WHITNELL & COMPANY .

HTTP://WWW.WHITNELL.COM OAK BROOK, IL Investment Advisor How do I update this listing?

Whitnell & Company . is based out of Oak Brook. Whitnell & Company . is a large advisory firm with 329 clients and discretionary assets under management (AUM) of $858,400,354 (Form ADV from 2018-10-01). Their last reported 13F filing for Q3 2019 included $299,111,000 in managed 13F securities and a top 10 holdings concentration of 27.36%. Whitnell & Company .'s largest holding is Schwab U.S. REIT ETF with shares held of 335,775. Whitnell & Company . has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 29 13F filings

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67

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $299.111 Million
  • Prior Market Value $267.088 Million
  • New Purchases23 stocks
  • Additional Purchases91 stocks
  • Sold out of4 stocks
  • Reduced holdings in42 stocks
  • Top 10 Holdings % 27.36 %
  • Turnover % [1]:9.93%
  • Turnover Alt % [2]: 11.13 %
  • Time Held Top20:9.65 quarters
  • Time Held Top10:10.10 quarters
  • Time Held All:18.32 quarters

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

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

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 4.34%
Performance Last 4 Quarters: 9.92%
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
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Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR/A (Subscription required)
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
Associated Banc-Corp

View Last Form Adv Compilation Report on Record

WHITNELL & CO
701 HARGER ROAD SUITE 190
OAK BROOK IL    60523-1489
Country: United States

Business Phone: 630-575-2300
Fax: 630-571-1795
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: IL
Number of employees: 25
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 98,061,600
Total Number of Clients: 329
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.D (4)
Data above was derived from SEC filings.

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WHITNELL & CO

ownership team - last updated 2019-06-12
Name Title Start Date Direct/Indirect % Ownership
PECKENPAUGH, DAVID, ROBERT SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER 01/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO SENIOR VICE PRESIDENT, TREASURER direct 2006-01-01
WHITNELL & CO SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2006-01-01
ERICKSON, MIA, LYNNE CARLSON SENIOR VICE PRESIDENT 09/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO SENIOR VICE PRESIDENT direct 2007-09-01
HENDERSON, BRIAN, JAMES SENIOR VICE PRESIDENT 06/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO VICE PRESIDENT direct 2007-06-01
WHITNELL & CO SENIOR VICE PRESIDENT direct 2007-06-01
JANUS, WAYNE, MAYNARD PRESIDENT, FINANCIAL PLANNING 01/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO PRESIDENT, FINANCIAL PLANNING direct 2007-01-01
JMG FINANCIAL GROUP LTD SHAREHOLDER AND CHIEF EXECUTIVE OFFICER direct 1984-03-01 2004-03-18
JMG FINANCIAL GROUP LTD SHAREHOLDER, CHAIRMAN, AND CHIEF EXECUTIVE OFFICER direct 1984-03-01 2005-03-09
JMG FINANCIAL GROUP LTD SHAREHOLDER AND CHAIRMAN direct 1984-03-01 2006-03-23
GREENROCK RESEARCH LLC MEMBER direct 1997-01-01 2006-03-23
LEGAN, ROBERT, MARVIN SENIOR VICE PRESIDENT 08/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO SENIOR VICE PRESIDENT direct 2012-08-01
