Corporate Board Profile
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| Filing Date | Source Excerpt |
|---|---|
| 2001-08-14 | G. Peter O'Brien 55 Director N/A Common Trustee of Colgate University; Nominee and Director of Pinnacle Holdings, Preferred Inc.; Director of Renaissance Capital Greenwich Funds; Vice President of Hill House, Inc.; Director/Trustee of certain Legg Mason retail funds; Managing Director/Equity Capital Markets Group of Merrill Lynch & Co. (from 1971 to 1999). |
| 2002-09-05 | Trustee of Colgate University, Director of Pinnacle Holdings, Inc., President of Hill House, Inc. and Managing Director/Equity Capital Markets Group of Merrill Lynch & Co. |
| 2003-08-25 | G. Peter O'Brien Trustee of Colgate University, President of Hill House, Inc. and Managing Director/Equity Capital Markets Group of Merrill Lynch & Co. (from 1971 to 1999). |
| 2004-08-18 | Trustee of Colgate University, President of Hill House, Inc. and Managing Director/Equity Capital Markets Group of Merrill Lynch & Co. (from 1971 to 1999). |
| 2005-08-31 | Trustee of Colgate University; President of Hill House, Inc.; and Managing Director/Equity Capital Markets Group of Merrill Lynch & Co. (from 1971 to 1999). Trustee of registered investment companies constituting the 23 Legg Mason Funds; Director of Renaissance Capital Greenwich Fund; Director of Technology Investment Capital Corp. |
| 2006-08-23 | Trustee Emeritus of Colgate University (since 2005); Board Member of Hill House, Inc. (since 1999). Formerly: Trustee of Colgate University (from 1996 to 2005); President of Hill House, Inc. (from 2001 to 2005); and Managing Director/Equity Capital Markets Group of Merrill Lynch & Co. (from 1971 to 1999). |
| 2008-08-21 | Trustee Emeritus of Colgate University; Board Member of Hill House, Inc.; Managing Director/Director/Equity Capital Markets Group of Merrill Lynch & Co. |
| 2011-08-05 | G. Peter O'Brien - In addition to his tenure as a Director/Trustee of The Royce Funds and of the Legg Mason Family of Funds, Mr. O'Brien has over 35 years of business experience, including extensive experience in the financial sector. |
| 2012-08-06 | G. Peter O’Brien - In addition to his tenure as a Director/Trustee of The Royce Funds and of the Legg Mason Family of Funds, Mr. O’Brien serves as co-Chairman of the Board’s Nominating Committee. Mr. O’Brien has over 35 years of business experience, including extensive experience in the financial sector. |
| 2013-08-02 | G. Peter O’Brien - In addition to his tenure as a Director/Trustee of The Royce Funds and of the Legg Mason Family of Funds, Mr. O’Brien serves as co-Chairman of the Board’s Nominating Committee. Mr. O’Brien has over 35 years of business experience, including extensive experience in the financial sector. |
| 2015-08-03 | Mr. O'Brien has over 35 years of business experience, including extensive experience in the financial sector. |
| 2017-08-14 | Mr. OBrien has over 35 years of business experience, including extensive experience in the financial sector. |
| 2018-08-10 | Mr. O'Brien has over 35 years of business experience, including extensive experience in the financial sector. |
| 2019-08-12 | Mr. O'Brien has over 35 years of business experience, including extensive experience in the financial sector. |
| Filing Date | Source Excerpt |
|---|---|
| 2001-08-14 | G. Peter O'Brien 55 Director Nominee Common and Preferred Trustee of Colgate University; Director of Pinnacle Holdings, Inc.; Director of Renaissance Capital Greenwich Funds; Vice President of Hill House, Inc.; Director/ Trustee of certain Legg Mason retail funds; Managing Director/ Equity Capital Markets Group of Merrill Lynch & Co. (from 1971 to 1999). |
| 2002-09-05 | G. Peter O'Brien 56 Director 2001 Common 17 Director/ Trustee of Colgate and Trustee of University, Director of Preferred registered Pinnacle Holdings, Inc., investment President of Hill House, companies Inc. and Managing constituting Director/Equity Capital 18 Legg Markets Group of Merrill Mason Lynch & Co. (from 1971 to Funds; 1999). |
