ETHIC INC.

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Ethic is based out of New York. Ethic is a large advisory firm with 10 clients and discretionary assets under management (AUM) of $211,362,876 (Form ADV from 2020-03-31). Their last reported 13F filing for Q1 2020 included $119,776,000 in managed 13F securities and a top 10 holdings concentration of 26.42%. Ethic's largest holding is Apple Inc with shares held of 26,582. Whalewisdom has at least 4 13F filings The firm last filed a Form D notice of exempt offering of securities on 2019-06-25. The notice included securities offered of Equity

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03/31/2020

13F Sector Allocation Over Time

03/31/2020

13F Activity

  • Market Value $119.776 Million
  • Prior Market Value $131.133 Million
  • New Purchases29 stocks
  • Additional Purchases164 stocks
  • Sold out of23 stocks
  • Reduced holdings in15 stocks
  • Top 10 Holdings % 26.42 %
  • Turnover % [1]:25.00%
  • Turnover Alt % [2]: 24.80 %
  • Time Held Top20:0.85 quarters
  • Time Held Top10:0.80 quarters
  • Time Held All:0.86 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 2020-05-15

Performance for Q1 2020: -8.46%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter
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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

ETHIC INC.
250 WEST BROADWAY, 5TH FLOOR
NEW YORK NY    10013
Country: United States
Business Phone: (646) 687-6744
Fax: N/A
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: DE
Number of employees: 30
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 10
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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Form D Filings

Form D is a form to be used to file a notice of an exempt offering of securities with the Securities and Exchange Commission. Form D contains basic information about the offering and the company.

Form D Filings
Filing Date Form Type Industry Group Securities Offered Total Offering Amount Total Amount Sold Total Remaining
2019-06-25 D INVESTING Equity 19,891,955 19,891,955 0
Other Issuers in Filings
Name Address
No Other Issuers
Related Parties included in filings
Name Address Relationship
DOUGLAS SCOTT subscription required
    EXECUTIVE OFFICER DIRECTOR
JOHN MAIR subscription required
    DIRECTOR
JOHN MORRIS subscription required
    DIRECTOR
JORDAN LIPMAN subscription required
    DIRECTOR

ETHIC INC.

ownership team - last updated 2020-03-31
Name Title Start Date Direct/Indirect % Ownership

ETHIC INC.

