SEC Form 3
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
|Estimated average burden|
|hours per response:
1. Name and Address of Reporting Person*
|C/O MANNING & NAPIER, INC.|
|290 WOODCLIFF DRIVE|
2. Date of Event Requiring Statement
3. Issuer Name and Ticker or Trading Symbol
Manning & Napier, Inc.
[ MN ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
||Officer (give title below)
||Other (specify below)
5. If Amendment, Date of Original Filed
6. Individual or Joint/Group Filing (Check Applicable Line)
||Form filed by One Reporting Person
||Form filed by More than One Reporting Person
|Table I - Non-Derivative Securities Beneficially Owned|
|1. Title of Security (Instr.
Amount of Securities Beneficially Owned (Instr.
||3. Ownership Form: Direct (D) or Indirect (I) (Instr.
||4. Nature of Indirect Beneficial Ownership (Instr.
Table II - Derivative Securities Beneficially Owned|
(e.g., puts, calls, warrants, options, convertible securities)
|1. Title of Derivative Security (Instr.
||2. Date Exercisable and Expiration Date
||3. Title and Amount of Securities Underlying Derivative Security (Instr.
||4. Conversion or Exercise Price of Derivative Security
||5. Ownership Form: Direct (D) or Indirect (I) (Instr.
||6. Nature of Indirect Beneficial Ownership (Instr.
||Amount or Number of Shares
|Explanation of Responses:|
|No securities are beneficially owned.|
||/s/ Sarah C Turner, attorney-in-fact
||** Signature of Reporting Person
|Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.|
|* If the form is filed by more than one reporting person,
|** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).|
|Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
Instruction 6 for procedure.|
|Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.|
LIMITED POWER OF ATTORNEY
KNOW BY ALL THESE PRESENTS, that the undersigned hereby constitutes and appoints
Sarah C. Turner, as the undersigneds true and lawful attorney-in-fact, limited
solely to the following purposes, to:
1. execute for and on behalf of the undersigned, in the undersigneds capacity as
an officer and/or director of Manning & Napier, Inc. (the "Company"), (i) Forms
3, 4 and 5 (including any amendments thereto) which may be required to be filed
with the Securities and Exchange Commission (the "SEC") in accordance with
Section 16(a) of the Securities Exchange Act of 1934, as amended, and the rules
"Exchange Act"), (ii)) Schedules 13G and 13D (including any amendments thereto)
which may be required to be filed in accordance with Sections 13(d) and 13(g) of
the Exchange Act, (iii) a Form ID (including any amendments thereto) and any
other documents necessary or appropriate to obtain codes and passwords enabling
the undersigned to make electronic filings with the SEC of reports, with respect
to the undersigneds beneficial ownership of and transactions in reportable
securities, and (iv) any other forms or reports that the undersigned may be
required to file in
connection with the undersigneds ownership, acquisition or disposition of
securities of the Company;
2. do and perform any and all acts for and on behalf of the undersigned, which
may be necessary or desirable to complete and execute any such Forms 3, 4 or 5,
Schedule 13G or 13D, Form ID or any forms necessary to obtain or renew such SEC
access codes, or other form or report, and timely file such form or report with
the SEC and any stock exchange or similar authority; and
3. take any other action of any type whatsoever in connection with the foregoing
which, in the opinion of such attorney-in-fact, may be of benefit to, in the
best interest, or legally required by the undersigned, it being understood that
the documents executed by such attorney-in-fact on behalf of the undersigned
pursuant to this Power of Attorney shall be in such form and shall contain such
terms and conditions as such attorney-in-fact may approve in her discretion.
The undersigned hereby grants to such attorney-in-fact full power and authority
to do and perform all and every act and thing whatsoever requisite, necessary or
proper to be done in the exercise of any of the rights and powers herein
granted, as fully to all intents and purposes as the undersigned might or could
do if personally present, with full power of substitution or revocation, hereby
ratifying and confirming all that such attorney-in-fact, or her substitute or
substitutes, shall lawfully do or cause to be done by virtue of this Power of
Attorney and the rights and powers
herein granted. The undersigned acknowledges that the foregoing
attorney-in-fact, in serving in such capacity at the request of the undersigned,
is not assuming, nor is the company assuming, any of the undersigneds
responsibilities to comply with Section 16 or Section 13 of the Exchange Act.
Photographic copies of this Power of Attorney shall have the same force and
effect as the original. This Power of Attorney shall remain in full force and
effect until the undersigned is no longer required to file Forms 3, 4 and 5 or
Schedules 13D or 13G with respect to the undersigneds beneficial ownership of
and transactions in reportable securities, unless earlier revoked by the
undersigned (a) automatically upon the undersigneds death,(b) automatically upon
the attorney-in-fact being notified of the undersigneds disability, (c)
automatically upon the attorney-in-fact no longer
being a director or officer of the Company, or (d) upon a signed written
revocation delivered to the foregoing attorney-in-fact.
In WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 22nd day of June, 2021.
By: /s/ Lofton Holder