| 2003-08-25 | G. Peter O'Brien 57 Class I Director Trustee of Colgate University, President of Hill House, Inc. and Managing Director/Equity Capital Markets Group of Merrill Lynch & Co. (from 1971 to 1999). ... The current members of the Audit Committee are Donald R. Dwight, Richard M. Galkin, Stephen L. Isaacs, William L. Koke, David L. Meister and G. Peter O'Brien. Mr. Galkin serves as Chairman of the Committee. ... Each Independent Director receives a base fee of $10,000 per year plus $1,000 for each meeting of the Board of Directors attended. No Director received remuneration for services as a Director for the year ended December 31, 2002 in addition to or in lieu of this standard arrangement. ... G. Peter O'Brien, Director $15,000 None None $65,250 |
| 2004-08-18 | G. Peter O'Brien 58 Class I Director 2001 2006 Common and Preferred Trustee of Colgate University, President of Hill House, Inc. and Managing Director/Equity Capital Markets Group of Merrill Lynch & Co. (from 1971 to 1999). |
| 2005-08-31 | G. Peter O'Brien 59 Class I 2001 2006 Common 23 Director/ Trustee of Colgate Director and Trustee of University; President of Preferred registered Hill House, Inc.; and investment Managing Director/Equity companies Capital Markets Group of constituting Merrill Lynch & Co. (from the 23 1971 to 1999). Legg Mason Funds; Director of Renaissance Capital Greenwich Fund; Director of Technology Investment Capital Corp. |
| 2006-08-23 | G. Peter O'Brien 60 Class I 2001 2006 Common and Preferred Trustee Emeritus of Colgate University (since 2005); Board Member of Hill House, Inc. (since 1999). Formerly: Trustee of Colgate University (from 1996 to 2005); President of Hill House, Inc. (from 2001 to 2005); and Managing Director/Equity Capital Markets Group of Merrill Lynch & Co. (from 1971 to 1999). |
| 2008-08-21 | G. Peter O'Brien Trustee Emeritus of Colgate University; Class I Director; Age 62; Compensation: $15,100 from the Fund. |
| 2009-08-14 | G. Peter O'Brien 63 Class I 2001 2009 Common 44 Director of Trustee Emeritus of Colgate University (since 2005); Board Member of Hill House, Inc. (since 1999). Formerly: Trustee of Colgate University (from 1996 to 2005); President of Hill House, Inc. (from 2001 to 2005); and Managing Director/Equity Capital Markets Group of Merrill Lynch & Co. (from 1971 to 1999). Director and Preferred (Director/ Trustee of all Royce Funds consisting of 30 portfolios; Director/ Trustee of the Legg Mason Family of Funds consisting of 14 portfolios). Messrs. Galkin, Isaacs, Koke, Mehlman, Meister and O'Brien are each a member of the Fund's Audit Committee and its Nominating Committee. Total compensation from the Fund: $16,200. |
| 2010-08-06 | G. Peter O'Brien 64 Class I 2001 2012 Common 44 Director of TICC Capital Corp. Director, Bridges School (since 2006); Trustee Emeritus of Colgate University (since 2005); Board Member of Hill House, Inc. (since 1999). Formerly: Trustee of Colgate University (from 1996 to 2005); President of Hill House, Inc. (from 2001 to 2005); and Managing Director/Equity Capital Markets Group of Merrill Lynch & Co. (from 1971 to 1999). Mr. O'Brien serves as co-Chairman of the Board's Nominating Committee. Mr. O'Brien has over 35 years of business experience, including extensive experience in the financial sector. In addition, Mr. O'Brien has served on the boards of public companies and non-profit entities. |
| 2011-08-05 | G. Peter O'Brien Director, Bridges School (since 2006); Trustee Emeritus of Colgate University (since 2005); Board Member of Hill House, Inc. (since 1999). Formerly: Trustee of Colgate University (from 1996 to 2005); President of Hill House, Inc. (from 2001 to 2005); and Managing Director/Equity Capital Markets Group of Merrill Lynch & Co. (from 1971 to 1999). 65 Age Class I Director 2001 2012 Common and Preferred 51 Portfolios overseen TICC Capital Corp. Other Public Company Directorships The current members of the Audit Committee are Patricia W. Chadwick, Richard M. Galkin, Stephen L. Isaacs, Arthur S. Mehlman, David L. Meister and G. Peter O'Brien. |
