We could not find any results for:
Make sure your spelling is correct or try broadening your search.
Share Name | Share Symbol | Market | Type |
---|---|---|---|
Mips Technologies, Inc. (MM) | NASDAQ:MIPS | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 7.98 | 0 | 01:00:00 |
[ ]
|
Preliminary Proxy Statement.
|
[ ]
|
Confidential, for use of the Commission
|
[x]
|
Definitive Proxy Statement.
|
|
only (as permitted by Rule 14a-6(e)(2))
|
|
[x]
|
No fee required.
|
|
[ ]
|
Fee computed on table below per Exchange Act Rules 14a-6(i)(1) and 0-11.
|
|
(1)
|
Title of each class of securities to which transaction applies:
N/A
|
|
(2)
|
Aggregate number of securities to which transaction applies:
N/A
|
|
(3)
|
Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11 (Set forth the amount on which the filing fee is calculated and state how it was determined):
N/A
|
|
(4)
|
Proposed maximum aggregate value of transaction:
N/A
|
|
(5)
|
Total fee paid:
$0
|
|
[ ]
|
Fee paid previously with preliminary materials.
N/A
|
|
[ ]
|
Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing.
|
|
(1)
|
Amount Previously Paid:
N/A
|
|
(2)
|
Form, Schedule or Registration Statement No.:
N/A
|
|
(3)
|
Filing Party:
N/A
|
|
(4)
|
Date Filed:
N/A
|
|
·
|
By completing and returning the enclosed proxy card in the envelope provided,
|
|
·
|
By touch-tone telephone by calling 1-800-690-6903, or
|
|
·
|
By Internet voting at
www.proxyvote.com
.
|
|
1.
|
To elect eight nominees as Trustees of the Trust; and
|
|
2.
|
To transact any other business that may properly come before the meeting or any adjournment thereof.
|
|
·
|
As the Trust has adopted plans of distribution pursuant to Rule 12b-1 under the Investment Company Act of 1940, as amended (the “1940 Act”), at least a majority of the Board must be comprised of Trustees who are not “interested persons” of the Trust as defined in the 1940 Act.
|
|
·
|
In connection with City National’s acquisition of Rochdale, City National agreed to use its commercially reasonable efforts to cause the board of trustees of Rochdale Trust to take (or refrain from taking, as the case may be) such actions as are necessary to ensure that for a period of three years after the closing of the acquisition at least 75% of the board of trustees of the Rochdale Trust are not “interested persons” of Rochdale or City National, as required by Section 15(f) of the 1940 Act. Upon the Reorganization, City National’s agreement will apply with respect to the Board.
|
|
·
|
The Board has adopted a Trustee term limit of ten years. For this purpose, the terms of all current nominees (including the current Trustees) will begin upon the closing of the Reorganization.
|
|
·
|
The Board has adopted a normal Trustee retirement date for Trustees who reach age 75 before the end of their term limit, which is December 31 of the year in which the Trustee reaches age 75. Exceptions to the retirement age may be made by the Board in individual cases for a period of up to two years (but not beyond a Trustee’s term limit), based on the recommendation of the Board’s Nominating Committee, in extenuating circumstances (such as the need to provide for proper leadership transition, or to avoid the cost of a shareholder meeting that otherwise would not be necessary).
|
|
·
|
The Trustees and nominees currently intend to voluntarily stagger the terms of the Board members to ensure that the entire Board is not replaced at the same time in the future. The identity of the Board members who will voluntarily resign before the ends of their terms of office to achieve this result, and the timing of those resignations, will be determined by the Trustees based on a variety of factors, including retirements of Trustees, the costs of additional shareholder meetings, and their determination at the time of the types of desirable experience and expertise of Board members.
|
*
|
Subject to extension by the Board for up to two years.
|
+
|
An “interested person” of the Trust as defined in the 1940 Act.
|
Independent Trustee Nominees
|
|||||
Name Address Age
|
Current Position with the Trust
|
Term of Office
(1)
and Length of Time Served
|
Principal Occupation
for the Past Five Years
|
Number of Portfolios in Fund Complex
(2)
Overseen by Trustee
(3)
|
Other Directorships Held by Trustee
|
Irwin G. Barnet, Esq.
