007-12-01
EAM GLOBAL INVESTORS LLC SHAREHOLDER indirect 1994-04-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2006-08-01
EAM GLOBAL INVESTORS LLC SHAREHOLDER indirect 2007-12-01
GOODHART PARTNERS LLP MEMBER indirect 2006-09-01
GOODHART PARTNERS LLP SHAREHOLDER indirect 2007-12-01
GQG PARTNERS LLC MEMBER indirect 2006-08-01
GQG PARTNERS LLC SHAREHOLDER indirect 2007-12-01
LAIRD NORTON COMPANY, LLC MEMBER LNC INVESTMENT CO., LLC 08/01/2006 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WHV INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 1994-04-01
WENTWORTH, HAUSER AND VIOLICH, INC. LAIRD NORTON INVESTMENT MANAGEMENT,INC. SHAREHOLDER indirect 1994-04-01
WENTWORTH, HAUSER AND VIOLICH, INC. LNFG SHAREHOLDER indirect 1994-04-01
WENTWORTH, HAUSER AND VIOLICH, INC. LAIRD NORTON INVESTMENT MANAGEMENT,INC. SHAREHOLDER indirect 2003-12-01
WENTWORTH, HAUSER AND VIOLICH, INC. LNFG SHAREHOLDER indirect 2003-12-01
WENTWORTH, HAUSER AND VIOLICH, INC. LAIRD NORTON INVESTMENT,INC. SHAREHOLDER indirect 2003-12-01
WENTWORTH, HAUSER AND VIOLICH, INC. LNFG SHAREHOLDER indirect 2003-12-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2006-08-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2006-08-01
SEIZERT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2007-12-01
APERIO GROUP, LLC MEMBER indirect 2006-08-01
APERIO GROUP, LLC SHAREHOLDER indirect 2007-12-01
TYEE ASSET STRATEGIES, LLC SHAREHOLDER indirect 1994-04-01
LAIRD NORTON TYEE ASSET STRATEGIES, LLC SHAREHOLDER indirect 2004-01-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2006-08-01
ELESSAR INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2007-12-01
TAMRO CAPITAL PARTNERS LLC MEMBER indirect 2006-08-01
TAMRO CAPITAL PARTNERS LLC SHAREHOLDER indirect 2007-12-01
HIRAYAMA INVESTMENTS, LLC SHAREHOLDER indirect 1994-04-01
BME INVESTMENT PARTNERS, LLC MEMBER indirect 2006-08-01
BME INVESTMENT PARTNERS, LLC SHAREHOLDER indirect 2007-12-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2006-08-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2006-08-01
AETHER INVESTMENT PARTNERS, LLC SHAREHOLDER indirect 2007-12-01
DEL REY GLOBAL INVESTORS, LLC MEMBER indirect 2006-08-01
DEL REY GLOBAL INVESTORS, LLC SHAREHOLDER indirect 2007-12-01
NORTHERN LIGHTS CAPITAL GROUP, LLC MEMBER indirect 2006-08-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SHAREHOLDER indirect 2007-12-01
WINONA CAPITAL MANAGEMENT, LLC MEMBER, indirect 2006-08-01
WINONA CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2007-12-01
RAVEN CAPITAL MANAGEMENT LLC MEMBER indirect 2006-08-01
RAVEN CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2007-12-01
BLACKCRANE CAPITAL, LLC MEMBER indirect 2006-08-01
BLACKCRANE CAPITAL, LLC SHAREHOLDER indirect 2007-12-01
EAM GLOBAL INVESTORS LLC SHAREHOLDER indirect 1994-04-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2006-08-01
EAM GLOBAL INVESTORS LLC SHAREHOLDER indirect 2007-12-01
GOODHART PARTNERS LLP MEMBER indirect 2006-09-01
GOODHART PARTNERS LLP SHAREHOLDER indirect 2007-12-01
