Corporate Board Profile
Tech Score: 0/100
| Filing Date | Source Excerpt |
|---|---|
| 2001-12-18 | NICOLAS W. PLATT, 48, has been a Senior Partner of Platt & Rickenbach, a New York based financial relations firm since May 2001. From December 2000 to April 2001, he was the Executive Vice President of Ogilvy Public Relations Worldwide, a division of Ogilvy & Mather, WPP Group, UK. From January 1997 to December 2000, he was the Managing Director of the Corporate Financial Practice at the public relations firm of Burson-Marsteller, a division of Young & Rubicam, WPP Group, UK, where he ran the financial/investor relations practice. From 1995 to 1997, he was Senior Managing Director at Bozell-Sawyer Miller, a division of True North Communications, a public relations firm; and from 1993 to 1995, he was Executive Vice President of NovAtel Communications Ltd. Before joining NovAtel, Mr. Platt was Managing Director and Corporate Vice President of the American Stock Exchange from 1983-1993. He has been a director of the Company since 1997 and is also a director of Ellsworth. Mr. Platt received a B.A. from Skidmore College and an M.A. in Economics from Columbia University. ... PRICING COMMITTEE The Pricing Committee is comprised of three members, two of whom are independent directors (Mr. Ahalt and Mr. Platt, with Mr. Ahalt serving as Chairman) and one of whom is an interested person (Mr. Dinsmore). ... DIRECTORS' COMPENSATION Nicolas W. Platt........................ $14,000 $29,000 |
| 2002-12-26 | NICOLAS W. PLATT, 49, has been a Senior Partner of Platt & Rickenbach ... Mr. Platt has been a director of the Company since 1997 ... The Pricing Committee is comprised of three members, two of whom are independent directors (Mr. Ahalt and Mr. Platt, with Mr. Ahalt serving as Chairman) ... The following table shows the compensation that was paid to the directors solely by the Company ... Nicolas W. Platt................. $13,000 |
| 2003-12-29 | Nicolas W. Platt, 50, has been President of CNC-US... He has been a director of the Company since 1997... Pricing Committee is comprised of three members, two of whom are independent directors (Mr. Ahalt and Mr. Platt, with Mr. Ahalt serving as Chairman)... The following table shows the compensation that was paid to the directors solely by the Company as well as by the Fund Complex as a whole during the 2003 fiscal year... Nicolas W. Platt $14,000 from Company, $28,000 from Fund Complex. |
| 2004-12-23 | Nicolas W. Platt, 51, has been a director of the Company since 1997. He is an independent director. The Nominating and Administration Committee is comprised entirely of independent directors including Mr. Platt. The Pricing Committee includes Mr. Platt. The compensation table shows he received $29,000 from the Fund Complex. |
| 2005-12-23 | Nicolas W. Platt(1) - 52 1997 President, CNC-US (international Ellsworth Fund consulting company) (since 2003). Formerly: Senior Partner of Platt & Rickenbach (public relations firm) (May 2001 to January 2003); Senior Executive with the WPP Group, UK and its public relations subsidiaries, Ogilvy Public Relations, Burson-Marsteller and Robinson Lehr Montgomery (January 1995 to April 2001). Mr. Platt received a B.A. from Skidmore College and an M.A. in Economics from Columbia University. |
| 2006-12-20 | Nicolas W. Platt - 53 1997 Managing Director, Rodman & Renshaw, LLC (an investment banking firm) (since 2006). Formerly: President, CNC-US (an international consulting company) (January 2003 to August 2006); Senior Partner of Platt & Rickenbach (a public relations firm) (May 2001 to January 2003); Senior Executive with the WPP Group, UK and its public relations subsidiaries, Ogilvy Public Relations, Burson-Marsteller and Robinson Lehr Montgomery (January 1995 to April 2001). Mr. Platt received a B.A. from Skidmore College and an M.A. in Economics from Columbia University. Ellsworth Fund The Governance Committee is comprised entirely of independent trustees (Mr. Ahalt, Mr. Halsted and Mr. Platt). The Pricing Committee is comprised of three members, two of whom are independent trustees (Mr. Ahalt and Mr. Platt). Aggregate Compensation From Fund Complex: $36,000. |
| 2007-12-17 | Nicolas W. Platt – 54 Managing Director, Rodman & Renshaw, LLC (investment banking firm) (since 2006). Governance Committee member, Chairman of Pricing Committee. $38,000 total compensation from Fund Complex. |