(4)
Age: 74
|
Trustee
|
Since 1999
|
Attorney and of counsel, Reed Smith LLP, a law firm (2009-present). Partner, Reed Smith LLP (2003-2008). Attorney and principal, Crosby, Heafey, Roach & May P.C., a law firm (2000-2002). Attorney and principal, Sanders, Barnet, Goldman, Simons & Mosk, a law firm (1980-2000).
|
17
|
None
|
Vernon C. Kozlen
Age: 69
|
Trustee
|
Since 2007
|
Retired (2007-present). President and Chief Executive Officer, CNI Charter Funds (2000-2007). Executive Vice President and Director of Asset Management Development, CNB (1996-2007). Director, Reed, Conner & Birdwell LLC (2000-2007), and Convergent Capital Management, LLC (2003-2007). Chairman of the Board, CNAM (2001-2005). Chairman of the Board, City National Securities, Inc. (1999-2005). Director, CNAM (2001-2006), and City National Securities, Inc. (1999-2006).
|
17
|
Windermere Jupiter Fund, LLC. CMS/Ironwood Multi-Strategy Fund LLC. CMS/Barlow Long-Short Equity Fund, LLC.
(5)
|
William R. Sweet
Age: 75
|
Trustee
|
Since 1999
|
Retired (1997-present). Executive Vice President, Union Bank of California (1985-1996).
|
17
|
None
|
James Wolford
(6)
Age: 58
|
Trustee
|
Since 1999
|
President, Chief Operating Officer and Chief Financial Officer, Thompson National Properties (March 2011-present). Chief Financial Officer, Pacific Office Properties, a real estate investment trust (April 2010-March 2011). Chief Financial Officer, Bixby Land Company, a real estate company (2004-March 2010). Regional Financial Officer, AIMCO, a real estate investment trust (2004). Chief Financial Officer, DBM Group, a direct mail marketing company (2001-2004). Senior Vice President and Chief Operating Officer, Forecast Commercial Real Estate Service, Inc. (2000-2001). Senior Vice President and Chief Financial Officer, Bixby Ranch Company (1985-2000).
|
17
|
None
|
Daniel A. Hanwacker
Age: 61
|
None
|
N/A
|
CEO and President,
Hanwacker Associates, Inc.
(asset management consulting and
executive search services) (2001 - present). Managing Director - Asset Management, Putnam Lovell Securities (2000-2001). Co-Founding Partner, Constellation Financial Management, Co., LLC (1995-2000).
|
N/A
|
Rochdale Funds (2011-present)
(7)
|
Jay C. Nadel
Age: 54
|
None
|
N/A
|
Financial Services Consultant (2005 - present). Executive Vice President, Bank of New York Broker-Dealer and Member of the Operating Committee (2002-2004). Weiss, Peck & Greer, Partner, Managing Director and Chair of the Operations Committee (1986-2001).
|
N/A
|
Lapolla Industries, Inc. (2007 – present); Rochdale Funds (2011-present)
(7)
|
(1)
|
Each Trustee currently serves until the next meeting of shareholders, if any, called for the purpose of electing trustees and until the election and qualification of his or her successor or until death, resignation, declaration of bankruptcy or incompetence by a court of competent jurisdiction, or removal by a majority vote of the Trustees or the shares entitled to vote.
|
(2)
|
“Fund complex” is defined as two or more registered investment companies that hold themselves out to investors as related companies or have a common investment adviser or affiliated investment advisers.
|
(3)
|
Upon the closing of the Reorganization, the Trustees are expected to oversee 17 funds, including the four series of Rochdale Investment Trust that are expected to reorganize into newly created corresponding series of the Trust.
|
(4)
|
During 2010, 2011 and 2012, Reed Smith LLP, of which Mr. Barnet is an attorney and of counsel, provided legal services to City National, the parent company of CNAM. In 2010, 2011 and 2012, the firm billed City National $391,192, $423,600 and $452,607, respectively, for these services. The other Independent Trustees have determined that Mr. Barnet should continue to be classified as a trustee who is not an “interested person” of the Trust, as defined in the 1940 Act, because Mr. Barnet was not involved with rendering any of these legal services to City National, and because Mr. Barnet’s interest in the fees billed by his firm to City National was insignificant.