GQG PARTNERS LLC MEMBER indirect 2006-08-01
GQG PARTNERS LLC SHAREHOLDER indirect 2007-12-01
WHITE PINE, INC. MEMBER LNC INVESTMENT CO., LLC 12/01/2007 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
GQG PARTNERS LLC MEMBER indirect 2007-12-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2007-12-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2007-12-01
APERIO GROUP, LLC MEMBER indirect 2007-12-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2007-12-01
TAMRO CAPITAL PARTNERS LLC MEMBER indirect 2007-12-01
BME INVESTMENT PARTNERS, LLC MEMBER indirect 2007-12-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2007-12-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2007-12-01
DEL REY GLOBAL INVESTORS, LLC MEMBER indirect 2007-12-01
DEL REY GLOBAL INVESTORS, LLC SHAREHOLDER indirect 2007-12-01
NORTHERN LIGHTS CAPITAL GROUP, LLC MEMBER indirect 2007-12-01
WINONA CAPITAL MANAGEMENT, LLC MEMBER indirect 2007-12-01
BLACKCRANE CAPITAL, LLC MEMBER indirect 2007-12-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2007-12-01
GOODHART PARTNERS LLP MEMBER indirect 2007-12-01
LNC INVESTMENT CO., LLC MEMBER NORTHERN LIGHTS CAPITAL PARTNERS, LLC 05/01/2010 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2007-01-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2010-05-01
APERIO GROUP, LLC MEMBER indirect 2010-05-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2010-05-01
TAMRO CAPITAL PARTNERS LLC MEMBER indirect 2007-01-01
BME INVESTMENT PARTNERS, LLC MEMBER indirect 2007-01-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2007-01-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2010-05-01
DEL REY GLOBAL INVESTORS, LLC UNITHOLDER indirect 2010-05-01
NORTHERN LIGHTS CAPITAL GROUP, LLC MEMBER indirect 2010-05-01
WINONA CAPITAL MANAGEMENT, LLC MEMBER direct 2006-08-01
RAVEN CAPITAL MANAGEMENT LLC MEMBER indirect 2010-05-01
BLACKCRANE CAPITAL, LLC MEMBER indirect 2010-05-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2010-05-01
GOODHART PARTNERS LLP MEMBER indirect 2010-05-01
GQG PARTNERS LLC MEMBER indirect 2010-05-01
NORTHERN LIGHTS CAPITAL PARTNERS, LLC UNITHOLDER AURORA TRUST 11/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SEIZERT CAPITAL PARTNERS, LLC MEMBER direct 2009-01-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2010-01-01
SEIZERT CAPITAL PARTNERS, LLC UNITHOLDER indirect 2014-11-01
APERIO GROUP, LLC UNITHOLDER indirect 2014-11-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2007-12-01
ELESSAR INVESTMENT MANAGEMENT, LLC UNITHOLDER indirect 2014-10-01
ELESSAR INVESTMENT MANAGEMENT, LLC UNITHOLDER indirect 2014-11-01
BHR FUND ADVISORS, L.P. LIMITED PARTNER direct 2006-10-01
ALPHASHARES, LLC MEMBER direct 2008-02-01
TAMRO CAPITAL PARTNERS LLC MEMBER direct 2007-07-01
TAMRO CAPITAL PARTNERS LLC UNITHOLDER indirect 2014-11-01
AETHER INVESTMENT PARTNERS, LLC MEMBER direct 2008-10-01
AETHER INVESTMENT PARTNERS, LLC UNITHOLDER indirect 2014-10-01
AETHER INVESTMENT PARTNERS, LLC UNITHOLDER indirect 2014-11-01