| 2008-12-29 | Nicolas W. Platt – 55 Managing Director, Rodman & Renshaw, LLC... Governance Committee is comprised entirely of independent trustees (Mr. Ahalt, Dr. Bogan and Mr. Platt, with Mr. Platt serving as Chairman)... Pricing Committee is comprised of three members, two of whom are independent trustees (Mr. Harding and Mr. Platt, with Mr. Platt serving as Chairman)... The following table shows the compensation... Nicolas W. Platt $27,000 From Trust, $51,000 Total from Fund Complex. |
| 2009-12-31 | Nicolas W. Platt 6 56 Trustee Since 1997 Managing Director, FD Americas, the Strategic Communications segment of FTI Consulting Inc. (since March 2009). Formerly Managing Director, Rodman & Renshaw, LLC (August 2006 to March 2009). President, CNC-US (January 2003 to August 2006). Other Trusteeship: Ellsworth Fund. Chairman of Governance Committee. Member of Pricing Committee. Compensation from Trust: $23,000. |
| 2010-12-30 | Nicolas W. Platt, age 57, has been Managing Director of FD Americas... Mr. Platt is Chair of both the Governance Committee and the Pricing Committee... Total Compensation From Fund Complex $43,000. |
| 2011-12-30 | Nicolas W. Platt, age 58, has been a partner at Point Capital Partners, LLC. Mr. Platt is Chair of both the Governance Committee and the Pricing Committee. Aggregate Compensation From Trust: $22,000. |
| 2012-12-31 | Nicolas W. Platt, age 59, has been a partner at Point Capital Partners, LLC, a private merchant bank, since May 2011. Mr. Platt was formerly Managing Director of FTI Consulting Inc. (FCN-NYSE), an international consulting company, from March 2009 to May 2011, and Managing Director of Rodman & Renshaw, LLC, an investment banking firm, from August 2006 to March 2009. He was President of CNC-US, an international consulting company, from January 2003 to August 2006. Prior to this Mr. Platt was a senior executive at Burson-Marsteller and Ogilvy Public Relations Worldwide, subsidiaries of WPP Group, UK. Mr. Platt is a member of the NYSE MKT LLC US Committee of Securities Listing Qualifications Panel which reviews the continued listing qualifications for companies on the NYSE MKT LLC. He has been elected and serves as the Deputy Mayor in Harding Township. Mr. Platt received a B.A. degree from Skidmore College and an M.A. degree in Economics from Columbia University. Based on Mr. Platt’s experience in public relations, crisis communications and financial consultancy, as a former executive of both the New York and American Stock Exchanges and his continued experience on the NYSE MKT LLC Panel, he is able to deliver important insights to our management and other trustees on subjects ranging from corporate governance and trustee compensation to corporate strategy and management oversight. As a result of his current and prior leadership responsibilities, management expertise and independence, Mr. Platt’s fellow trustees have elected him to serve as Chair of the Trust’s Governance Committee and Pricing Committee. Mr. Platt is Chair of both the Governance Committee and the Pricing Committee. Aggregate Compensation From Trust: $21,000. |
| 2013-12-30 | Nicolas W. Platt, age 60, is a private investor. ... Mr. Platt is Chair of both the Governance Committee and the Pricing Committee. ... Compensation: $22,000 from Trust. |
| 2014-12-29 | Nicolas W. Platt, age 61, is a private investor. Mr. Platt is Chair of both the Governance Committee and the Pricing Committee. Total Compensation From Fund Complex: $44,000. |
| 2015-09-14 | Nicolas W. Platt is a private investor. ... Mr. Platt is Chair of both the Governance Committees and the Pricing Committees. |
| 2016-03-29 | Nicolas W. Platt. Mr. Platt is a member of the Fund’s Nominating and ad hoc Proxy Voting Committees. ... Aggregate Compensation from the Fund and Fund Complex for Nicolas W. Platt is $39,750. |
| 2017-04-03 | Nicolas W. Platt Trustee Age: 63 Since 1997*** Private Investor; Member of NYSE MKT LLC Committee on Securities; Former Mayor of Township of Harding, New Jersey; Managing Director of FTI Consulting Inc. (international consulting company) (March 2009-May 2011) ... Mr. Platt is a member of the Fund’s Nominating and ad hoc Proxy Voting Committees. ... Nicolas W. Platt Trustee $ 13,000 $ 26,000 (2) |
| 2018-03-28 | Nicolas W. Platt is a member of the Fund’s Nominating and ad hoc Proxy Voting Committees. |