|
(5)
|
Convergent Wealth Advisors, LLC, which is under common control with City National, serves as investment adviser to Windermere Jupiter Fund, LLC, CMS/Ironwood Multi-Strategy Fund, LLC and CMS/Barlow Long-Short Equity Fund, LLC, each of which is a private investment fund.
|
(6)
|
Bixby Land Company (“Bixby”), of which Mr. Wolford was the Chief Financial Officer until March 31, 2010, had obtained various loans from City National. The other Independent Trustees have determined that Mr. Wolford should continue to be classified as a trustee who is not an “interested person” of the Trust, as defined in the 1940 Act, because City National’s existing loans to the Company were made in the ordinary course of business and because of the minimal benefits of the loans to Mr. Wolford.
|
(7)
|
Rochdale Investment Trust; and Rochdale Core Alternative Master Fund LLC, Rochdale Core Alternative Strategies Fund LLC, Rochdale Core Alternative Strategies Fund TEI LLC, Rochdale Structured Claims Fixed Income Fund LLC, Rochdale Alternative Total Return Fund and Rochdale International Trade Fixed Income Fund, each of which is a registered closed-end fund.
|
(8)
|
Andrew S. Clare is an “interested person” of the Trust, as defined in the 1940 Act, by virtue of the provision of significant legal services by him and his law firm to City National.
|
(9)
|
Jon C. Hunt is an “interested person” of the Trust, as defined in the 1940 Act, by virtue of his position with CCM, a wholly-owned subsidiary of City National and an affiliate of CNAM.
|
Name Address Age
|
Current/Proposed Position with the Trust
|
Term of Office
(1)
and Length of Time Served
|
Principal Occupation for the Past Five Years
|
Richard Gershen
(2)
City National Bank
400 N. Roxbury Drive
Beverly Hills, California 90210
Age: 58
|
President and Chief Executive Officer
|
Since May 2010
|
Executive Vice President, Wealth Management Division, City National (2009-present). Executive Managing Director, Business Management and Strategy, Evergreen Investments, a division of Wachovia (2000-2009).
|
Garrett R. D’Alessandro
(2)
Rochdale Investment Management LLC
570 Lexington Avenue
New York, NY 10022
Age: 55
|
President and Chief Executive Officer
|
Effective as of the closing of the Reorganization
|
President, Chief Executive Officer and Director of Research, Rochdale (1986- present).
|
Eric Kleinschmidt
SEI Investments
One Freedom Valley Drive
Oaks, Pennsylvania 19456
Age: 44
|
Controller and Chief Operating Officer
|
Since 2005
|
Director of Fund Accounting, SEI Investments Company (2004-present). Manager of Fund Accounting, SEI Investments (1999-2004).
|
William Souza
City National Bank
555 South Flower Street
Los Angeles, California 90071
Age: 61
|
Vice President and Chief Compliance Officer
|
Since May 2012
|
Senior Vice President and Senior Counsel, Legal Services Division, City National (1998-present).
|
Lisa Whittaker
SEI Investments
One Freedom Valley Drive
Oaks, Pennsylvania 19456
Age: 34
|
Vice President and Secretary
|
Since December 2012
|
Attorney, SEI Investments Company (2012-present). Associate Counsel, The Glenmede Trust Company (2011 - 2012). Associate, Drinker Biddle & Reath LLP (2006-2011).
|
(1)
|
Each officer serves until removed by the Board or the principal executive officer of the Trust, or until such officer resigns.
|
(2)
|
Effective as of the closing of the Reorganization, Mr. D’Alessandro will replace Mr. Gershen as the Trust’s President and Chief Executive Officer.
|
|
·
|
Mr. Barnet, legal background, experience as a corporate and securities lawyer, and experience as a Trustee of the Trust.
|
|
·
|
Mr. Clare, legal background and experience as a corporate and litigation lawyer.
|
|
·
|
Mr. Hanwacker, experience in the asset management industry and as a trustee of Rochdale Trust.
|
|
·
|
Mr. Hunt, executive investment management experience and experience in management of the Trust and affiliated entities of City National.
|
|
·
|
Mr. Kozlen, investment management experience as an executive and leadership roles within City National and affiliated entities, as past President, Chief Executive Officer of the Trust, and as a Trustee of the Trust.
|
|
·
|
Mr. Nadel, experience in the financial services field and as a trustee of Rochdale Trust.
