| Direct Owners and Executive
Officers |
| 1. |
Complete Schedule A only if you are
submitting an initial application. Schedule A asks for
information about your direct owners and executive
officers. Use Schedule C to amend this information.
|
| 2. |
Direct Owners and Executive
Officers. List below the names of: |
|
(a) |
each Chief Executive Officer, Chief Financial
Officer, Chief Operations Officer, Chief Legal Officer,
Chief Compliance Officer(Chief Compliance Officer is
required and cannot be more than one individual),
director, and any other individuals with similar status
or functions; |
|
(b) |
if you are organized as a corporation, each
shareholder that is a direct owner of 5% or more of a
class of your voting securities, unless you are a public
reporting company (a company subject to Section 12 or
15(d) of the Exchange Act);
Direct owners include any person that owns,
beneficially owns, has the right to vote, or has the
power to sell or direct the sale of, 5% or more of a
class of your voting securities. For purposes of this
Schedule, a person beneficially owns any
securities: (i) owned by his/her child, stepchild,
grandchild, parent, stepparent, grandparent, spouse,
sibling, mother-in-law, father-in-law, son-in-law,
daughter-in-law, brother-in-law, or sister-in-law,
sharing the same residence; or (ii) that he/she has the
right to acquire, within 60 days, through the exercise
of any option, warrant, or right to purchase the
security. |
|
(c) |
if you are organized as a partnership, all
general partners and those limited and special partners
that have the right to receive upon dissolution, or have
contributed, 5% or more of your capital; |
|
(d) |
in the case of a trust that directly owns 5% or more
of a class of your voting securities, or that has the
right to receive upon dissolution, or has contributed,
5% or more of your capital, the trust and each trustee;
and |
|
(e) |
if you are organized as a limited liability company
("LLC"), (i) those members that have the right to
receive upon dissolution, or have contributed, 5% or
more of your capital, and (ii) if managed by elected
managers, all elected managers. |
| 3. |
Do you have any indirect owners to be
reported on Schedule B?
Yes
No |
| 4. |
In the DE/FE/I column below, enter "DE" if
the owner is a domestic entity, "FE" if the owner is an
entity incorporated or domiciled in a foreign country,
or "I" if the owner or executive officer is an
individual. |
| 5. |
Complete the Title or Status column by
entering board/management titles; status as partner,
trustee, sole proprietor, elected manager, shareholder,
or member; and for shareholders or members, the class of
securities owned (if more than one is issued). |
| 6. |
| Ownership codes are: |
|
NA - less than 5% |
|
B - 10% but less than 25% |
|
D - 50% but less than 75% |
| A - 5% but less than 10% |
C - 25% but less than 50% |
E - 75% or
more | |
| 7. |
(a) |
In the Control Person column, enter "Yes"
if the person has control as defined
in the Glossary of Terms to Form ADV, and enter "No" if
the person does not have control. Note
that under this definition, most executive officers and
all 25% owners, general partners, elected managers, and
trustees are control persons. |
|
(b) |
In the PR column, enter "PR" if the owner is a
public reporting company under Sections 12 or 15(d) of
the Exchange Act. |
|
(c) |
Complete each column.
| |
| FULL LEGAL NAME (Individuals: Last Name, First
Name, Middle Name) |
DE/FE/I |
Title or Status |
Date Title or Status Acquired MM/YYYY |
Ownership Code |
Control Person |
PR |
CRD No. If None: S.S. No. and Date of
Birth, IRS Tax No., or Employer ID No. |
| WILKINS, MICHAEL, IAN |
I |
MANAGER |
11/2001 |
D |
Y |
N |
1958968 |
| SCIALLY, JOHN, DAVID |
I |
MANAGER |
11/2001 |
D |
Y |
N |
2446281 |
| REDICK, KELLY, ANNE |
I |
CHIEF COMPLIANCE OFFICER,
CFO |
06/2005 |
NA |
Y |
N |
4031796 | | |