ownership team - last updated 2019-10-30
Name Title Start Date Direct/Indirect % Ownership
LIPMAN, JORDAN, JOSH PRESIDENT AND CHIEF COMPLIANCE OFFICER 01/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SIMPLIFUND INC. MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2016-01-01
Scott, Douglas, William Arce CHIEF EXECUTIVE OFFICER 01/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SIMPLIFUND INC. MANAGING MEMBER direct 2016-01-01
BOURAOUI, KAMEL CHIEF TECHNOLOGY OFFICER 08/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ETHIC INC. CHIEF TECHNOLOGY OFFICER direct 2016-08-01
MAIR, JOHN HEAD OF PRODUCT 03/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ETHIC INC. HEAD OF PRODUCT direct 2016-03-01
NYCA INVESTMENT FUND III, L.P. SHAREHOLDER 06/01/2019 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ETHIC INC. SHAREHOLDER direct 2019-06-01
DEVONSHIRE INVESTORS (DELAWARE) LLC SHAREHOLDER 06/01/2019 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ETHIC INC. SHAREHOLDER direct 2019-06-01
DIMARCO, STEPHANIE, G BOARD DIRECTOR 10/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ETHIC INC. BOARD DIRECTOR direct 2019-10-01
GRANCIO, JENNIFER, LISA BOARD DIRECTOR 10/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ETHIC INC. BOARD DIRECTOR direct 2019-10-01
FMR LLC OWNER DEVONSHIRE INVESTORS (DELAWARE) LLC 01/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIDELITY CAPITAL FAR EAST, INC. SHAREHOLDER direct 1977-05-01
STRATEGIC ADVISERS, INC. SHAREHOLDER direct 1977-06-01
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. SHAREHOLDER direct 1985-10-01
FIDELITY BROKERAGE SERVICES, LLC SHAREHOLDER indirect 1995-12-01
NATIONAL FINANCIAL SERVICES LLC SHAREHOLDER indirect 1995-12-01
FIDELITY BROKERAGE SERVICES LLC SHAREHOLDER indirect 1995-12-01
FIDELITY PERSONAL TRUST COMPANY, FSB SHAREHOLDER indirect 2000-04-01
NATIONAL FINANCIAL SERVICES, LLC SHAREHOLDER indirect 2007-10-01
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. STOCKHOLDER direct 2007-10-01
NATIONAL FINANCIAL SERVICES, LLC SHAREHOLDER indirect 1995-12-01 2007-03-29
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. STOCKHOLDER direct 1985-10-01 2007-06-06
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED SHAREHOLDER direct 2014-12-01 2015-11-13
FMR INVESTMENT MANAGEMENT (UK) LIMITED SHAREHOLDER direct 2013-01-01 2017-08-08
CURVEY, JAMES, CHARLES ELECTED MANAGER FMR LLC 02/01/1990 Indirect Other
Fund Name Position direct/indirect start date end date
BALLYROCK INVESTMENT ADVISORS LLC ELECTED MANAGER indirect 1990-02-01
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED ELECTED MANAGER indirect 1990-02-01
FIDELITY MANAGEMENT & RESEARCH COMPANY ELECTED MANAGER indirect 1990-02-01
STRATEGIC ADVISERS, INC. ELECTED MANAGER indirect 1990-02-01
FMR INVESTMENT MANAGEMENT (UK) LIMITED ELECTED MANAGER indirect 1990-02-01
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED ELECTED MANAGER indirect 1990-02-01
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. ELECTED MANAGER indirect 1990-02-01
FIAM LLC ELECTED MANAGER indirect 1990-02-01
FIDELITY SELECTCO, LLC ELECTED MANAGER indirect 1990-02-01
FMR CO., INC. ELECTED MANAGER indirect 1990-02-01
NORTHERN NECK INVESTORS LLC MEMBER direct 1998-05-01
FIDELITY RESEARCH & ANALYSIS COMPANY DIRECTOR direct 2009-08-01
FIDELITY INVESTORS MANAGEMENT, LLC DIRECTOR direct 1998-05-01 2002-03-28
FIDELITY CAPITAL FAR EAST, INC. DIRECTOR, CHAIRMAN OF THE BOARD & PRESIDENT direct 1994-12-01 2003-03-31
FIDELITY INVESTORS MANAGEMENT, LLC SHAREHOLDER direct 1998-05-01 2009-11-19
FIDELITY MANAGEMENT & RESEARCH COMPANY DIRECTOR direct 2007-06-01 2014-01-03
FMR CO., INC. DIRECTOR direct 2007-06-01 2014-01-03
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. DIRECTOR direct 2009-08-01 2014-01-03
IMPRESA MANAGEMENT LLC SOLE TRUSTEE OF SHM TRUST 6 direct 2013-07-01 2016-09-09
FIAM LLC DIRECTOR indirect 1990-02-01 2016-09-21
FIDELITY MANAGEMENT & RESEARCH COMPANY DIRECTOR indirect 1990-02-01 2016-09-21
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. DIRECTOR indirect 1990-02-01 2016-09-26
FMR CO., INC. DIRECTOR indirect 1990-02-01 2016-09-26
FMR INVESTMENT MANAGEMENT (UK) LIMITED DIRECTOR indirect 1990-02-01 2016-09-26
FIDELITY SELECTCO, LLC DIRECTOR indirect 1990-02-01 2016-09-26
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED DIRECTOR indirect 1990-02-01 2016-09-26
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED DIRECTOR indirect 1990-02-01 2016-09-26
BALLYROCK INVESTMENT ADVISORS LLC DIRECTOR indirect 1990-02-01 2016-10-07
STRATEGIC ADVISERS, INC. DIRECTOR indirect 1990-02-01 2016-11-09
JOHNSON, ABIGAIL, PIERREPONT ELECTED MANAGER FMR LLC 05/01/1994 Indirect Other
Fund Name Position direct/indirect start date end date
FMR CO., INC. ELECTED MANAGER indirect 1994-05-01
FIAM LLC ELECTED MANAGER indirect 1994-05-01
STRATEGIC ADVISERS, INC. ELECTED MANAGER indirect 1994-05-01
FIDELITY SELECTCO, LLC ELECTED MANAGER indirect 1994-05-01
BALLYROCK INVESTMENT ADVISORS LLC ELECTED MANAGER indirect 1994-05-01
FMR INVESTMENT MANAGEMENT (UK) LIMITED ELECTED MANAGER indirect 1994-05-01
FIDELITY MANAGEMENT & RESEARCH COMPANY ELECTED MANAGER indirect 1994-05-01
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED ELECTED MANAGER indirect 1994-05-01
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. ELECTED MANAGER indirect 1994-05-01
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED ELECTED MANAGER indirect 1994-05-01
NORTHERN NECK INVESTORS LLC MEMBER direct 1998-05-01
FMR CO., INC. CHAIRMAN OF THE BOARD, DIRECTOR direct 2011-02-01
FIDELITY MANAGEMENT & RESEARCH COMPANY CHAIRMAN OF THE BOARD, DIRECTOR direct 2011-02-01