|
|
·
|
Mr. Sweet, experience as a senior banking executive and Trustee of the Trust.
|
|
·
|
Mr. Wolford, experience as a chief financial officer of various companies and a Trustee of the Trust.
|
Name of Trustee
|
Dollar Range of Equity Securities in
each Series of the Trust
|
Aggregate Dollar Range of Equity Securities in All Registered Investment Companies Overseen by Nominee in Family of Investment Companies
|
Irwin G. Barnet
|
Prime Money Fund
$1 - $10,000
Government Bond Fund
$50,001 - $100,000
Corporate Bond Fund
Over $100,000
High Yield Bond Fund
$10,001 - $50,000
|
Over $100,000
|
Jon C. Hunt
|
Prime Money Market Fund
$1 - $10,000
High Yield Bond Fund
Over $100,000
|
Over $100,000
|
Andrew S. Clare
|
None
|
None
|
Name of Trustee
|
Aggregate Compensation
from Registrant |
Pension or Retirement
Benefits Accrued As Part of Funds’ Expenses |
Estimated Annual
Benefits Upon Retirement |
Total Compensation From
Registrant and Fund Complex Paid to Trustee |
Irwin G. Barnet
|
$63,875
|
N/A
|
N/A
|
$63,875
|
Vernon C. Kozlen
|
$63,875
|
N/A
|
N/A
|
$63,875
|
Victor Meschures
|
$51,875
|
N/A
|
N/A
|
$51,875
|
William R. Sweet
|
$64,875
|
N/A
|
N/A
|
$64,875
|
James Wolford
|
$51,875
|
N/A
|
N/A
|
$51,875
|
Name of Fund
|
Number of Issued and Outstanding Shares per Class
|
Government Money Market Fund
|
Servicing Class: 96,576,360.550
Class N: 2,619,176,979.910
Class S: 413,005,058.010
|
Prime Money Market Fund
|
Institutional Class: 8,372,617.950
Servicing Class: 581,215,699.360
Class N: 356,600,383.100
Class S: 262,322,358.070
|
California Tax Exempt Money Market Fund
|
Servicing Class: 141,151,996.820
Class N: 687,387,397.920
Class S: 97,845,385.550
|
Limited Maturity Fixed Income Fund
|
Institutional Class: 4,072,617.240
Class N: 422,815.291
|
Name of Fund
|
Number of Issued and Outstanding Shares per Class
|
Government Bond Fund
|
Institutional Class: 5,180,296.723
Servicing Class: 10,994,911.950
Class N: 272,724.396
|
Corporate Bond Fund
|
Servicing Class: 12,275,699.055
Class N: 237,822.641
|
California Tax Exempt Bond Fund
|
Servicing Class: 4,980,070.147
Class N: 574,160.161
|
Full Maturity Fixed Income Fund
|
Institutional Class: 4,234,928.206
Class N: 25,849.116
|
High Yield Bond Fund
|
Institutional Class: 4,578,975.246
Servicing Class: 7,809,235.906
Class N: 5,420,712.026
|
Multi-Asset Fund
|
Institutional Class: 652,665.477
Servicing Class: 567,552.706
Class N: 2,346,963.259
|
U.S. Core Equity Fund
|
Institutional Class: 10.013
Servicing Class: 4,171,953.957
Class N: 4,554,320.471
|
Diversified Equity Fund
|
Institutional Class: 2,861,562.243
Class N: 251,582.562
|
Socially Responsible Equity Fund
|
Institutional Class: 8,034,116.719
Class N: 2,709,718.176
|
|
·
|
To vote by mail, sign and send us the enclosed Proxy voting card in the postage paid return envelope provided. If you vote by Proxy, you can revoke your Proxy by notifying the Secretary of the Trust in writing, or by returning a Proxy with a later date. You also can revoke a Proxy by voting in person at the Meeting. Even if you plan to attend the Meeting and vote in person, please return the enclosed Proxy card. This will help us ensure that an adequate number of shares are present at the Meeting.
|
|
·
|
To vote by telephone, call 1-800-690-6903.
|
|
·
|
To vote by Internet, vote at
www.proxyvote.com
.
|
|
·
|
To vote in person, attend the Meeting.