DEL REY GLOBAL INVESTORS, LLC MEMBER direct 2010-07-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SHAREHOLDER / OWNER indirect 2010-05-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SOLE SHAREHOLDER / OWNER direct 2010-05-01
NORTHERN LIGHTS CAPITAL GROUP, LLC UNITHOLDER indirect 2014-11-01
RAVEN CAPITAL MANAGEMENT LLC MEMBER direct 2009-09-01
RAVEN CAPITAL MANAGEMENT LLC UNITHOLDER indirect 2014-11-01
BLACKCRANE CAPITAL, LLC OWNER indirect 2006-10-01
BLACKCRANE CAPITAL, LLC MEMBER, OWNER direct 2014-03-01
BLACKCRANE CAPITAL, LLC OWNER direct 2014-03-01
BLACKCRANE CAPITAL, LLC UNITHOLDER indirect 2014-11-01
EAM GLOBAL INVESTORS LLC PREFERRED UNIT HOLDER direct 2014-05-01
EAM GLOBAL INVESTORS LLC UNITHOLDER indirect 2014-11-01
GOODHART PARTNERS LLP UNITHOLDER indirect 2014-11-01
GQG PARTNERS LLC UNITHOLDER indirect 2014-11-01
PACIFIC CURRENT GROUP UNITHOLDER AURORA TRUST 11/01/2014 Indirect 50 - 75%
AURORA INVESTMENT MANAGEMENT PTY LIMITED TRUSTEE AURORA TRUST 11/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
SEIZERT CAPITAL PARTNERS, LLC TRUSTEE indirect 2014-11-01
ELESSAR INVESTMENT MANAGEMENT, LLC TRUSTEE indirect 2014-11-01
TAMRO CAPITAL PARTNERS LLC TRUSTEE indirect 2014-11-01
AETHER INVESTMENT PARTNERS, LLC TRUSTEE indirect 2014-10-01
EAM GLOBAL INVESTORS LLC TRUSTEE indirect 2014-11-01
AURORA TRUST MEMBER NORTHERN LIGHTS MIDCO, LLC 11/01/2014 Indirect 75% or more
LAIRD NORTON COMPANY, LLC SHAREHOLDER LAIRD NORTON INVESTMENT MANAGEMENT, INC. 04/01/1994 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
WHV INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 1994-04-01
WENTWORTH, HAUSER AND VIOLICH, INC. LAIRD NORTON INVESTMENT MANAGEMENT,INC. SHAREHOLDER indirect 1994-04-01
WENTWORTH, HAUSER AND VIOLICH, INC. LNFG SHAREHOLDER indirect 1994-04-01
WENTWORTH, HAUSER AND VIOLICH, INC. LAIRD NORTON INVESTMENT MANAGEMENT,INC. SHAREHOLDER indirect 2003-12-01
WENTWORTH, HAUSER AND VIOLICH, INC. LNFG SHAREHOLDER indirect 2003-12-01
WENTWORTH, HAUSER AND VIOLICH, INC. LAIRD NORTON INVESTMENT,INC. SHAREHOLDER indirect 2003-12-01
WENTWORTH, HAUSER AND VIOLICH, INC. LNFG SHAREHOLDER indirect 2003-12-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2006-08-01
SEIZERT CAPITAL PARTNERS, LLC MEMBER indirect 2006-08-01
SEIZERT CAPITAL PARTNERS, LLC SHAREHOLDER indirect 2007-12-01
APERIO GROUP, LLC MEMBER indirect 2006-08-01
APERIO GROUP, LLC SHAREHOLDER indirect 2007-12-01
TYEE ASSET STRATEGIES, LLC SHAREHOLDER indirect 1994-04-01
LAIRD NORTON TYEE ASSET STRATEGIES, LLC SHAREHOLDER indirect 2004-01-01
ELESSAR INVESTMENT MANAGEMENT, LLC MEMBER indirect 2006-08-01
ELESSAR INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2007-12-01
TAMRO CAPITAL PARTNERS LLC MEMBER indirect 2006-08-01
TAMRO CAPITAL PARTNERS LLC SHAREHOLDER indirect 2007-12-01
HIRAYAMA INVESTMENTS, LLC SHAREHOLDER indirect 1994-04-01
BME INVESTMENT PARTNERS, LLC MEMBER indirect 2006-08-01
BME INVESTMENT PARTNERS, LLC SHAREHOLDER indirect 2007-12-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2006-08-01