IMPRESA MANAGEMENT LLC SOLE TRUSTEE OF SHM TRUST 4, SOLE TRUSTEE OF SHM TRUST 7 direct 2013-07-01
FIDELITY MANAGEMENT & RESEARCH COMPANY SENIOR VICE PRESIDENT direct 1997-05-01 2001-01-31
FMR INVESTMENT MANAGEMENT SERVICE, INC. SENIOR VICE PRESIDENT direct 1997-05-01 2001-01-31
FIDELITY CAPITAL FAR EAST, INC. SHAREHOLDER indirect 1991-01-01 2001-05-21
FIDELITY INVESTMENTS INSITUTIONAL SERVICES COMPANY, INC. SHAREHOLDER indirect 1991-01-01 2001-05-21
NATIONAL FINANCIAL SERVICES LLC SHAREHOLDER indirect 1991-01-01 2001-06-29
FIDELITY BROKERAGE SERVICES LLC SHAREHOLDER indirect 1991-01-01 2001-07-09
BALLYROCK INVESTMENT ADVISORS LLC DIRECTOR direct 2001-06-01 2001-09-12
FIDELITY PERSONAL TRUST COMPANY, FSB SHAREHOLDER indirect 1991-01-01 2001-09-26
STRATEGIC ADVISERS INC. SHAREHOLDER indirect 1991-01-01 2001-11-05
STRATEGIC ADVISERS INC. DIRECTOR direct 2001-06-01 2001-11-28
FIDELITY MANAGEMENT & RESEARCH (FAR EAST) INC. DIRECTOR, PRESIDENT direct 2001-06-01 2002-08-16
FIDELITY INVESTORS MANAGEMENT, LLC SHAREHOLDER & DIRECTOR direct 1998-05-01 2005-03-31
FMR CO., INC. DIRECTOR, PRESIDENT direct 2001-06-01 2005-03-31
FIDELITY INVESTMENTS MONEY MANAGEMENT INC. DIRECTOR, PRESIDENT direct 2001-06-01 2005-03-31
FIDELITY MANAGEMENT & RESEARCH COMPANY DIRECTOR, PRESIDENT direct 2001-06-01 2005-03-31
FIDELITY INVESTORS MANAGEMENT CORP. SHAREHOLDER direct 1998-05-01 2009-08-05
NORTHERN NECK INVESTORS CORPORATION SHAREHOLDER, DIRECTOR direct 1998-05-01 2009-11-19
NORTHERN NECK INVESTORS CORPORATION MEMBER & DIRECTOR direct 1998-05-01 2010-03-30
IMPRESA MANAGEMENT LLC SOLE TRUSTEE OF SHM TRUST 7 direct 2013-07-01 2016-09-09
FIDELITY MANAGEMENT & RESEARCH COMPANY DIRECTOR indirect 1994-05-01 2016-09-21
FIAM LLC DIRECTOR indirect 1994-05-01 2016-09-21
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. DIRECTOR indirect 1994-05-01 2016-09-26
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED DIRECTOR indirect 1994-05-01 2016-09-26
FMR CO., INC. DIRECTOR indirect 1994-05-01 2016-09-26
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED DIRECTOR indirect 1994-05-01 2016-09-26
FIDELITY SELECTCO, LLC DIRECTOR indirect 1994-05-01 2016-09-26
FMR INVESTMENT MANAGEMENT (UK) LIMITED DIRECTOR indirect 1994-05-01 2016-09-26
BALLYROCK INVESTMENT ADVISORS LLC DIRECTOR indirect 1994-05-01 2016-10-07
STRATEGIC ADVISERS, INC. DIRECTOR indirect 1994-05-01 2016-11-09
JOHNSON IV, EDWARD, CROSBY ELECTED MANAGER FMR LLC 04/01/2006 Indirect Other
Fund Name Position direct/indirect start date end date
STRATEGIC ADVISERS, INC. DIRECTOR indirect 2006-04-01
STRATEGIC ADVISERS, INC. ELECTED MANAGER indirect 2006-04-01
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. DIRECTOR indirect 2006-04-01
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. ELECTED MANAGER indirect 2006-04-01
FMR INVESTMENT MANAGEMENT (UK) LIMITED ELECTED MANAGER indirect 2006-04-01
FMR INVESTMENT MANAGEMENT (UK) LIMITED DIRECTOR indirect 2006-04-01
FIDELITY MANAGEMENT & RESEARCH COMPANY DIRECTOR indirect 2006-04-01
FIDELITY MANAGEMENT & RESEARCH COMPANY ELECTED MANAGER indirect 2006-04-01
FMR CO., INC. ELECTED MANAGER indirect 2006-04-01
FMR CO., INC. DIRECTOR indirect 2006-04-01
NORTHERN NECK INVESTORS CORPORATION DIRECTOR, SOLE TRUSTEE TO ECJMAJ FIMCORP TRUST direct 2006-03-01
FIDELITY INVESTORS MANAGEMENT CORP. DIRECTOR direct 2007-01-01
BALLYROCK INVESTMENT ADVISORS LLC DIRECTOR indirect 2006-04-01
BALLYROCK INVESTMENT ADVISORS LLC ELECTED MANAGER indirect 2006-04-01
FIAM LLC ELECTED MANAGER indirect 2006-04-01
FIAM LLC DIRECTOR indirect 2006-04-01
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED ELECTED MANAGER indirect 2006-04-01
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED DIRECTOR indirect 2006-04-01
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED ELECTED MANAGER indirect 2006-04-01
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED DIRECTOR indirect 2006-04-01
FIDELITY SELECTCO, LLC DIRECTOR indirect 2006-04-01
FIDELITY SELECTCO, LLC ELECTED MANAGER indirect 2006-04-01
IMPRESA MANAGEMENT LLC DIRECTOR, SOLE TRUSTEE OF SHM TRUST 9 direct 2013-07-01
IMPRESA MANAGEMENT LLC DIRECTOR, SOLE TRUSTEE OF SHM TRUST 6, SOLE TRUSTEE OF SHM TRUST 9 direct 2013-07-01
REMONDI, JOHN, JOSEPH ELECTED MANAGER FMR LLC 04/01/2006 Indirect Other
Fund Name Position direct/indirect start date end date
NORTHERN NECK INVESTORS LLC MEMBER & DIRECTOR direct 1998-05-01
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED ELECTED MANAGER indirect 2006-04-01
FIDELITY SELECTCO, LLC ELECTED MANAGER indirect 2006-04-01
FIAM LLC ELECTED MANAGER indirect 2006-04-01
BALLYROCK INVESTMENT ADVISORS LLC ELECTED MANAGER indirect 2006-04-01
STRATEGIC ADVISERS, INC. ELECTED MANAGER indirect 2006-04-01
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED ELECTED MANAGER indirect 2006-04-01
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. ELECTED MANAGER indirect 2006-04-01
FMR INVESTMENT MANAGEMENT (UK) LIMITED ELECTED MANAGER indirect 2006-04-01
FMR CO., INC. ELECTED MANAGER indirect 2006-04-01
FIDELITY MANAGEMENT & RESEARCH COMPANY ELECTED MANAGER indirect 2006-04-01
FMR CO., INC. DIRECTOR direct 2007-06-01
FIDELITY MANAGEMENT & RESEARCH COMPANY DIRECTOR direct 2007-06-01
FIDELITY RESEARCH & ANALYSIS COMPANY DIRECTOR direct 2009-08-01
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. DIRECTOR direct 2009-08-01
IMPRESA MANAGEMENT LLC DIRECTOR, SOLE TRUSTEE OF SHM TRUST 5 direct 2013-07-01
FIDELITY CAPITAL FAR EAST, INC. DIRECTOR direct 1994-12-01 2002-03-28
BALLYROCK INVESTMENT ADVISORS, LLC DIRECTOR direct 2002-02-01 2003-09-25
FIDELITY INVESTORS MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER/PRESIDENT direct 1998-05-01 2003-09-29