| 2019-03-29 | Nicolas W. Platt is a member of the Fund’s Nominating and ad hoc Proxy Voting Committees. |
| 2020-03-26 | Nicolas W. Platt Trustee Age: 66 Since 1997*** Private Investor; Member of NYSE American LLC Committee on Securities; Township Committee Member, Harding, New Jersey; Former Mayor of Township of Harding, New Jersey (2013-2016) Mr. Platt is a member of the Fund’s Nominating and ad hoc Proxy Voting Committees. |
| 2021-03-29 | Nicolas W. Platt is a member of the Fund’s Nominating and ad hoc Proxy Voting Committees. |
| 2022-03-24 | Nicolas W. Platt. Mr. Platt is a private investor. He is a member of the Fund’s Nominating and ad hoc Proxy Voting Committees. |
| 2023-04-05 | Nicolas W. Platt Trustee 1953 Since 1997*** Private Investor Mr. Platt is a member of the Fund’s Nominating and ad hoc Proxy Voting Committees. Compensation Table: Nicolas W. Platt $13,000 $28,000 |
| 2024-03-21 | Nicolas W. Platt is a private investor. Mr. Platt is a member of the Fund’s Nominating and ad hoc Proxy Voting Committees. |
| 2025-03-20 | Private Investor; Member of NYSE American LLC Committee on Securities. |
| Filing Date | Source Excerpt |
|---|---|
| 2001-11-26 | NICOLAS W. PLATT, 48, has been the Executive Vice President of Ogilvy Public Relations Worldwide, a division of Ogilvy & Mather, WPP Group, UK since December 2000. From January 1997 to December 2000, he was the Managing Director of the Corporate Financial Practice at the public relations firm of Burson-Marsteller, a division of Young & Rubicam, WPP Group, UK, where he ran the financial/investor relations practice. From 1995 to 1997, he was Senior Managing Director at Bozell-Sawyer Miller, a division of True North Communications, a public relations firm; and from 1993 to 1995, he was Executive Vice President of NovAtel Communications Ltd. Before joining NovAtel, Mr. Platt was Managing Director and Corporate Vice President of the American Stock Exchange from 1983-1993. He has been a director of the Company since 1997 and is also a director of Bancroft. |
| 2002-11-26 | NICOLAS W. PLATT, 49, has been a Senior Partner of Platt & Rickenbach, a New York based financial relations firm since May 2001. ... Mr. Platt has been a director of the Company since 1997 ... The Pricing Committee is comprised of three members, two of whom are independent directors (Mr. Ahalt and Mr. Platt, with Mr. Ahalt serving as Chairman) and one of whom is an interested person (Mr. Dinsmore). ... The following table shows the compensation that was paid to the directors solely by the Company as well as by the fund complex as a whole during the 2002 fiscal year. ... Nicolas W. Platt................... $13,000 $23,750 |
| 2003-12-29 | Nicolas W. Platt, 50, has been President of CNC-US, an international consulting company, since January 2003. ... He has been a director of the Company since 1997 ... The Pricing Committee is comprised of three members, two of whom are independent directors (Mr. Ahalt and Mr. Platt, with Mr. Ahalt serving as Chairman). ... Mr. Platt currently receives (1) an annual fee of $5,000, (2) $1,000 plus expenses for each Board meeting attended, (3) $1,000 for each shareholders' meeting attended, (4) $1,000 plus expenses for each Committee meeting attended that is not held in conjunction with a Board meeting, and (5) $500 for each Committee meeting attended that is held in conjunction with a Board meeting. |
| 2004-11-29 | Nicolas W. Platt, 51, ... He has been a director of the Company since 1997 ... The Nominating and Administration Committee is comprised entirely of independent directors (Mr. Ahalt, Mr. Halsted and Mr. Platt, with Mr. Ahalt serving as Chairman). ... The Pricing Committee is comprised of three members, two of whom are independent directors (Mr. Ahalt and Mr. Platt, with Mr. Ahalt serving as Chairman) ... Mr. Platt currently receives $15,000 from the Company in director compensation. |
| 2005-12-01 | Nicolas W. Platt(1) - 52 1997 President,CNC-US (international consulting company) (since 2003). Formerly: Senior Partner of Platt & Rickenbach (financial relations firm) (May 2001 to January 2003); Senior Executive with the WPP Group, UK and its public relations subsidiaries, Ogilvy Public Relations, Burson-Marsteller and Robinson Lehr Montgomery (January 1995 to April 2001). Mr. Platt received a B.A. from Skidmore College and an M.A. in Economics from Columbia University. Governance Committee and Pricing Committee member. Total compensation from Fund Complex: $32,625. |