|
Shareholder
|
Class
|
Amount and Nature of
Beneficial Ownership |
Percentage of Total
Outstanding
Shares of Class
|
City National Bank
Fiduciary for Various Accounts
Attn: Trust Ops/Mutual Funds
PO Box 60520
Los Angeles, CA 90060-0520
|
Servicing Class
|
93,558,863.230
|
96.88%
|
National Financial Services, LLC
499 Washington Blvd
Jersey City NJ 07310-2010
|
Class N
|
2,092,669,981.590
|
79.90%
|
City National Bank
Agent for Various Accounts
Attn: Trust Ops/Mutual Funds
PO Box 60520
Los Angeles, CA 90060-0520
|
Class N
|
526,506,871.960
|
20.10%
|
City National Bank
Agent for Various Accounts
Attn: Trust Ops/Mutual Funds
PO Box 60520
Los Angeles, CA 90060-0520
|
Class S
|
413,005,058.010
|
100%
|
Shareholder
|
Class
|
Amount and Nature of
Beneficial Ownership |
Percentage of Total
Outstanding
Shares of Class
|
Band & Co c/o US Bank NA
PO Box 1787
Milwaukee, WI 53201-1787
|
Institutional Class
|
8,372,517.950
|
100.00%
|
City National Bank
Fiduciary for Various Accounts
Attn: Trust Ops/Mutual Funds
PO Box 60520
Los Angeles, CA 90060-0520
|
Servicing Class
|
488,971,459.330
|
84.13%
|
National Financial Services, LLC
499 Washington Blvd
Jersey City NJ 07310-2010
|
Servicing Class
|
92,110,072.100
|
15.85%
|
National Financial Services, LLC
499 Washington Blvd
Jersey City NJ 07310-2010
|
Class N
|
237,313,847.140
|
66.55%
|
City National Bank
Agent for Various Accounts
Attn: Trust Ops/Mutual Funds
PO Box 60520
Los Angeles, CA 90060-0520
|
Class N
|
119,286,535.960
|
33.45%
|
City National Bank
Agent for Various Accounts
Attn: Trust Ops/Mutual Funds
PO Box 60520
Los Angeles, CA 90060-0520
|
Class S
|
262,322,358.070
|
100%
|
Shareholder
|
Class
|
Amount and Nature of
Beneficial Ownership |
Percentage of Total
Outstanding
Shares of Class
|
City National Bank
Fiduciary for Various Accounts
Attn: Trust Ops/Mutual Funds
PO Box 60520
Los Angeles, CA 90060-0520
|
Servicing Class
|
138,791,083.580
|
98.33%
|
National Financial Services, LLC
499 Washington Blvd
Jersey City NJ 07310-2010
|
Class N
|
668,121,717.630
|
97.20%
|
City National Bank
Agent for Various Accounts
Attn: Trust Ops/Mutual Funds
PO Box 60520
Los Angeles, CA 90060-0520
|
Class S
|
97,845,385.550
|
100%
|
Shareholder
|
Class
|
Amount and Nature of
Beneficial Ownership |
Percentage of Total
Outstanding
Shares of Class
|
NFS LLC FEBO
City National Bank
555 S Flower St. FL 10
Trust Operations
Los Angeles, CA 90071-2300
|
Institutional
|
1,542,603.499
|
37.88%
|
Lewistown Hospital
400 Highland Avenue
Lewiston, PA 17044-1167
|
Institutional
|
1,006,495.090
|
24.71%
|
Trinity Medical Center
380 Summit Ave
Steubenville, OH 43952-2699
|
Institutional
|
541,963.398
|
13.31%
|
Sullivan County Community Hospital
PO Box 10
Sullivan, IN 47882
|
Institutional
|
266,723.389
|
6.55%
|
Medcenter One Plant Fund
Attn: Finance Dept.
