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Nicholas Financial Inc (NICK.OQ)

NICK.OQ on NASDAQ Stock Exchange Global Select Market

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Summary

Name Age Since Current Position

Robin Hastings

63 2017 Chairman of the Board

Jeremy Zhu

44 Founder

Katie MacGillivary

38 2014 Chief Financial Officer, Vice President - Finance, Corporate Secretary

Kevin Bates

47 2014 Senior Vice President - Branch Operations, Director

Adam Peterson

35 2017 Director

Jeffrey Royal

2017 Director

Biographies

Name Description

Robin Hastings

Mr. Robin J. Hastings serves as Chairman of the Board of the Company. Mr. Hastings has served as a director of the Company since August 2015. Until March 2016, Mr. Hastings was the Chief Operating Officer of United Ocean Services (UOS), a subsidiary of International Shipholding Corporation, a New York Stock Exchange-listed company. UOS is a U.S. flag shipping company with primary operations in the Gulf of Mexico. Until his retirement, he worked in various capacities for UOS under different ownership, for 28 years. Prior to becoming a director of the Company, Mr. Hastings worked for National Gypsum Company, American Shipbuilding Company and TECO Transport & Trade. Mr. Hastings began his career in the financial arena of TECO Transport & Trade in 1987. He was promoted to Assistant Controller of TECO Transport & Trade before it was purchased by investors and renamed United Maritime Group (UMG) in 2008. Mr. Hastings held the positions of Controller, Vice President of Commercial Operations and Logistics, and ultimately Chief Operating Officer of United Ocean Services and remained as COO when International Shipholding purchased UOS in 2012. Mr. Hasting received both his Bachelor’s degree in Accounting and Finance and his Master’s degree in Business Administration from the University of South Florida (USF) in Tampa, Florida.

Jeremy Zhu

Mr. Jeremy Q. Zhu is the founder of the company. Mr. Jeremy Q. Zhu is the founder, and since December 2016 has been serving as Managing Director, of Sepulveda Management, LLC (“TCW Sepulveda”), previously known as Wedbush Opportunity Capital, LLC (“Wedbush”). TCW Sepulveda is an investment management company and SEC-registered investment adviser affiliated with the TCW Group, Inc. Between June 2007 and December 2016, Mr. Zhu served as the Managing Director and Senior Vice President of Wedbush, focusing on strategic growth initiatives, investments and acquisitions. Prior to joining Wedbush in 2003, Mr. Zhu worked at Lehman Brothers Venture Capital Group and CSC Kalchas Group, a strategy consultancy with numerous multinational corporations as clients. Mr. Zhu is currently a board member of Community 1st Bancorp and CalWest Bancorp, two OTC companies. Mr. Zhu received his Master’s in Engineering at Princeton University and a Bachelor of Science in Engineering at Cornell University. The Board believes that Mr. Zhu brings a unique combination of leadership, financial and business analytical experience to the Board due to his extensive involvement within the financial industry and his service as a board member with several banking institutions. This led to the conclusion that he should serve as a director of our Company.

Katie MacGillivary

Ms. Katie L. MacGillivary is Chief Financial Officer, Vice President - Finance, Corporate Secretary of the Company. She joined the Company as Controller in April 2010 and has also served as Vice President – Finance since May 2012. Prior to joining the Company, Ms. MacGillivary served as the controller for Harden & Associates, an insurance and risk management provider in Jacksonville, Florida, from January 2009 to April 2010. Prior to 2009, she held several accounting positions with TECO Energy, Inc. in Tampa, Florida, and worked as an auditor at Ernst & Young LLP. Ms. MacGillivary received her B.S. degree in Accounting from the University of Central Florida in 2001 and her M.B.A. degree from the University of Florida in 2008. She is a Certified Public Accountant licensed to practice in the State of Florida.

Kevin Bates

Mr. Kevin D. Bates is Senior Vice President - Branch Operations, Director of the Company. Mr. Bates was elected as a director of the Company on July 1, 2014 and has served as Senior Vice President – Branch Operations of the Company since May 31, 2014. He has been employed by the Company in various capacities since April 1, 1997, most recently as Vice President of Marketing from June 2011 through May 2014 and Regional Vice President from April 2009 through May 2014. During his more than 18-year tenure with the Company, Mr. Bates also previously served as Branch Manager and Regional Director of the Company. Mr. Bates received his B.S. degree in Business Management from St. Bonaventure University in 1993.

Adam Peterson

Mr. Adam K. Peterson serves as Director of the company. Adam K. Peterson serves as Co-Chairperson and Co-CEO of Boston Omaha Corporation, a NASDAQ-listed company. Since June 2014, Mr. Peterson has served as the Manager of The Magnolia Group, LLC “Magnolia Group”), an SEC-registered investment adviser and the general partner of Magnolia Capital Fund, LP. (“Magnolia Capital”). Magnolia Group also manages a private real estate fund. As of the record date, Magnolia Capital was the holder of approximately 18.1% of the Company’s Voting Common Shares. Between November 2005 and June 2014, Mr. Peterson served as the Chief Investment Officer of Magnolia Capital Partners, LLC and related entities at a private family investment office, and from May 2004 through June 2006, he was a financial analyst for Peter Kiewit Sons, Inc. Mr. Peterson graduated with a BSBA with a concentration in Finance from Creighton University. The Board believes that Mr. Peterson provides the Board with financial and business analytical experience as an investor who regularly scrutinizes public companies. This led to the conclusion that he should serve as a director of our Company.

Jeffrey Royal

Mr. Jeffrey Royal serves as Director of the company. He is President of Dundee Bank located in Omaha, NE,

Basic Compensation

Name Fiscal Year Total

Robin Hastings

--

Jeremy Zhu

--

Katie MacGillivary

281,717

Kevin Bates

376,196

Adam Peterson

--

Jeffrey Royal

--
As Of  31 Mar 2017

Options Compensation