FIDELITY INVESTORS MANAGEMENT, LLC SHAREHOLDER direct 2003-09-01 2003-09-30
GEODE CAPITAL MANAGEMENT, LLC DIRECTOR direct 2001-07-01 2004-10-01
GEODE CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2001-07-01 2004-10-01
GEODE CAPITAL MANAGEMENT LP DIRECTOR indirect 2001-07-01 2004-10-01
GEODE CAPITAL MANAGEMENT LP DIRECTOR indirect 2001-07-01 2004-10-01
FIDELITY INVESTORS MANAGEMENT, LLC SHAREHOLDER direct 1998-05-01 2005-03-31
NORTHERN NECK INVESTORS CORP. SHAREHOLDER & DIRECTOR direct 2005-07-01 2008-08-13
NORTHERN NECK INVESTORS CORPORATION SHAREHOLDER & DIRECTOR direct 1998-05-01 2009-11-19
FIDELITY MANAGEMENT & RESEARCH COMPANY DIRECTOR indirect 2006-04-01 2016-09-21
FIAM LLC DIRECTOR indirect 2006-04-01 2016-09-21
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. DIRECTOR indirect 2006-04-01 2016-09-26
FIDELITY SELECTCO, LLC DIRECTOR indirect 2006-04-01 2016-09-26
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED DIRECTOR indirect 2006-04-01 2016-09-26
FMR INVESTMENT MANAGEMENT (UK) LIMITED DIRECTOR indirect 2006-04-01 2016-09-26
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED DIRECTOR indirect 2006-04-01 2016-09-26
FMR CO., INC. DIRECTOR indirect 2006-04-01 2016-09-26
BALLYROCK INVESTMENT ADVISORS LLC DIRECTOR indirect 2006-04-01 2016-10-07
STRATEGIC ADVISERS, INC. DIRECTOR indirect 2006-04-01 2016-11-09
WILENS, MICHAEL, ENGBER ELECTED MANAGER FMR LLC 10/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
STRATEGIC ADVISERS, INC. HEAD OF ASSET MANAGEMENT direct 2008-07-01
STRATEGIC ADVISERS, INC. ELECTED MANAGER indirect 2014-10-01
STRATEGIC ADVISERS, INC. DIRECTOR indirect 2014-10-01
FIDELITY RESEARCH & ANALYSIS COMPANY HEAD OF ASSET MANAGEMENT direct 2008-07-01
FIDELITY INVESTMENTS MONEY MANAGEMENT INC. HEAD OF ASSET MANAGEMENT direct 2008-07-01
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. DIRECTOR indirect 2014-10-01
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. ELECTED MANAGER indirect 2014-10-01
FMR INVESTMENT MANAGEMENT (UK) LIMITED ELECTED MANAGER indirect 2014-10-01
FMR INVESTMENT MANAGEMENT (UK) LIMITED DIRECTOR indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH COMPANY HEAD OF ASSET MANAGEMENT direct 2008-07-01
FIDELITY MANAGEMENT & RESEARCH COMPANY DIRECTOR indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH COMPANY ELECTED MANAGER indirect 2014-10-01
FMR CO., INC. HEAD OF ASSET MANAGEMENT direct 2008-07-01
FMR CO., INC. ELECTED MANAGER indirect 2014-10-01
FMR CO., INC. DIRECTOR indirect 2014-10-01
BALLYROCK INVESTMENT ADVISORS LLC HEAD OF ASSET MANAGEMENT direct 2008-07-01
BALLYROCK INVESTMENT ADVISORS LLC DIRECTOR indirect 2014-10-01
BALLYROCK INVESTMENT ADVISORS LLC ELECTED MANAGER indirect 2014-10-01
PYRAMIS GLOBAL ADVISORS, LLC HEAD OF ASSET MANAGEMENT direct 2008-07-01
FIAM LLC ELECTED MANAGER indirect 2014-10-01
FIAM LLC DIRECTOR indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED ELECTED MANAGER indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED DIRECTOR indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED ELECTED MANAGER indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED DIRECTOR indirect 2014-10-01
FIDELITY SELECTCO, LLC ELECTED MANAGER indirect 2014-10-01
FIDELITY SELECTCO, LLC DIRECTOR indirect 2014-10-01
MCGRAW, GERARD, JOHN ELECTED MANAGER FMR LLC 10/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
FIDELITY BROKERAGE SERVICES, LLC CHIEF OPERATIONS OFFICER direct 2004-05-01
FIDELITY BROKERAGE SERVICES, LLC COO direct 2004-05-01
NATIONAL FINANCIAL SERVICES, LLC COO direct 2004-05-01
NATIONAL FINANCIAL SERVICES, LLC CHIEF OPERATIONS OFFICER direct 2004-05-01
NATIONAL FINANCIAL SERVICES, LLC CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2010-02-01
NATIONAL FINANCIAL SERVICES, LLC HEAD OF BROKERAGE OPERATIONS direct 2010-02-01
NATIONAL FINANCIAL SERVICES, LLC CHIEF EXECUTIVE OFFICER direct 2010-02-01
STRATEGIC ADVISERS, INC. DIRECTOR indirect 2014-10-01
STRATEGIC ADVISERS, INC. ELECTED MANAGER indirect 2014-10-01
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. ELECTED MANAGER indirect 2014-10-01
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. DIRECTOR indirect 2014-10-01
FMR INVESTMENT MANAGEMENT (UK) LIMITED ELECTED MANAGER indirect 2014-10-01
FMR INVESTMENT MANAGEMENT (UK) LIMITED DIRECTOR indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH COMPANY DIRECTOR indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH COMPANY ELECTED MANAGER indirect 2014-10-01
FMR CO., INC. ELECTED MANAGER indirect 2014-10-01
FMR CO., INC. DIRECTOR indirect 2014-10-01
BALLYROCK INVESTMENT ADVISORS LLC ELECTED MANAGER indirect 2014-10-01
BALLYROCK INVESTMENT ADVISORS LLC DIRECTOR indirect 2014-10-01
FIAM LLC ELECTED MANAGER indirect 2014-10-01
FIAM LLC DIRECTOR indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED ELECTED MANAGER indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED DIRECTOR indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED ELECTED MANAGER indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED DIRECTOR indirect 2014-10-01
FIDELITY SELECTCO, LLC DIRECTOR indirect 2014-10-01
FIDELITY SELECTCO, LLC ELECTED MANAGER indirect 2014-10-01
MORRIS, JOHN, CHURCHILL OWNER NYCA INVESTMENT FUND III, L.P. 05/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
LEGG MASON WOOD WALKER, INCORPORATED DIRECTOR direct 2005-12-01
LEGG MASON WOOD WALKER, INCORPORATED CHIEF OPERATION OFFICER direct 2005-12-01
CITIGROUP GLOBAL MARKETS INC. CHIEF OF OPERATIONS OF CITIGROUP GLOBAL MARKETS INC. direct 2004-07-01
CITIGROUP GLOBAL MARKETS INC. HEAD OF FINANCE, OPERATIONS AND TECHNOLOGY direct 2004-07-01
GENERAL ATLANTIC SERVICE COMPANY, LLC MANAGING DIRECTOR direct 2011-01-01