PO Box 5525
Bismarck, ND 58506-5525
|
Institutional
|
212,406.045
|
5.22%
|
National Financial Services LLC
1 World Financial Center
200 Liberty Street
New York, NY 10281-1003
|
Class N
|
403,507.211
|
95.23%
|
Shareholder
|
Class
|
Amount and Nature of
Beneficial Ownership |
Percentage of Total
Outstanding
Shares of Class
|
NFS LLC FEBO
City National Bank
555 S Flower St. FL 10
Trust Operations
Los Angeles, CA 90071-2300
|
Institutional Class
|
3,547,226.411
|
68.53%
|
NFS LLC FEBO
City National Bank
555 S Flower St. FL 10
Trust Operations
Los Angeles, CA 90071-2300
|
Institutional Class
|
1,162,434.703
|
22.46%
|
NFS LLC FEBO
City National Bank
555 S Flower St. FL 10
Trust Operations
Los Angeles, CA 90071-2300
|
Servicing Class
|
4,664,659.086
|
42.43%
|
NFS LLC FEBO
City National Bank
225 Broadway Fl 5
San Diego, CA 92101-5005
|
Servicing Class
|
552,126.561
|
5.02%
|
NFS LLC FEBO
Alan Berman
New York, NY 10021-2965
|
Class N
|
27,369.889
|
10.03%
|
NFS LLC FEBO
Stanley J Kafka.
Tarzana, CA 91356-5114
|
Class N
|
23,602.722
|
8.65%
|
NFS LLC FEBO
Marvin D Iannone
Beverly Hills Police Foundation
Attn Erick Lee
464 N. Rexford Dr.
Beverly Hills, CA 90210-4873
|
Class N
|
21,700.208
|
7.95%
|
Shareholder
|
Class
|
Amount and Nature of
Beneficial Ownership |
Percentage of Total
Outstanding
Shares of Class
|
NFS LLC FEBO
City National Bank
555 S Flower St. FL 10
Trust Operations
Los Angeles, CA 90071-2300
|
Servicing Class
|
9,048,726.832
|
73.78%
|
NFS LLC FEBO
City National Bank
225 Broadway Fl 5
San Diego, CA 92101-5005
|
Servicing Class
|
959,620.448
|
7.82%
|
NFS LLC FEBO
FBO Stanley J Kafka
Tarzana, CA 91356-5114
|
Class N
|
22,581.306
|
9.43%
|
NFS LLC FEBO
Stewart Billett TTEE
Los Angeles CA 90024-3708
|
Class N
|
18,484.288
|
7.72%
|
Shareholder
|
Class
|
Amount and Nature of
Beneficial Ownership |
Percentage of Total
Outstanding
Shares of Class
|
NFS LLC FEBO
City National Bank
555 S Flower St. FL 10
Trust Operations
Los Angeles, CA 90071-2300
|
Servicing Class
|
3,984,583.547
|
80.02%
|
NFS LLC FEBO
City National Bank
555 S Flower St. FL 10
Trust Operations
Los Angeles, CA 90071-2300
|
Servicing Class
|
515,586.861
|
10.35%
|
NFS LLC FEBO
City National Bank
225 Broadway FL 5
San Diego, CA 92101-5005
|
Servicing Class
|
428,296.413
|
8.60%
|
NFS LLC FEBO
Anna Dellatte
Los Angeles CA 90069-1633
|
Class N
|
131,982.908
|
22.99%
|
NFS LLC FEBO
The Lichtenstein Family Trust
Phillip A. Kass TTEE
Encino, CA 91436-2767
|
Class N
|
73,168.816
|
12.74%
|
NFS LLC FEBO
Robert Harper, D. Goldman TTEE
Los Angeles CA 90024-3708
|
Class N
|
51,414.124
|
8.95%
|
NFS LLC FEBO
Andre Young TTEE
Los Angeles CA 90024-3708
|
Class N
|
51,414.124
|
8.95%
|
NFS LLC FEBO
Art Spence TTEE
Beverly Hills CA 90210-2003
|
Class N
|
31,217.191
|
5.44%
|
Shareholder
|
Class
|
Amount and Nature of
Beneficial Ownership |
Percentage of Total
Outstanding
Shares of Class
|
NFS LLC FEBO
Regions Morgan Keegan Trust
250 Riverchase Pkwy E. Fl 5
Birmingham, AL 35244-1832
|
Institutional