BOHN, WILLIAM, MICHAEL CHAIRMAN - BOARD OF DIRECTORS 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. CHAIRMAN - BOARD OF DIRECTORS direct 2015-07-01
ASSOCIATED INVESTMENT MANAGEMENT LLC MANAGER direct 2002-01-01
DEL MORAL-NILES, CHRISTOPHER, JORGE DIRECTOR - BOARD OF DIRECTORS 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. DIRECTOR - BOARD OF DIRECTORS direct 2012-02-01
FIRST AMERICAN TRUST FSB CHAIRMAN OF THE BOARD AND PRESIDENT direct 2010-02-01
HICKEY, PATRICK, JAMES PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. DIRECTOR - BOARD OF DIRECTORS direct 2016-01-01
KUIPERS, MICHAEL, DAVID DIRECTOR - BOARD OF DIRECTORS 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. PRESIDENT & CEO direct 2015-07-01
THAYER, JOHN, PARKER DIRECTOR - BOARD OF DIRECTORS 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT MANAGEMENT LLC MANAGING AGENT direct 2001-05-01
KELLOGG ASSET MANAGEMENT, LLC MANAGING AGENT direct 2009-01-01
ASSOCIATED INVESTMENT MANAGEMENT LLC MANAGER direct 2001-01-01 2001-03-26
ASSOCIATED INVESTMENT MANAGEMENT LLC MANAGER direct 2000-09-01 2001-05-07
WILKE, JASON, RICHARD DIRECTOR - BOARD OF DIRECTORS 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO DIRECTOR - BOARD OF DIRECTORS direct 2017-10-01
ASSOCIATED TRUST COMPANY, N.A. SOLE SHAREHOLDER 10/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. SOLE SHAREHOLDER direct 2016-05-01
KELLOGG ASSET MANAGEMENT, LLC SOLE MEMBER direct 2016-05-01
PECORA, ANTHONY, PHILIP CHIEF COMPLIANCE OFFICER 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
INDEPENDENCE ONE BROKERAGE SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2001-08-01
LASALLE FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER/DIRECTOR direct 2008-03-01
ASSOCIATED INVESTMENT SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2015-10-01
KELLOGG ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2017-08-01
ABN AMRO FINANCIAL SERVICES, INC. SENIOR COUNSEL AND DIRECTOR OF COMPLIANCE, ASSISTANT SECRETARY direct 2001-07-01 2004-08-23
LASALLE FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER, ASSISTANT SECRETARY direct 2001-07-01 2008-01-11
50 SOUTH CAPITAL ADVISORS, LLC SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2015-01-01 2015-02-20
NORTHERN TRUST INVESTMENTS, INCORPORATED SENIOR VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER direct 2014-01-01 2015-07-15
Lemsky, Tracy, Jo DIRECTOR - BOARD OF DIRECTORS 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO DIRECTOR - BOARD OF DIRECTORS direct 2017-10-01
Klaus, Brian, Thomas TREASURER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. DIRECTOR, TREASURER direct 2019-01-01
WHITNELL & CO TREASURER direct 2019-02-01
ASSOCIATED BANK, N.A. SOLE SHAREHOLDER ASSOCIATED TRUST COMPANY, N.A. 05/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2016-05-01
KELLOGG ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2016-05-01
ASSOCIATED BANC-CORP SOLE SHAREHOLDER ASSOCIATED BANK, N.A. 01/01/1995 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 1995-01-01
KELLOGG ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 1995-01-01
ASSOCIATED INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 1998-10-01
ASSOCIATED INVESTMENT SERVICES, INC. OWNER direct 1995-01-01 2016-03-30
KELLOGG ASSET MANAGEMENT, LLC SOLE MEMBER direct 2009-01-01 2016-03-30