ETHIC INC.

ownership team - last updated 2019-09-03
Name Title Start Date Direct/Indirect % Ownership
LIPMAN, JORDAN, JOSH PRESIDENT AND CHIEF COMPLIANCE OFFICER 01/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SIMPLIFUND INC. MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2016-01-01
Scott, Douglas, William Arce CHIEF EXECUTIVE OFFICER 01/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SIMPLIFUND INC. MANAGING MEMBER direct 2016-01-01
BOURAOUI, KAMEL CHIEF TECHNOLOGY OFFICER 08/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ETHIC INC. CHIEF TECHNOLOGY OFFICER direct 2016-08-01
MAIR, JOHN HEAD OF PRODUCT 03/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ETHIC INC. HEAD OF PRODUCT direct 2016-03-01
NYCA INVESTMENT FUND III, L.P. SHAREHOLDER 06/01/2019 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ETHIC INC. SHAREHOLDER direct 2019-06-01
DEVONSHIRE INVESTORS (DELAWARE) LLC SHAREHOLDER 06/01/2019 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ETHIC INC. SHAREHOLDER direct 2019-06-01
MORRIS, JOHN, CHURCHILL BOARD DIRECTOR 06/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEGG MASON WOOD WALKER, INCORPORATED DIRECTOR direct 2005-12-01
LEGG MASON WOOD WALKER, INCORPORATED CHIEF OPERATION OFFICER direct 2005-12-01
CITIGROUP GLOBAL MARKETS INC. CHIEF OF OPERATIONS OF CITIGROUP GLOBAL MARKETS INC. direct 2004-07-01
CITIGROUP GLOBAL MARKETS INC. HEAD OF FINANCE, OPERATIONS AND TECHNOLOGY direct 2004-07-01
GENERAL ATLANTIC SERVICE COMPANY, LLC MANAGING DIRECTOR direct 2011-01-01
FMR LLC OWNER DEVONSHIRE INVESTORS (DELAWARE) LLC 01/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIDELITY CAPITAL FAR EAST, INC. SHAREHOLDER direct 1977-05-01
STRATEGIC ADVISERS, INC. SHAREHOLDER direct 1977-06-01
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. SHAREHOLDER direct 1985-10-01
FIDELITY BROKERAGE SERVICES, LLC SHAREHOLDER indirect 1995-12-01
NATIONAL FINANCIAL SERVICES LLC SHAREHOLDER indirect 1995-12-01
FIDELITY BROKERAGE SERVICES LLC SHAREHOLDER indirect 1995-12-01
FIDELITY PERSONAL TRUST COMPANY, FSB SHAREHOLDER indirect 2000-04-01
NATIONAL FINANCIAL SERVICES, LLC SHAREHOLDER indirect 2007-10-01
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. STOCKHOLDER direct 2007-10-01
NATIONAL FINANCIAL SERVICES, LLC SHAREHOLDER indirect 1995-12-01 2007-03-29
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. STOCKHOLDER direct 1985-10-01 2007-06-06
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED SHAREHOLDER direct 2014-12-01 2015-11-13
FMR INVESTMENT MANAGEMENT (UK) LIMITED SHAREHOLDER direct 2013-01-01 2017-08-08
CURVEY, JAMES, CHARLES ELECTED MANAGER FMR LLC 02/01/1990 Indirect Other
Fund Name Position direct/indirect start date end date
BALLYROCK INVESTMENT ADVISORS LLC ELECTED MANAGER indirect 1990-02-01
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED ELECTED MANAGER indirect 1990-02-01
FIDELITY MANAGEMENT & RESEARCH COMPANY ELECTED MANAGER indirect 1990-02-01
STRATEGIC ADVISERS, INC. ELECTED MANAGER indirect 1990-02-01
FMR INVESTMENT MANAGEMENT (UK) LIMITED ELECTED MANAGER indirect 1990-02-01
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED ELECTED MANAGER indirect 1990-02-01
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. ELECTED MANAGER indirect 1990-02-01
FIAM LLC ELECTED MANAGER indirect 1990-02-01
FIDELITY SELECTCO, LLC ELECTED MANAGER indirect 1990-02-01
FMR CO., INC. ELECTED MANAGER indirect 1990-02-01
NORTHERN NECK INVESTORS LLC MEMBER direct 1998-05-01
FIDELITY RESEARCH & ANALYSIS COMPANY DIRECTOR direct 2009-08-01
FIDELITY INVESTORS MANAGEMENT, LLC DIRECTOR direct 1998-05-01 2002-03-28
FIDELITY CAPITAL FAR EAST, INC. DIRECTOR, CHAIRMAN OF THE BOARD & PRESIDENT direct 1994-12-01 2003-03-31
FIDELITY INVESTORS MANAGEMENT, LLC SHAREHOLDER direct 1998-05-01 2009-11-19
FIDELITY MANAGEMENT & RESEARCH COMPANY DIRECTOR direct 2007-06-01 2014-01-03
FMR CO., INC. DIRECTOR direct 2007-06-01 2014-01-03
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. DIRECTOR direct 2009-08-01 2014-01-03
IMPRESA MANAGEMENT LLC SOLE TRUSTEE OF SHM TRUST 6 direct 2013-07-01 2016-09-09
FIAM LLC DIRECTOR indirect 1990-02-01 2016-09-21
FIDELITY MANAGEMENT & RESEARCH COMPANY DIRECTOR indirect 1990-02-01 2016-09-21
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. DIRECTOR indirect 1990-02-01 2016-09-26
FMR CO., INC. DIRECTOR indirect 1990-02-01 2016-09-26
FMR INVESTMENT MANAGEMENT (UK) LIMITED DIRECTOR indirect 1990-02-01 2016-09-26
FIDELITY SELECTCO, LLC DIRECTOR indirect 1990-02-01 2016-09-26
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED DIRECTOR indirect 1990-02-01 2016-09-26
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED DIRECTOR indirect 1990-02-01 2016-09-26
BALLYROCK INVESTMENT ADVISORS LLC DIRECTOR indirect 1990-02-01 2016-10-07
STRATEGIC ADVISERS, INC. DIRECTOR indirect 1990-02-01 2016-11-09
JOHNSON, ABIGAIL, PIERREPONT ELECTED MANAGER FMR LLC 05/01/1994 Indirect Other
Fund Name Position direct/indirect start date end date
FMR CO., INC. ELECTED MANAGER indirect 1994-05-01
FIAM LLC ELECTED MANAGER indirect 1994-05-01
STRATEGIC ADVISERS, INC. ELECTED MANAGER indirect 1994-05-01
FIDELITY SELECTCO, LLC ELECTED MANAGER indirect 1994-05-01
BALLYROCK INVESTMENT ADVISORS LLC ELECTED MANAGER indirect 1994-05-01
FMR INVESTMENT MANAGEMENT (UK) LIMITED ELECTED MANAGER indirect 1994-05-01
FIDELITY MANAGEMENT & RESEARCH COMPANY ELECTED MANAGER indirect 1994-05-01
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED ELECTED MANAGER indirect 1994-05-01
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. ELECTED MANAGER indirect 1994-05-01
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED ELECTED MANAGER indirect 1994-05-01
NORTHERN NECK INVESTORS LLC MEMBER direct 1998-05-01