|
2,747,859.929
|
64.89%
|
Wells Fargo Bank NA
FBO Dearborn County
PO Box 1533
Minneapolis, MN 55480
|
Institutional
|
646,519.774
|
15.27%
|
Lewistown Hospital
400 Highland Avenue
Lewistown, PA 17044-1167
|
Institutional
|
456,381.943
|
10.78%
|
Saltco
PO Box 469
Brewton, AL 36427
|
Institutional
|
248,663.961
|
5.87%
|
National Financial Services LLC
1 World Financial Center
200 Liberty Street
New York, NY 10281-1003
|
Class N
|
24,361.478
|
88.55%
|
Scottrade LLC
Orcas Island Chamber Music Festival
PO Box 31759
St. Louis, MO 63131
|
Class N
|
1,941.670
|
7.06%
|
Shareholder
|
Class
|
Amount and Nature of
Beneficial Ownership |
Percentage of Total
Outstanding
Shares of Class
|
NFS LLC FEBO
City National Bank
555 S Flower St. FL 10
Trust Operations
Los Angeles, CA 90071-2300
|
Institutional Class
|
2,789,476.951
|
60.96%
|
NFS LLC FEBO
City National Bank
555 S Flower St. FL 10
Trust Operations
Los Angeles, CA 90071-2300
|
Institutional Class
|
764,823.943
|
16.71%
|
NFS LLC FEBO
City National Bank
555 S Flower St. FL 10
Trust Operations
Los Angeles, CA 90071-2300
|
Institutional Class
|
456,373.370
|
9.97%
|
NFS LLC FEBO
City National Bank
225 Broadway Fl 5
San Diego, CA 92101-5005
|
Institutional Class
|
240,378.905
|
5.25%
|
NFS LLC FEBO
City National Bank
555 S Flower St. FL 10
Trust Operations
Los Angeles, CA 90071-2300
|
Servicing Class
|
5,384,393.305
|
70.03%
|
NFS LLC FEBO
City National Bank
555 S Flower St. FL 10
Trust Operations
Los Angeles, CA 90071-2300
|
Servicing Class
|
1,116,674.236
|
14.52%
|
NFS LLC FEBO
The Angell Family Trust
Perry Oretzky TTEE
Los Angeles, CA 90024-4110
|
Class N
|
913,473.727
|
16.85%
|
CNB FBO GFC Capital Corp
9201 Wilshire BLVD STE 305
Beverly Hills, CA 90210-5514
|
Class N
|
514,912.954
|
9.50%
|
NFS LLC FEBO
Sidney Moray, Michael Moray,
David Moray
9201 Wilshire BLVD STE 305
Beverly Hills, CA 90210-5514
|
Class N
|
288,551.801
|
5.32%
|
Shareholder
|
Class
|
Amount and Nature of
Beneficial Ownership |
Percentage of Total
Outstanding
Shares of Class
|
NFS LLC FEBO
City National Bank
555 S Flower St. FL 10
Trust Operations
Los Angeles, CA 90071-2300
|
Institutional Class
|
652,906.170
|
100.00%
|
NFS LLC FEBO
City National Bank
555 S Flower St. FL 10
Trust Operations
Los Angeles, CA 90071-2300
|
Servicing Class
|
240,918.804
|
39.39%
|
NFS LLC FEBO
City National Bank
555 S Flower St. FL 10
Trust Operations
Los Angeles, CA 90071-2300
|
Servicing Class
|
211,079.764
|
34.51%
|
Charles Schwab & Co
Attn: Mutual Funds
101 Montgomery St.
San Francisco, CA 94101
|
Servicing Class
|
60,095.475
|
9.82%
|
NFS LLC FEBO
City National Bank
225 Broadway Fl 5
San Diego, CA 92101-5005
|
Servicing Class
|
43,340.974
|
7.09%
|
Shareholder
|
Class
|
Amount and Nature of
Beneficial Ownership |
Percentage of Total
Outstanding
Shares of Class
|
National Financial Services LLC
1 World Financial Center
200 Liberty St
New York, NY 10281-1003
|
Institutional
|
2,187,289.661
|
76.44%
|
Wells Fargo Bank NA
FBO Dearborn County
PO Box 1533.