AETHER INVESTMENT PARTNERS, LLC MEMBER indirect 2006-08-01
AETHER INVESTMENT PARTNERS, LLC SHAREHOLDER indirect 2007-12-01
DEL REY GLOBAL INVESTORS, LLC MEMBER indirect 2006-08-01
DEL REY GLOBAL INVESTORS, LLC SHAREHOLDER indirect 2007-12-01
NORTHERN LIGHTS CAPITAL GROUP, LLC MEMBER indirect 2006-08-01
NORTHERN LIGHTS CAPITAL GROUP, LLC SHAREHOLDER indirect 2007-12-01
WINONA CAPITAL MANAGEMENT, LLC MEMBER, indirect 2006-08-01
WINONA CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2007-12-01
RAVEN CAPITAL MANAGEMENT LLC MEMBER indirect 2006-08-01
RAVEN CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2007-12-01
BLACKCRANE CAPITAL, LLC MEMBER indirect 2006-08-01
BLACKCRANE CAPITAL, LLC SHAREHOLDER indirect 2007-12-01
EAM GLOBAL INVESTORS LLC SHAREHOLDER indirect 1994-04-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2006-08-01
EAM GLOBAL INVESTORS LLC SHAREHOLDER indirect 2007-12-01
GOODHART PARTNERS LLP MEMBER indirect 2006-09-01
GOODHART PARTNERS LLP SHAREHOLDER indirect 2007-12-01
GQG PARTNERS LLC MEMBER indirect 2006-08-01
GQG PARTNERS LLC SHAREHOLDER indirect 2007-12-01
LAIRD NORTON INVESTMENT MANAGEMENT, INC. OWNER WHV INVESTMENT MANAGEMENT, INC. 12/01/2003 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WENTWORTH, HAUSER AND VIOLICH, INC. OWNER direct 2003-12-01
EAM GLOBAL INVESTORS LLC OWNER indirect 2003-12-01
HIRAYAMA INVESTMENTS, LLC SHAREHOLDER indirect 2003-12-01
WENTWORTH HAUSER & VIOLICH INC SHAREHOLDER direct 1999-05-01 2001-06-21
WENTWORTH HAUSER & VIOLICH INC OWNER direct 1994-04-01 2003-06-18
TAS ACQUISITION, LLC MANAGER direct 2001-05-01 2003-09-24
HIRAYAMA INVESTMENTS, LLC SHAREHOLDER indirect 2003-12-01 2011-03-30
HIRAYAMA INVESTMENTS, LLC SHAREHOLDER indirect 2003-12-01 2012-03-29
HIRAYAMA INVESTMENTS, LLC SHAREHOLDER indirect 2003-12-01 2014-03-28
ROTH, BYRON, CLARENCE SHAREHOLDER CR FINANCIAL HOLDINGS, INC. 01/01/2000 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NEW SHERIDAN ADVISORS, LLC SHAREHOLDER, CEO indirect 2000-01-01
EUDAIMONIA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2000-01-01
CORTINA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2000-01-01
EAM GLOBAL INVESTORS LLC SHAREHOLDER indirect 2000-01-01
ROTH CAPITAL PARTNERS GP, LLC TRUSTEE indirect 2000-02-01
GROW PARTNERS LLC SHAREHOLDER indirect 2001-01-01
ROTH CAPITAL PARTNERS GP, LLC CHIEF EXECUTIVE OFFICER direct 2001-06-01
EUDAIMONIA ASSET MANAGEMENT, LLC CHAIRMAN/CEO/MANAGER indirect 2001-02-01 2008-01-28
CORTINA ASSET MANAGEMENT, LLC OWNER indirect 2000-01-01 2013-10-14
NEW SHERIDAN ADVISORS, LLC SHAREHOLDER indirect 2000-01-01 2013-11-05
CORTINA ASSET MANAGEMENT, LLC OWNER indirect 2000-01-01 2015-03-31
CORTINA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2000-01-01 2016-08-05
CORTINA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2000-01-01 2016-08-26
CR FINANCIAL HOLDINGS, INC. MEMBER WACO LIMITED, LLC 01/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ROTH CAPITAL PARTNERS GP, LLC SHAREHOLDER indirect 2000-01-01