FMR CO., INC. CHAIRMAN OF THE BOARD, DIRECTOR direct 2011-02-01
FIDELITY MANAGEMENT & RESEARCH COMPANY CHAIRMAN OF THE BOARD, DIRECTOR direct 2011-02-01
IMPRESA MANAGEMENT LLC SOLE TRUSTEE OF SHM TRUST 4, SOLE TRUSTEE OF SHM TRUST 7 direct 2013-07-01
FIDELITY MANAGEMENT & RESEARCH COMPANY SENIOR VICE PRESIDENT direct 1997-05-01 2001-01-31
FMR INVESTMENT MANAGEMENT SERVICE, INC. SENIOR VICE PRESIDENT direct 1997-05-01 2001-01-31
FIDELITY CAPITAL FAR EAST, INC. SHAREHOLDER indirect 1991-01-01 2001-05-21
FIDELITY INVESTMENTS INSITUTIONAL SERVICES COMPANY, INC. SHAREHOLDER indirect 1991-01-01 2001-05-21
NATIONAL FINANCIAL SERVICES LLC SHAREHOLDER indirect 1991-01-01 2001-06-29
FIDELITY BROKERAGE SERVICES LLC SHAREHOLDER indirect 1991-01-01 2001-07-09
BALLYROCK INVESTMENT ADVISORS LLC DIRECTOR direct 2001-06-01 2001-09-12
FIDELITY PERSONAL TRUST COMPANY, FSB SHAREHOLDER indirect 1991-01-01 2001-09-26
STRATEGIC ADVISERS INC. SHAREHOLDER indirect 1991-01-01 2001-11-05
STRATEGIC ADVISERS INC. DIRECTOR direct 2001-06-01 2001-11-28
FIDELITY MANAGEMENT & RESEARCH (FAR EAST) INC. DIRECTOR, PRESIDENT direct 2001-06-01 2002-08-16
FIDELITY INVESTORS MANAGEMENT, LLC SHAREHOLDER & DIRECTOR direct 1998-05-01 2005-03-31
FMR CO., INC. DIRECTOR, PRESIDENT direct 2001-06-01 2005-03-31
FIDELITY INVESTMENTS MONEY MANAGEMENT INC. DIRECTOR, PRESIDENT direct 2001-06-01 2005-03-31
FIDELITY MANAGEMENT & RESEARCH COMPANY DIRECTOR, PRESIDENT direct 2001-06-01 2005-03-31
FIDELITY INVESTORS MANAGEMENT CORP. SHAREHOLDER direct 1998-05-01 2009-08-05
NORTHERN NECK INVESTORS CORPORATION SHAREHOLDER, DIRECTOR direct 1998-05-01 2009-11-19
NORTHERN NECK INVESTORS CORPORATION MEMBER & DIRECTOR direct 1998-05-01 2010-03-30
IMPRESA MANAGEMENT LLC SOLE TRUSTEE OF SHM TRUST 7 direct 2013-07-01 2016-09-09
FIDELITY MANAGEMENT & RESEARCH COMPANY DIRECTOR indirect 1994-05-01 2016-09-21
FIAM LLC DIRECTOR indirect 1994-05-01 2016-09-21
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. DIRECTOR indirect 1994-05-01 2016-09-26
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED DIRECTOR indirect 1994-05-01 2016-09-26
FMR CO., INC. DIRECTOR indirect 1994-05-01 2016-09-26
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED DIRECTOR indirect 1994-05-01 2016-09-26
FIDELITY SELECTCO, LLC DIRECTOR indirect 1994-05-01 2016-09-26
FMR INVESTMENT MANAGEMENT (UK) LIMITED DIRECTOR indirect 1994-05-01 2016-09-26
BALLYROCK INVESTMENT ADVISORS LLC DIRECTOR indirect 1994-05-01 2016-10-07
STRATEGIC ADVISERS, INC. DIRECTOR indirect 1994-05-01 2016-11-09
JOHNSON IV, EDWARD, CROSBY ELECTED MANAGER FMR LLC 04/01/2006 Indirect Other
Fund Name Position direct/indirect start date end date
STRATEGIC ADVISERS, INC. DIRECTOR indirect 2006-04-01
STRATEGIC ADVISERS, INC. ELECTED MANAGER indirect 2006-04-01
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. DIRECTOR indirect 2006-04-01
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. ELECTED MANAGER indirect 2006-04-01
FMR INVESTMENT MANAGEMENT (UK) LIMITED ELECTED MANAGER indirect 2006-04-01
FMR INVESTMENT MANAGEMENT (UK) LIMITED DIRECTOR indirect 2006-04-01
FIDELITY MANAGEMENT & RESEARCH COMPANY DIRECTOR indirect 2006-04-01
FIDELITY MANAGEMENT & RESEARCH COMPANY ELECTED MANAGER indirect 2006-04-01
FMR CO., INC. ELECTED MANAGER indirect 2006-04-01
FMR CO., INC. DIRECTOR indirect 2006-04-01
NORTHERN NECK INVESTORS CORPORATION DIRECTOR, SOLE TRUSTEE TO ECJMAJ FIMCORP TRUST direct 2006-03-01
FIDELITY INVESTORS MANAGEMENT CORP. DIRECTOR direct 2007-01-01
BALLYROCK INVESTMENT ADVISORS LLC DIRECTOR indirect 2006-04-01
BALLYROCK INVESTMENT ADVISORS LLC ELECTED MANAGER indirect 2006-04-01
FIAM LLC ELECTED MANAGER indirect 2006-04-01
FIAM LLC DIRECTOR indirect 2006-04-01
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED ELECTED MANAGER indirect 2006-04-01
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED DIRECTOR indirect 2006-04-01
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED ELECTED MANAGER indirect 2006-04-01
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED DIRECTOR indirect 2006-04-01
FIDELITY SELECTCO, LLC DIRECTOR indirect 2006-04-01
FIDELITY SELECTCO, LLC ELECTED MANAGER indirect 2006-04-01
IMPRESA MANAGEMENT LLC DIRECTOR, SOLE TRUSTEE OF SHM TRUST 9 direct 2013-07-01
IMPRESA MANAGEMENT LLC DIRECTOR, SOLE TRUSTEE OF SHM TRUST 6, SOLE TRUSTEE OF SHM TRUST 9 direct 2013-07-01
REMONDI, JOHN, JOSEPH ELECTED MANAGER FMR LLC 04/01/2006 Indirect Other
Fund Name Position direct/indirect start date end date
NORTHERN NECK INVESTORS LLC MEMBER & DIRECTOR direct 1998-05-01
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED ELECTED MANAGER indirect 2006-04-01
FIDELITY SELECTCO, LLC ELECTED MANAGER indirect 2006-04-01
FIAM LLC ELECTED MANAGER indirect 2006-04-01
BALLYROCK INVESTMENT ADVISORS LLC ELECTED MANAGER indirect 2006-04-01
STRATEGIC ADVISERS, INC. ELECTED MANAGER indirect 2006-04-01
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED ELECTED MANAGER indirect 2006-04-01
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. ELECTED MANAGER indirect 2006-04-01
FMR INVESTMENT MANAGEMENT (UK) LIMITED ELECTED MANAGER indirect 2006-04-01
FMR CO., INC. ELECTED MANAGER indirect 2006-04-01
FIDELITY MANAGEMENT & RESEARCH COMPANY ELECTED MANAGER indirect 2006-04-01
FMR CO., INC. DIRECTOR direct 2007-06-01
FIDELITY MANAGEMENT & RESEARCH COMPANY DIRECTOR direct 2007-06-01
FIDELITY RESEARCH & ANALYSIS COMPANY DIRECTOR direct 2009-08-01
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. DIRECTOR direct 2009-08-01
IMPRESA MANAGEMENT LLC DIRECTOR, SOLE TRUSTEE OF SHM TRUST 5 direct 2013-07-01
FIDELITY CAPITAL FAR EAST, INC. DIRECTOR direct 1994-12-01 2002-03-28
BALLYROCK INVESTMENT ADVISORS, LLC DIRECTOR direct 2002-02-01 2003-09-25