| 2012-08-06 | G. Peter O'Brien Director, Bridges School (since 2006); Trustee Emeritus of Colgate University (since 2005); Board Member of Hill House, Inc. (since 1999). Formerly: Trustee of Colgate University (from 1996 to 2005); President of Hill House, Inc. (from 2001 to 2005); and Managing Director/Equity Capital Markets Group of Merrill Lynch & Co. (from 1971 to 1999). Mr. O'Brien serves as co-Chairman of the Board's Nominating Committee. |
| 2013-08-02 | G. Peter O'BrienDirector, Bridges School... Age 67, Class I Director, Term expires 2015. Mr. O'Brien serves as co-Chairman of the Board's Nominating Committee and is a member of the Audit Committee. Compensation: $340,000. |
| 2014-08-04 | Mr. O'Brien serves as co-Chairman of the Board's Nominating Committee. The current members of the Audit Committee are Patricia W. Chadwick, Richard M. Galkin, Stephen L. Isaacs, Arthur S. Mehlman, David L. Meister and G. Peter O'Brien. |
| 2015-08-03 | G. Peter O'Brien Director, Bridges School (since 2006); Trustee Emeritus of Colgate University (since 2005). Age 70. Class I Director. Co-Chairman of the Nominating Committee. Member of the Audit Committee. Total Compensation From The Fund and Fund Complex Paid to Directors $429,000. |
| 2016-07-29 | G. Peter O'BrienDirector, Bridges School. Age 71. Class I Director. Chairman of the Nominating Committee. Member of the Audit Committee. Aggregate compensation from the Fund and Fund Complex for 2015 was $430,690. |
| 2017-08-14 | G. Peter O'Brien Director, Bridges School. Mr. O'Brien serves as Chairman of the Board's Nominating Committee and is a member of the Audit Committee. |
| 2018-08-10 | G. Peter O'Brien Director, Bridges School (since 2006); Trustee Emeritus of Colgate University (since 2005); Board Member of Hill House, Inc. (since 1999). Formerly: Trustee of Colgate University (from 1996 to 2005); President of Hill House, Inc. (from 2001 to 2005); Director of TICC Capital Corp. (2003 to 2017); and Managing Director/Equity Capital Markets Group of Merrill Lynch & Co. (from 1971 to 1999). |
| Filing Date | Source Excerpt |
|---|---|
| 2001-08-14 | G. Peter O'Brien 55 Director Nominee Common and Preferred Although the Board of Directors does not have a standing compensation committee or a nominating committee, the Independent Directors review and nominate candidates to serve as Independent Directors. The Independent Directors generally will not consider nominees recommended by stockholders of the Fund. If elected at the Meeting, G. Peter O'Brien will become a member of the Audit Committee. |
| 2002-09-05 | G. Peter O'Brien 56 Director 2001 Common and Preferred; Trustee of Colgate University, Director of Pinnacle Holdings, Inc., President of Hill House, Inc. and Managing Director/Equity Capital Markets Group of Merrill Lynch & Co. (from 1971 to 1999). |
| 2003-08-25 | G. Peter O'Brien 57 Class I Trustee of Colgate University, President of Hill House, Inc. and Managing Director/Equity Capital Markets Group of Merrill Lynch & Co. (from 1971 to 1999). |
| 2004-08-18 | G. Peter O'Brien 58 Class I 2001 2006 Common 21 Director/ Trustee of Colgate Director and Trustee of University, President of Preferred registered Hill House, Inc. and investment Managing Director/Equity companies Capital Markets Group of constituting Merrill Lynch & Co. (from the 23 1971 to 1999). Legg Mason Funds; Director of Renaissance Capital Greenwich Fund; Director of Technology Investment Capital Corp. |
| 2005-08-31 | G. Peter O'Brien, Director 2,900 None None 75,600 |
| 2006-08-23 | G. Peter O'Brien 60 Class I 2001 2006 Common and Preferred Trustee Emeritus of Colgate University (since 2005); Board Member of Hill House, Inc. (since 1999). Formerly: Trustee of Colgate University (from 1996 to 2005); President of Hill House, Inc. (from 2001 to 2005); and Managing Director/Equity Capital Markets Group of Merrill Lynch & Co. (from 1971 to 1999). |
| 2008-08-21 | G. Peter O'Brien, Director $3,600 None None $98,000 $213,000 |