WHITNELL & CO

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
PECKENPAUGH, DAVID, ROBERT SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER 01/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO SENIOR VICE PRESIDENT, TREASURER direct 2006-01-01
WHITNELL & CO SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2006-01-01
PECKENPAUGH, ROBERT, EARL SENIOR VICE PRESIDENT 10/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO SENIOR VICE PRESIDENT direct 2006-10-01
PECKENPAUGH ASSET MANAGEMENT INC PRESIDENT AND CCO direct 1991-09-01
ERICKSON, MIA, LYNNE CARLSON SENIOR VICE PRESIDENT 09/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO SENIOR VICE PRESIDENT direct 2007-09-01
HENDERSON, BRIAN, JAMES SENIOR VICE PRESIDENT 06/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO VICE PRESIDENT direct 2007-06-01
WHITNELL & CO SENIOR VICE PRESIDENT direct 2007-06-01
JANUS, WAYNE, MAYNARD PRESIDENT, FINANCIAL PLANNING 01/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO PRESIDENT, FINANCIAL PLANNING direct 2007-01-01
JMG FINANCIAL GROUP LTD SHAREHOLDER AND CHIEF EXECUTIVE OFFICER direct 1984-03-01 2004-03-18
JMG FINANCIAL GROUP LTD SHAREHOLDER, CHAIRMAN, AND CHIEF EXECUTIVE OFFICER direct 1984-03-01 2005-03-09
JMG FINANCIAL GROUP LTD SHAREHOLDER AND CHAIRMAN direct 1984-03-01 2006-03-23
GREENROCK RESEARCH LLC MEMBER direct 1997-01-01 2006-03-23
LEGAN, ROBERT, MARVIN SENIOR VICE PRESIDENT 08/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO SENIOR VICE PRESIDENT direct 2012-08-01
BOHN, WILLIAM, MICHAEL CHAIRMAN - BOARD OF DIRECTORS 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. CHAIRMAN - BOARD OF DIRECTORS direct 2015-07-01
ASSOCIATED INVESTMENT MANAGEMENT LLC MANAGER direct 2002-01-01
DEL MORAL-NILES, CHRISTOPHER, JORGE DIRECTOR - BOARD OF DIRECTORS 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. DIRECTOR - BOARD OF DIRECTORS direct 2012-02-01
FIRST AMERICAN TRUST FSB CHAIRMAN OF THE BOARD AND PRESIDENT direct 2010-02-01
HICKEY, PATRICK, JAMES PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. DIRECTOR - BOARD OF DIRECTORS direct 2016-01-01
KUIPERS, MICHAEL, DAVID DIRECTOR - BOARD OF DIRECTORS 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. PRESIDENT & CEO direct 2015-07-01
THAYER, JOHN, PARKER DIRECTOR - BOARD OF DIRECTORS 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT MANAGEMENT LLC MANAGING AGENT direct 2001-05-01
KELLOGG ASSET MANAGEMENT, LLC MANAGING AGENT direct 2009-01-01
ASSOCIATED INVESTMENT MANAGEMENT LLC MANAGER direct 2001-01-01 2001-03-26
ASSOCIATED INVESTMENT MANAGEMENT LLC MANAGER direct 2000-09-01 2001-05-07
WILKE, JASON, RICHARD DIRECTOR - BOARD OF DIRECTORS 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO DIRECTOR - BOARD OF DIRECTORS direct 2017-10-01
ASSOCIATED TRUST COMPANY, N.A. SOLE SHAREHOLDER 10/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. SOLE SHAREHOLDER direct 2016-05-01
KELLOGG ASSET MANAGEMENT, LLC SOLE MEMBER direct 2016-05-01
PECORA, ANTHONY, PHILIP CHIEF COMPLIANCE OFFICER 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
INDEPENDENCE ONE BROKERAGE SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2001-08-01
LASALLE FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER/DIRECTOR direct 2008-03-01
ASSOCIATED INVESTMENT SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2015-10-01
KELLOGG ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2017-08-01
ABN AMRO FINANCIAL SERVICES, INC. SENIOR COUNSEL AND DIRECTOR OF COMPLIANCE, ASSISTANT SECRETARY direct 2001-07-01 2004-08-23
LASALLE FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER, ASSISTANT SECRETARY direct 2001-07-01 2008-01-11
50 SOUTH CAPITAL ADVISORS, LLC SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2015-01-01 2015-02-20
NORTHERN TRUST INVESTMENTS, INCORPORATED SENIOR VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER direct 2014-01-01 2015-07-15
Lemsky, Tracy, Jo DIRECTOR - BOARD OF DIRECTORS 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO DIRECTOR - BOARD OF DIRECTORS direct 2017-10-01
Klaus, Brian, Thomas TREASURER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. DIRECTOR, TREASURER direct 2019-01-01
WHITNELL & CO TREASURER direct 2019-02-01
ASSOCIATED BANK, N.A. SOLE SHAREHOLDER ASSOCIATED TRUST COMPANY, N.A. 05/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2016-05-01
KELLOGG ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2016-05-01
ASSOCIATED BANC-CORP SOLE SHAREHOLDER ASSOCIATED BANK, N.A. 01/01/1995 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 1995-01-01
KELLOGG ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 1995-01-01
ASSOCIATED INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 1998-10-01
ASSOCIATED INVESTMENT SERVICES, INC. OWNER direct 1995-01-01 2016-03-30
KELLOGG ASSET MANAGEMENT, LLC SOLE MEMBER direct 2009-01-01 2016-03-30