| 2006-11-28 | Nicolas W. Platt - 53, Independent Trustee since 1997, member of Governance Committee and Pricing Committee, annual compensation $32,625 from Fund Complex. |
| 2007-11-26 | Nicolas W. Platt (1) - 54 1997 Managing Director, Rodman & Renshaw, LLC (investment banking firm) (since 2006). Formerly: President, CNC-US (international consulting company) (January 2003 to August 2006); Senior Partner of Platt & Rickenbach (financial relations firm) (May 2001 to January 2003); Senior Executive with the WPP Group, UK and its public relations subsidiaries, Ogilvy Public Relations, Burson-Marsteller and Robinson Lehr Montgomery (January 1995 to April 2001). Mr. Platt received a B.A. degree from Skidmore College and an M.A. degree in Economics from Columbia University. The Governance Committee is comprised entirely of independent trustees (Mr. Ahalt, Dr. Bogan and Mr. Platt, with Mr. Ahalt serving as Chairman). The Pricing Committee is comprised of three members, two of whom are independent trustees (Mr. Harding and Mr. Platt, with Mr. Platt serving as Chairman) and one of whom is an interested person (Mr. Dinsmore). The following table shows the compensation that was paid to the trustees solely by the Trust as well as by the Fund Complex as a whole (which consists of two registered investment companies, the Trust and Bancroft Fund) during the 2007 fiscal year. Nicolas W. Platt.................. $19,000 $38,000 |
| 2008-11-26 | Nicolas W. Platt (2) – 55 Continuing Independent Trustee Managing Director, Rodman & Renshaw, LLC (investment banking firm) (since 2006). Governance Committee: comprised entirely of independent trustees (Mr. Ahalt, Dr. Bogan and Mr. Platt, with Mr. Platt serving as Chairman). Pricing Committee: comprised of three members, two of whom are independent trustees (Mr. Harding and Mr. Platt, with Mr. Platt serving as Chairman) and one of whom is an interested person (Mr. Dinsmore). Compensation: Total Compensation From Fund Complex: $48,500. |
| 2009-11-30 | Nicolas W. Platt 6 56 Trustee Since 1997 Managing Director, FD Americas, FTI Consulting Inc. (since March 2009). Governance Committee Chairman Pricing Committee Chairman Compensation: $23,500 from Trust in 2009 fiscal year. |
| 2010-11-29 | Nicolas W. Platt, age 57, has been Managing Director of FD Americas, the Strategic Communications segment of FTI Consulting Inc. ... Mr. Platt is Chair of both the Governance Committee and the Pricing Committee. ... Mr. Platt received $22,000 from the Trust in 2010. |
| 2011-11-30 | Nicolas W. Platt, age 58, has been a partner at Point Capital Partners, LLC, a private merchant bank, since May 2011. ... Mr. Platt is Chair of both the Governance Committee and the Pricing Committee. |
| 2012-11-29 | Nicolas W. Platt, age 59, has been a partner at Point Capital Partners, LLC, a private merchant bank, since May 2011. Mr. Platt was formerly Managing Director of FTI Consulting Inc. (FCN-NYSE), an international consulting company, from March 2009 to May 2011, and Managing Director of Rodman & Renshaw, LLC, an investment banking firm, from August 2006 to March 2009. Mr. Platt is Chair of both the Governance Committee and the Pricing Committee. Aggregate Compensation From Trust: $21,000. |
| 2013-11-27 | Nicolas W. Platt, age 60, is a private investor. Mr. Platt is Chair of both the Governance Committee and the Pricing Committee. Aggregate compensation from Trust: $22,000. |
| 2014-12-29 | Nicolas W. Platt, age 61, is a private investor. Mr. Platt is Chair of both the Governance Committee and the Pricing Committee. Total Compensation From Fund Complex $44,000. |
| 2015-09-14 | Nicolas W. Platt is a private investor. ... Mr. Platt is Chair of both the Governance Committees and the Pricing Committees. ... 2015 Fiscal Year Aggregate Compensation From Bancroft $20,500, From Ellsworth $22,000, Total $42,500. |
| 2016-03-29 | Nicolas W. Platt. Mr. Platt is a member of the Fund’s Nominating and ad hoc Proxy Voting Committees. ... Compensation Table: Nicolas W. Platt $23,500 from Fund. |
| 2017-04-03 | Nicolas W. Platt Trustee Age: 63 Since 1997*** Mr. Platt is a member of the Fund’s Nominating and ad hoc Proxy Voting Committees. |