| 2009-08-14 | G. Peter O'Brien, Director, 63, Class I, Director and Preferred, Trustee Emeritus of Colgate University. The current members of the Audit Committee are Richard M. Galkin, Stephen L. Isaacs, William L. Koke, Arthur S. Mehlman, David L. Meister and G. Peter O'Brien. The Board of Directors has a Nominating Committee composed of the six Independent Directors, namely Messrs. Galkin, Isaacs, Koke, Mehlman, Meister and O'Brien. Each Independent Director receives a base fee of $3,000 per year plus $300 for each meeting of the Board of Directors attended. G. Peter O'Brien received $3,850 from the Fund for the year ended December 31, 2008. |
| 2010-08-06 | G. Peter O'Brien - In addition to his tenure as a Director/Trustee of The Royce Funds and of the Legg Mason Family of Funds, Mr. O'Brien serves as co-Chairman of the Board's Nominating Committee. Mr. O'Brien has over 35 years of business experience, including extensive experience in the financial sector. In addition, Mr. O'Brien has served on the boards of public companies and non-profit entities. |
| 2011-08-05 | G. Peter O'Brien Director, Bridges School... Age 65, Class I Director, co-Chairman of Nominating Committee, serves on Audit and Nominating Committees, Total compensation $281,250. |
| 2012-08-06 | G. Peter O'Brien Director, Bridges School (since 2006); Trustee Emeritus of Colgate University (since 2005); Board Member of Hill House, Inc. (since 1999). Formerly: Trustee of Colgate University (from 1996 to 2005); President of Hill House, Inc. (from 2001 to 2005); and Managing Director/Equity Capital Markets Group of Merrill Lynch & Co. (from 1971 to 1999). Age 66, Class I Director, elected 2001, term expires 2012, Common and Preferred, 49 portfolios overseen, Director of TICC Capital Corp. |
| 2013-08-02 | The current members of the Audit Committee are Patricia W. Chadwick, Richard M. Galkin, Stephen L. Isaacs, Arthur S. Mehlman, David L. Meister and G. Peter O'Brien. Mr. Galkin serves as Chairman of the Audit Committee and Ms. Chadwick and Mr. Mehlman have been designated as Audit Committee Financial Experts, as defined under Securities and Exchange Commission ("SEC") regulations. ... Each of the Directors or nominees is a director/trustee of certain other investment companies for which R&A acts as an investment adviser. Each of Ms. Chadwick and Messrs. Galkin, Isaacs, Mehlman, Meister and O'Brien is a member of the Audit Committee of the Board and the Nominating Committee of the Board. ... G. Peter O'Brien Director, Bridges School (since 2006); Trustee Emeritus of Colgate University (since 2005); Board Member of Hill House, Inc. (since 1999). Formerly: Trustee of Colgate University (from 1996 to 2005); President of Hill House, Inc. (from 2001 to 2005); and Managing Director/Equity Capital Markets Group of Merrill Lynch & Co. (from 1971 to 1999). ... Each Independent Director receives a base fee of $6,500 per year plus $300 for each meeting of the Board attended. ... Set forth below is the aggregate compensation paid by the Fund and the total compensation paid by The Royce Funds to each Independent Director of the Fund for the year ended December 31, 2012. ... G. Peter O'Brien, Director, Total Estimated Annual Compensation From the Fund and Royce Funds Paid to Directors $340,000. |
| 2014-08-04 | G. Peter OBrien Director, Bridges School; Trustee Emeritus of Colgate University; Mr. OBrien serves as co-Chairman of the Boards Nominating Committee. Each of Mr. OBrien is a member of the Audit Committee of the Board and the Nominating Committee of the Board. |
| 2015-01-06 | The current members of the Audit Committee are Patricia W. Chadwick, Richard M. Galkin, Stephen L. Isaacs, Arthur S. Mehlman, David L. Meister and G. Peter OBrien. Mr. Mehlman currently serves as Chairman of the Audit Committee. For the year ended December 31, 2013, each Current Independent Director received a base fee of $6,500 per year, plus $300 for each in-person meeting of the Board attended. G. Peter OBrien received $8,000 for the year ended December 31, 2013. |
Data sourced from SEC filings. Last updated: 2025-12-07