WHITNELL & CO

ownership team - last updated 2018-06-20
Name Title Start Date Direct/Indirect % Ownership
THONN, WILLIAM, EUGENE PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR 08/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR, CHIEF COMPLIANCE OFFICER direct 2005-08-01
SULLIVAN BRUYETTE SPEROS & BLAYNEY INC CHAIRMAN; DIRECTOR direct 2003-01-01 2003-09-16
MYCFO INVESTMENT ADVISORY SERVICES, LLC CHAIRMAN OF PARENT direct 2002-11-01 2004-02-26
HARRIS INVESTMENT MANAGEMENT INC DIRECTOR direct 1997-06-01 2006-01-13
WHITNELL & CO PRESIDENT, CHIEF EXECUTIVE OFFICER,DIRECTOR direct 2005-08-01 2006-11-06
WHITNELL & CO PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR direct 2005-08-01 2017-03-27
PECKENPAUGH, DAVID, ROBERT SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER 01/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO SENIOR VICE PRESIDENT, TREASURER direct 2006-01-01
WHITNELL & CO SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER direct 2006-01-01
PECKENPAUGH, ROBERT, EARL SENIOR VICE PRESIDENT 10/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO SENIOR VICE PRESIDENT direct 2006-10-01
PECKENPAUGH ASSET MANAGEMENT INC PRESIDENT AND CCO direct 1991-09-01
ERICKSON, MIA, LYNNE CARLSON SENIOR VICE PRESIDENT 09/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO SENIOR VICE PRESIDENT direct 2007-09-01
HENDERSON, BRIAN, JAMES SENIOR VICE PRESIDENT 06/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO VICE PRESIDENT direct 2007-06-01
WHITNELL & CO SENIOR VICE PRESIDENT direct 2007-06-01
JANUS, WAYNE, MAYNARD PRESIDENT, FINANCIAL PLANNING 01/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO PRESIDENT, FINANCIAL PLANNING direct 2007-01-01
JMG FINANCIAL GROUP LTD SHAREHOLDER AND CHIEF EXECUTIVE OFFICER direct 1984-03-01 2004-03-18
JMG FINANCIAL GROUP LTD SHAREHOLDER, CHAIRMAN, AND CHIEF EXECUTIVE OFFICER direct 1984-03-01 2005-03-09
JMG FINANCIAL GROUP LTD SHAREHOLDER AND CHAIRMAN direct 1984-03-01 2006-03-23
GREENROCK RESEARCH LLC MEMBER direct 1997-01-01 2006-03-23
LEGAN, ROBERT, MARVIN SENIOR VICE PRESIDENT 08/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO SENIOR VICE PRESIDENT direct 2012-08-01
BOHN, WILLIAM, MICHAEL CHAIRMAN - BOARD OF DIRECTORS 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. CHAIRMAN - BOARD OF DIRECTORS direct 2015-07-01
ASSOCIATED INVESTMENT MANAGEMENT LLC MANAGER direct 2002-01-01
DEL MORAL-NILES, CHRISTOPHER, JORGE DIRECTOR - BOARD OF DIRECTORS 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. DIRECTOR - BOARD OF DIRECTORS direct 2012-02-01
FIRST AMERICAN TRUST FSB CHAIRMAN OF THE BOARD AND PRESIDENT direct 2010-02-01
HICKEY, PATRICK, JAMES DIRECTOR - BOARD OF DIRECTORS 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. DIRECTOR - BOARD OF DIRECTORS direct 2016-01-01
KUIPERS, MICHAEL, DAVID DIRECTOR - BOARD OF DIRECTORS 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. PRESIDENT & CEO direct 2015-07-01
THAYER, JOHN, PARKER DIRECTOR - BOARD OF DIRECTORS 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT MANAGEMENT LLC MANAGING AGENT direct 2001-05-01
KELLOGG ASSET MANAGEMENT, LLC MANAGING AGENT direct 2009-01-01
ASSOCIATED INVESTMENT MANAGEMENT LLC MANAGER direct 2001-01-01 2001-03-26
ASSOCIATED INVESTMENT MANAGEMENT LLC MANAGER direct 2000-09-01 2001-05-07
WILKE, JASON, RICHARD DIRECTOR - BOARD OF DIRECTORS 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO DIRECTOR - BOARD OF DIRECTORS direct 2017-10-01
ASSOCIATED TRUST COMPANY, N.A. SOLE SHAREHOLDER 10/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. SOLE SHAREHOLDER direct 2016-05-01
KELLOGG ASSET MANAGEMENT, LLC SOLE MEMBER direct 2016-05-01
WATSON, ROBERT, TIMOTHY TREASURER 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. DIRECTOR, TREASURER direct 2012-05-01
PECORA, ANTHONY, PHILIP CHIEF COMPLIANCE OFFICER 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
INDEPENDENCE ONE BROKERAGE SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2001-08-01
LASALLE FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER/DIRECTOR direct 2008-03-01
ASSOCIATED INVESTMENT SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2015-10-01
KELLOGG ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2017-08-01
ABN AMRO FINANCIAL SERVICES, INC. SENIOR COUNSEL AND DIRECTOR OF COMPLIANCE, ASSISTANT SECRETARY direct 2001-07-01 2004-08-23
LASALLE FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER, ASSISTANT SECRETARY direct 2001-07-01 2008-01-11
50 SOUTH CAPITAL ADVISORS, LLC SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2015-01-01 2015-02-20
NORTHERN TRUST INVESTMENTS, INCORPORATED SENIOR VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER direct 2014-01-01 2015-07-15
Lemsky, Tracy, Jo DIRECTOR - BOARD OF DIRECTORS 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WHITNELL & CO DIRECTOR - BOARD OF DIRECTORS direct 2017-10-01
ASSOCIATED BANK, N.A. SOLE SHAREHOLDER ASSOCIATED TRUST COMPANY, N.A. 05/01/2016 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2016-05-01
KELLOGG ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2016-05-01
ASSOCIATED BANC-CORP SOLE SHAREHOLDER ASSOCIATED BANK, N.A. 01/01/1995 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ASSOCIATED INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 1995-01-01
KELLOGG ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 1995-01-01
ASSOCIATED INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 1998-10-01
ASSOCIATED INVESTMENT SERVICES, INC. OWNER direct 1995-01-01 2016-03-30
KELLOGG ASSET MANAGEMENT, LLC SOLE MEMBER direct 2009-01-01 2016-03-30

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