FIDELITY INVESTORS MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER/PRESIDENT direct 1998-05-01 2003-09-29
FIDELITY INVESTORS MANAGEMENT, LLC SHAREHOLDER direct 2003-09-01 2003-09-30
GEODE CAPITAL MANAGEMENT, LLC DIRECTOR direct 2001-07-01 2004-10-01
GEODE CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2001-07-01 2004-10-01
GEODE CAPITAL MANAGEMENT LP DIRECTOR indirect 2001-07-01 2004-10-01
GEODE CAPITAL MANAGEMENT LP DIRECTOR indirect 2001-07-01 2004-10-01
FIDELITY INVESTORS MANAGEMENT, LLC SHAREHOLDER direct 1998-05-01 2005-03-31
NORTHERN NECK INVESTORS CORP. SHAREHOLDER & DIRECTOR direct 2005-07-01 2008-08-13
NORTHERN NECK INVESTORS CORPORATION SHAREHOLDER & DIRECTOR direct 1998-05-01 2009-11-19
FIDELITY MANAGEMENT & RESEARCH COMPANY DIRECTOR indirect 2006-04-01 2016-09-21
FIAM LLC DIRECTOR indirect 2006-04-01 2016-09-21
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. DIRECTOR indirect 2006-04-01 2016-09-26
FIDELITY SELECTCO, LLC DIRECTOR indirect 2006-04-01 2016-09-26
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED DIRECTOR indirect 2006-04-01 2016-09-26
FMR INVESTMENT MANAGEMENT (UK) LIMITED DIRECTOR indirect 2006-04-01 2016-09-26
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED DIRECTOR indirect 2006-04-01 2016-09-26
FMR CO., INC. DIRECTOR indirect 2006-04-01 2016-09-26
BALLYROCK INVESTMENT ADVISORS LLC DIRECTOR indirect 2006-04-01 2016-10-07
STRATEGIC ADVISERS, INC. DIRECTOR indirect 2006-04-01 2016-11-09
WILENS, MICHAEL, ENGBER ELECTED MANAGER FMR LLC 10/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
STRATEGIC ADVISERS, INC. HEAD OF ASSET MANAGEMENT direct 2008-07-01
STRATEGIC ADVISERS, INC. ELECTED MANAGER indirect 2014-10-01
STRATEGIC ADVISERS, INC. DIRECTOR indirect 2014-10-01
FIDELITY RESEARCH & ANALYSIS COMPANY HEAD OF ASSET MANAGEMENT direct 2008-07-01
FIDELITY INVESTMENTS MONEY MANAGEMENT INC. HEAD OF ASSET MANAGEMENT direct 2008-07-01
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. DIRECTOR indirect 2014-10-01
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. ELECTED MANAGER indirect 2014-10-01
FMR INVESTMENT MANAGEMENT (UK) LIMITED ELECTED MANAGER indirect 2014-10-01
FMR INVESTMENT MANAGEMENT (UK) LIMITED DIRECTOR indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH COMPANY HEAD OF ASSET MANAGEMENT direct 2008-07-01
FIDELITY MANAGEMENT & RESEARCH COMPANY DIRECTOR indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH COMPANY ELECTED MANAGER indirect 2014-10-01
FMR CO., INC. HEAD OF ASSET MANAGEMENT direct 2008-07-01
FMR CO., INC. ELECTED MANAGER indirect 2014-10-01
FMR CO., INC. DIRECTOR indirect 2014-10-01
BALLYROCK INVESTMENT ADVISORS LLC HEAD OF ASSET MANAGEMENT direct 2008-07-01
BALLYROCK INVESTMENT ADVISORS LLC DIRECTOR indirect 2014-10-01
BALLYROCK INVESTMENT ADVISORS LLC ELECTED MANAGER indirect 2014-10-01
PYRAMIS GLOBAL ADVISORS, LLC HEAD OF ASSET MANAGEMENT direct 2008-07-01
FIAM LLC ELECTED MANAGER indirect 2014-10-01
FIAM LLC DIRECTOR indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED ELECTED MANAGER indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED DIRECTOR indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED ELECTED MANAGER indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED DIRECTOR indirect 2014-10-01
FIDELITY SELECTCO, LLC ELECTED MANAGER indirect 2014-10-01
FIDELITY SELECTCO, LLC DIRECTOR indirect 2014-10-01
MCGRAW, GERARD, JOHN ELECTED MANAGER FMR LLC 10/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
FIDELITY BROKERAGE SERVICES, LLC CHIEF OPERATIONS OFFICER direct 2004-05-01
FIDELITY BROKERAGE SERVICES, LLC COO direct 2004-05-01
NATIONAL FINANCIAL SERVICES, LLC COO direct 2004-05-01
NATIONAL FINANCIAL SERVICES, LLC CHIEF OPERATIONS OFFICER direct 2004-05-01
NATIONAL FINANCIAL SERVICES, LLC CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2010-02-01
NATIONAL FINANCIAL SERVICES, LLC HEAD OF BROKERAGE OPERATIONS direct 2010-02-01
NATIONAL FINANCIAL SERVICES, LLC CHIEF EXECUTIVE OFFICER direct 2010-02-01
STRATEGIC ADVISERS, INC. DIRECTOR indirect 2014-10-01
STRATEGIC ADVISERS, INC. ELECTED MANAGER indirect 2014-10-01
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. ELECTED MANAGER indirect 2014-10-01
FIDELITY INVESTMENTS MONEY MANAGEMENT, INC. DIRECTOR indirect 2014-10-01
FMR INVESTMENT MANAGEMENT (UK) LIMITED ELECTED MANAGER indirect 2014-10-01
FMR INVESTMENT MANAGEMENT (UK) LIMITED DIRECTOR indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH COMPANY DIRECTOR indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH COMPANY ELECTED MANAGER indirect 2014-10-01
FMR CO., INC. ELECTED MANAGER indirect 2014-10-01
FMR CO., INC. DIRECTOR indirect 2014-10-01
BALLYROCK INVESTMENT ADVISORS LLC ELECTED MANAGER indirect 2014-10-01
BALLYROCK INVESTMENT ADVISORS LLC DIRECTOR indirect 2014-10-01
FIAM LLC ELECTED MANAGER indirect 2014-10-01
FIAM LLC DIRECTOR indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED ELECTED MANAGER indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED DIRECTOR indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED ELECTED MANAGER indirect 2014-10-01
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED DIRECTOR indirect 2014-10-01
FIDELITY SELECTCO, LLC DIRECTOR indirect 2014-10-01
FIDELITY SELECTCO, LLC ELECTED MANAGER indirect 2014-10-01
MORRIS, JOHN, CHURCHILL OWNER NYCA INVESTMENT FUND III, L.P. 05/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
LEGG MASON WOOD WALKER, INCORPORATED DIRECTOR direct 2005-12-01
LEGG MASON WOOD WALKER, INCORPORATED CHIEF OPERATION OFFICER direct 2005-12-01
CITIGROUP GLOBAL MARKETS INC. CHIEF OF OPERATIONS OF CITIGROUP GLOBAL MARKETS INC. direct 2004-07-01
CITIGROUP GLOBAL MARKETS INC. HEAD OF FINANCE, OPERATIONS AND TECHNOLOGY direct 2004-07-01
GENERAL ATLANTIC SERVICE COMPANY, LLC MANAGING DIRECTOR direct 2011-01-01