Minneapolis, MN 55480
|
Institutional
|
351,842.054
|
12.30%
|
Saltco
PO Box 469
Brewton, AL 36427
|
Institutional
|
322,422.463
|
11.27%
|
National Financial Services LLC
1 World Financial Center
200 Liberty St
New York, NY 10281-1003
|
Class N
|
160,690.470
|
63.83%
|
William and Nanci Greene
Lombard, IL 60148
|
Class N
|
21,129.296
|
8.39%
|
Shareholder
|
Class
|
Amount and Nature of
Beneficial Ownership |
Percentage of Total
Outstanding
Shares of Class
|
NFS LLC FEBO
City National Bank
555 S Flower St. FL 10
Trust Operations
Los Angeles, CA 90071-2300
|
Servicing
|
4,062,514.79
|
98.00%
|
Shareholder
|
Class
|
Amount and Nature of
Beneficial Ownership |
Percentage of Total
Outstanding
Shares of Class
|
National Financial Services LLC
1 World Financial Center
200 Liberty Street
New York, NY 10281
|
Institutional
|
7,737,916.177
|
96.38%
|
Charles Schwab & Co
Attn: Mutual Funds
101 Montgomery St.
San Francisco, CA 94101
|
Class N
|
2,256,082.406
|
83.48%
|
National Financial Services LLC
1 World Financial Center
200 Liberty Street
New York, NY 10281
|
Class N
|
250,101.214
|
9.25%
|
I.
|
Committee Organization
|
II.
|
Duties and Responsibilities
|
III.
|
Shareholder Nominations
|
1
|
Terms such as “immediate family member” and “control” shall be interpreted in accordance with the federal securities laws.
|
IV.
|
Authority and Resources
|
¨
|
Current or past membership on board of registered investment company
|
¨
|
Board or executive position with money management organization
|
¨
|
Board or executive position with broker-dealer organization
|
¨
|
Board or executive position with any other financial, technology or marketing organization
|
¨
|
Board or financial position with any other substantial publicly-held business organization
|
¨
|
Accounting or legal position representing any of the above businesses
|
¨
|
Academic background and specialty in areas relevant to any of the above businesses
|
¨
|
Mix of skills on board
|
¨
|
Mix of generations on board
|
¨
|
Diversity of personal backgrounds on board
|
¨
|
Reputation for integrity
|
¨
|
Ability to apply good business sense, with appreciation for the role of the board
|
¨
|
Ability to work with other trustees as a team
|
¨
|
Ability to balance critical thinking with avoidance of unnecessary confrontation
|
¨
|
Sufficient stature to provide shareholder assurance of qualification
|
¨
|
Ability to commit necessary time
|
¨
|
Personal and financial independence from management
|
¨
|
Nominees may not have any felony convictions or any felony or misdemeanor convictions involving the purchase or sale of a security.
|
¨
|
No person shall be qualified to be a Board member if the Committee, in consultation with Fund counsel, has determined that such person, if elected as a Board member, would cause the Trust to be in violation of or not in compliance with (a) applicable law, regulation or regulatory interpretation, (b) the Trust’s organizational documents, or (c) any general policy adopted by the Board regarding either the retirement age of any Board member or the percentage of the Board that would be comprised of independent Board members.
|
__________________________________
|
__________________________________
|
Signature
|
Signature of joint owner, if any
|
__________________________________
|
__________________________________
|
Name of owner (printed)
|
Name of joint owner (printed)
|
_____________________________, 2013
|
|
Date
|
1.
|
Proposal: To elect to the Board of Trustees Irwin G. Barnet, Vernon C. Kozlen, William R. Sweet, James Wolford, Andrew S. Clare, Daniel A. Hanwacker, Jon C. Hunt and Jay C. Nadel, each for the respective term of office indicated in the Proxy Statement for the Meeting, effective upon the Reorganization as defined in the Proxy Statement.
|
[ ]
|
For all nominees listed below
|
[ ]
|
Withhold from all nominees listed below
|
Nominees:
|
(A) Irwin G. Barnet
(B) Vernon C. Kozlen
(C) William R. Sweet
(D) James Wolford
(E) Andrew S. Clare
(F) Daniel A. Hanwacker
(G) Jon C. Hunt
(H) Jay C. Nadel
|
[ ]
|
||
For all nominees except as listed above
|
2.
|
To vote and otherwise represent the undersigned on any other matter that may properly come before the meeting or any adjournment or postponement thereof in the discretion of the proxy holder.
|
1 Year Mips Technologies, Inc. (MM) Chart |
1 Month Mips Technologies, Inc. (MM) Chart |
It looks like you are not logged in. Click the button below to log in and keep track of your recent history.
Support: +44 (0) 203 8794 460 | support@advfn.com
By accessing the services available at ADVFN you are agreeing to be bound by ADVFN's Terms & Conditions