| 2018-03-28 | Nicolas W. Platt Trustee Age: 64 Since 1997* Private Investor; Member of NYSE American LLC Committee on Securities; Township Committee Member, Harding, New Jersey; Former Mayor of Township of Harding, New Jersey (2013-2016); Managing Director of FTI Consulting Inc. (international consulting company) (March 2009 – May 2011) Mr. Platt is a member of the Fund’s Nominating and ad hoc Proxy Voting Committees. The Fund pays each Independent Trustee an annual retainer of $8,500 plus $1,000 for each Board meeting attended. Each Independent Trustee is reimbursed by the Fund for any out of pocket expenses incurred in attending meetings. All Board committee members receive $500 per meeting attended. In addition, the Audit Committee Chairman receives an annual fee of $2,000, the Nominating Committee Chairman receives an annual fee of $2,000, and the Lead Independent Trustee receives an annual fee of $1,000. The aggregate remuneration (excluding out of pocket expenses) paid by the Fund to such Trustees during the fiscal year ended September 30, 2017, amounted to $122,500. Nicolas W. Platt Aggregate Compensation from the Fund and Fund Complex Paid to Trustees $13,000 $26,000 (2) |
| 2019-03-29 | Nicolas W. Platt Trustee Age: 65 Since 1997** Private Investor; Member of NYSE American LLC Committee on Securities; Member of the Fund’s Nominating and ad hoc Proxy Voting Committees. Compensation from the Fund: $13,000, from Fund Complex: $26,000. |
| 2020-03-26 | Nicolas W. Platt Trustee Age: 66 Since 1997*** Private Investor; Member of NYSE American LLC Committee on Securities; Township Committee Member, Harding, New Jersey; Former Mayor of Township of Harding, New Jersey (2013-2016) Mr. Platt is a member of the Fund’s Nominating and ad hoc Proxy Voting Committees. |
| 2021-03-29 | Nicolas W. Platt. Mr. Platt is a member of the Fund’s Nominating and ad hoc Proxy Voting Committees. |
| 2022-03-24 | Nicolas W. Platt. Mr. Platt ... Mr. Platt is a member of the Fund’s Nominating and ad hoc Proxy Voting Committees. ... COMPENSATION TABLE ... Nicolas W. Platt ... $13,000 ... Trustee |
| 2023-04-05 | Nicolas W. Platt Trustee 1953 Since 1997*** Private Investor; Member of NYSE American LLC Committee on Securities; Township Committee Member, Harding, New Jersey; Former Mayor of Township of Harding, New Jersey (2013-2016); Managing Director of FTI Consulting Inc. (international consulting company) (March 2009-May 2011) Mr. Platt is a member of the Fund’s Nominating and ad hoc Proxy Voting Committees. |
| 2024-03-21 | Nicolas W. Platt is a private investor. In 2018, New Jersey Governor Phil Murphy appointed Mr. Platt to be one of two bipartisan ‘‘Czars’’ to address the State’s property tax crisis. He served as Mayor of the Township of Harding, New Jersey from 2013 to 2016. Mr. Platt is now serving on the Township Committee. He is a member of the Fund’s Nominating and ad hoc Proxy Voting Committees. He serves on comparable or other committees for other funds in the Fund Complex on whose boards he sits. From 2009 until 2011, Mr. Platt served as Managing Director of FTI Consulting Inc., an international financial consulting company. Prior to March 2009, he was a senior executive with WPP Group, plc subsidiaries Ogilvy Worldwide and Young & Rubicam – Burson-Marsteller’s corporate practice. He spent thirteen years in leadership roles at both the New York and American Stock Exchanges. At the AMEX, Mr. Platt oversaw the exchange’s domestic and international listing efforts and was the liaison to the investment banking community. Mr. Platt is a member of the NYSE American LLC Committee on Securities, which reviews the continued exchange listing qualifications for companies. He sits on the boards of several non-public organizations. Mr. Platt received his Bachelor’s degree from Skidmore College and an M.A. in Economics from Columbia University. |
| 2025-03-20 | Nicolas W. Platt Trustee 1953 Since 1997** Private Investor; Member of NYSE American LLC Committee on Securities; Township Committee Member, Harding, New Jersey; Former Mayor of Township of Harding, New Jersey (2013-2016); Managing Director of FTI Consulting Inc. (international consulting company) (March 2009-May 2011) Mr. Platt is a member of the Fund’s Nominating and ad hoc Proxy Voting Committees. He serves on comparable or other committees for other funds in the Fund Complex on whose boards he sits. COMPENSATION TABLE Nicolas W. Platt Trustee $12,500 $31,646 (3) |
Data sourced from SEC filings. Last updated: 2025-08-30