ETHIC INC.

ownership team - last updated 2019-05-03
Name Title Start Date Direct/Indirect % Ownership
LIPMAN, JORDAN, JOSH PRESIDENT AND CHIEF COMPLIANCE OFFICER 01/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SIMPLIFUND INC. MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2016-01-01
Scott, Douglas, William Arce CHIEF EXECUTIVE OFFICER 01/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SIMPLIFUND INC. MANAGING MEMBER direct 2016-01-01
BOURAOUI, KAMEL CHIEF TECHNOLOGY OFFICER 08/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ETHIC INC. CHIEF TECHNOLOGY OFFICER direct 2016-08-01
Mair, Jonathan HEAD OF PRODUCT 03/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ETHIC INC. HEAD OF PRODUCT direct 2016-03-01

ETHIC INC.

ownership team - last updated 2019-03-28
Name Title Start Date Direct/Indirect % Ownership
Scott, Douglas, William Arce CHIEF EXECUTIVE OFFICER 01/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SIMPLIFUND INC. MANAGING MEMBER direct 2016-01-01
LIPMAN, JORDAN, JOSH PRESIDENT AND CHIEF COMPLIANCE OFFICER 01/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SIMPLIFUND INC. MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2016-01-01
BOURAOUI, KAMEL CHIEF TECHNOLOGY OFFICER 08/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ETHIC INC. CHIEF TECHNOLOGY OFFICER direct 2016-08-01
Mair, Jonathan HEAD OF PRODUCT 03/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ETHIC INC. HEAD OF PRODUCT direct 2016-03-01

ETHIC INC.

ownership team - last updated 2018-11-15
Name Title Start Date Direct/Indirect % Ownership
LIPMAN, JORDAN, JOSH PRESIDENT AND CHIEF COMPLIANCE OFFICER 01/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SIMPLIFUND INC. MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2016-01-01
Scott, Douglas, William Arce CHIEF EXECUTIVE OFFICER 01/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SIMPLIFUND INC. MANAGING MEMBER direct 2016-01-01
BOURAOUI, KAMEL CHIEF TECHNOLOGY OFFICER 08/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ETHIC INC. CHIEF TECHNOLOGY OFFICER direct 2016-08-01
Mair, Jonathan HEAD OF PRODUCT 03/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ETHIC INC. HEAD OF PRODUCT direct 2016-03-01

ETHIC INC.

ownership team - last updated 2018-06-01
Name Title Start Date Direct/Indirect % Ownership
LIPMAN, JORDAN, JOSH PRESIDENT AND CHIEF COMPLIANCE OFFICER 01/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SIMPLIFUND INC. MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2016-01-01
Scott, Douglas, William Arce CHIEF EXECUTIVE OFFICER 01/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SIMPLIFUND INC. MANAGING MEMBER direct 2016-01-01
BOURAOUI, KAMEL CHIEF TECHNOLOGY OFFICER 08/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ETHIC INC. CHIEF TECHNOLOGY OFFICER direct 2016-08-01
Mair, Jonathan HEAD OF PRODUCT 03/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ETHIC INC. HEAD OF PRODUCT direct 2016-03-01

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