GROW PARTNERS LLC MEMBER indirect 2012-03-01
CORTINA ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2013-12-01
EAM INVESTORS, LLC MEMBER indirect 2014-01-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2014-01-01
NEW SHERIDAN ADVISORS, LLC MEMBER indirect 2014-01-01
EUDAIMONIA ASSET MANAGEMENT, LLC MEMBER indirect 2002-12-01 2008-01-28
EAM INVESTORS, LLC MEMBER direct 2008-05-01 2013-07-16
CORTINA ASSET MANAGEMENT, LLC OWNER indirect 2000-01-01 2013-10-04
NEW SHERIDAN ADVISORS, LLC MEMBER direct 2013-06-01 2013-11-05
CORTINA ASSET MANAGEMENT, LLC MEMBER direct 2007-06-01 2016-08-26
CORTINA ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2013-12-01 2016-08-26
WACO LIMITED, LLC MEMBER EAM INVESTORS, LLC 01/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CORTINA ASSET MANAGEMENT, LLC MEMBER direct 2007-06-01
EAM INVESTORS, LLC MEMBER direct 2014-01-01
NEW SHERIDAN ADVISORS, LLC MEMBER direct 2014-01-01
EAM GLOBAL INVESTORS LLC MEMBER indirect 2014-01-01
EAM GLOBAL INVESTORS LLC CLASS A COMMON UNIT HOLDER direct 2014-05-01
HURST, FRANK, PAGE MANAGING MEMBER EAM INVESTORS, LLC 06/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
DUNCAN HURST CAPITAL MANAGEMENT INC PRESIDENT direct 1990-05-01
EAM INVESTORS, LLC PRESIDENT, MANAGING MEMBER direct 2011-06-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2011-06-01
EAM GLOBAL INVESTORS LLC MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER direct 2014-05-01
DUNCAN-HURST CAPITAL MANAGEMENT, L.P. PRESIDENT, MEMBER OF MANAGEMENT COMMITTEE direct 2003-12-01 2005-03-30
BERKELEY CAPITAL MANAGEMENT LLC PRESIDENT direct 2007-03-01 2007-05-03
RELATIONAL INVESTORS LLC MEMBER indirect 2007-11-01 2009-09-17
RELATIONAL INVESTORS LLC SENIOR MANAGING DIRECTOR, MARKETING direct 2007-11-01 2011-01-05
PRENTICE, TRAVIS, TYLER MANAGING MEMBER EAM INVESTORS, LLC 07/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC CEO, PRESIDENT direct 2007-07-01
EAM INVESTORS, LLC CEO, CHIEF INVESTMENT OFFICER, MANAGING MEMBER direct 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2007-07-01
EAM GLOBAL INVESTORS LLC PRESIDENT, CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR, CLASS B COMMON UNIT HOLDER direct 2014-05-01
WEISENBERGER, MONTIE, LEE MANAGING MEMBER EAM INVESTORS, LLC 07/01/2007 Indirect Other
Fund Name Position direct/indirect start date end date
EUDAIMONIA ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT, COO, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER direct 2007-07-01
EAM INVESTORS, LLC SENIOR VICE PRESIDENT, MANAGING MEMBER direct 2007-07-01
EUDAIMONIA ASSET MANAGEMENT, LLC SENIOR VICE PRESIDENT direct 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING MEMBER indirect 2007-07-01
EAM GLOBAL INVESTORS LLC MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER direct 2014-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
EAM EMERGING MARKETS SMALL CAP FUND, LP United States 805-1819865736 Hedge Fund 101,175,627 1,000,000

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