SC 13D/A 1 dsc13da.txt SCHEDULE 13D/A #3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Information to be Included in Statements Filed Pursuant to Rules 13d-1(a) and Amendments thereto Filed Pursuant to Rule 13d-2(a) (Amendment No. 3)* MALLON RESOURCES CORPORATION ------------------------------------------------------------ (Name of issuer) Common Stock, par value $0.01 per share ------------------------------------------------------------ (Title of class of securities) 561240201 --------------------------------------- (CUSIP number) COPY TO: R. G. Barrett J O Hambro Capital Management Limited Ryder Court 14 Ryder Street London SW1Y 6QB, England 011-44-207-747-5640 -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) June 21, 2002 ------------------------------------------------------------- (Dates of Events which Require Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box |_|. Note. Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent. (Continued on following pages) (Page 1 of 23 Pages) ------------------------ *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). ------------------------ ------------------ CUSIP No. 561240201 Page 2 of 23 ------------------------ ------------------ SCHEDULE 13D --------- --------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) J O Hambro Capital Management Limited No IRS Identification Number --------- --------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| --------- --------------------------------------------------------------------- 3. SEC USE ONLY --------- --------------------------------------------------------------------- 4. SOURCE OF FUNDS WC --------- --------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) |_| --------- --------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION England --------------------------- ------ -------------------------------------------- 7. SOLE VOTING POWER NUMBER OF 0 SHARES ------ -------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER OWNED BY 1,777,200 EACH ------ -------------------------------------------- REPORTING 9. SOLE DISPOSITIVE POWER PERSON 0 WITH ------ -------------------------------------------- 10. SHARED DISPOSITIVE POWER 1,777,200 --------------------------- ------ -------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,777,200 --------- --------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES |_| CERTAIN SHARES* --------- --------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 16.5% --------- --------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON * IA, CO --------- --------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! -2- ------------------------ ------------------ CUSIP No. 561240201 Page 3 of 23 ------------------------ ------------------ SCHEDULE 13D --------- --------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) J O Hambro Capital Management Group Limited No IRS Identification Number --------- --------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| --------- --------------------------------------------------------------------- 3. SEC USE ONLY --------- --------------------------------------------------------------------- 4. SOURCE OF FUNDS WC --------- --------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) |_| --------- --------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION England --------------------------- ------ -------------------------------------------- 7. SOLE VOTING POWER NUMBER OF 0 SHARES ------ -------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER OWNED BY 1,777,200 EACH ------ -------------------------------------------- REPORTING 9. SOLE DISPOSITIVE POWER PERSON 0 WITH ------ -------------------------------------------- 10. SHARED DISPOSITIVE POWER 1,777,200 --------------------------- ------ -------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,777,200 --------- --------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES |_| CERTAIN SHARES* --------- --------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 16.5% --------- --------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON * HC, CO --------- --------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! -3- ------------------------ ------------------ CUSIP No. 561240201 Page 4 of 23 ------------------------ ------------------ SCHEDULE 13D --------- --------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) American Opportunity Trust plc No IRS Identification Number --------- --------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| --------- --------------------------------------------------------------------- 3. SEC USE ONLY --------- --------------------------------------------------------------------- 4. SOURCE OF FUNDS WC --------- --------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) |_| --------- --------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION England --------------------------- ------ -------------------------------------------- 7. SOLE VOTING POWER NUMBER OF 0 SHARES ------ -------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER OWNED BY 400,000 EACH ------ -------------------------------------------- REPORTING 9. SOLE DISPOSITIVE POWER PERSON 0 WITH ------ -------------------------------------------- 10. SHARED DISPOSITIVE POWER 400,000 --------------------------- ------ -------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 400,000 --------- --------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES |_| CERTAIN SHARES* --------- --------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 3.7% --------- --------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON * IV, CO --------- --------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! -4- ------------------------ ------------------ CUSIP No. 561240201 Page 5 of 23 ------------------------ ------------------ SCHEDULE 13D --------- --------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Christopher Harwood Bernard Mills No IRS Identification Number --------- --------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| --------- --------------------------------------------------------------------- 3. SEC USE ONLY --------- --------------------------------------------------------------------- 4. SOURCE OF FUNDS WC --------- --------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) |_| --------- --------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION England --------------------------- ------ -------------------------------------------- 7. SOLE VOTING POWER NUMBER OF 0 SHARES ------ -------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER OWNED BY 1,777,200 EACH ------ -------------------------------------------- REPORTING 9. SOLE DISPOSITIVE POWER PERSON 0 WITH ------ -------------------------------------------- 10. SHARED DISPOSITIVE POWER 1,777,200 --------------------------- ------ -------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,777,200 --------- --------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES |_| CERTAIN SHARES* --------- --------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 16.5% --------- --------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON * IN --------- --------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! -5- ------------------------ ------------------ CUSIP No. 561240201 Page 6 of 23 ------------------------ ------------------ SCHEDULE 13D --------- --------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) The Trident North Atlantic Fund No IRS Identification Number --------- --------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| --------- --------------------------------------------------------------------- 3. SEC USE ONLY --------- --------------------------------------------------------------------- 4. SOURCE OF FUNDS WC --------- --------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) |_| --------- --------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands --------------------------- ------ -------------------------------------------- 7. SOLE VOTING POWER NUMBER OF 0 SHARES ------ -------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER OWNED BY 866,000 EACH ------ -------------------------------------------- REPORTING 9. SOLE DISPOSITIVE POWER PERSON 0 WITH ------ -------------------------------------------- 10. SHARED DISPOSITIVE POWER 866,000 --------------------------- ------ -------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 866,000 --------- --------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES |_| CERTAIN SHARES* --------- --------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 8.0% --------- --------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON * IV, CO --------- --------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! -6- AMENDMENT NO. 3 TO STATEMENT ON SCHEDULE 13D This Amendment No. 3 to the Statement on Schedule 13D (the "Amendment") is filed on behalf of the Filing Parties (defined below). This Amendment amends the Amendment No. 2 on Schedule 13D filed by the Filing Parties with the Securities and Exchange Commission (the "SEC") on July 2, 2001 pursuant to a joint filing agreement dated as of June 11, 2001. The Filing Parties first filed with the SEC a statement on Schedule 13D with respect to the common stock, par value $0.01 per share of Mallon Resources Corporation on June 11, 2001. The initial statement was subsequently amended on June 22, 2001 and July 2, 2001. Item 1. Security Issuer. The class of equity securities to which this Amendment relates is the common stock, par value $0.01 per share (the "Common Stock") of Mallon Resources Corporation, a Colorado corporation (the "Company"). The principal executive offices of the Company are located at 999 18th Street, Suite 1700, Denver, Colorado 80202. Item 2. Identity and Background. 2 (a-c,f). I. Filing Parties: This Amendment is filed on behalf of the following five persons, who are collectively referred to as the "Filing Parties": 1. J O Hambro Capital Management Group Limited ("J O Hambro Group"), formerly named J O Hambro Capital Management (Holdings) Limited, is a corporation organized under the laws of England with its principal office and business at Ryder Court, 14 Ryder Street, London SW1Y 6QB England. J O Hambro Group functions as the ultimate holding company for J O Hambro Capital Management Limited. 2. J O Hambro Capital Management Limited ("J O Hambro Capital Management"), formerly named J O Hambro & Partners Limited, is a corporation organized under the laws of England with its principal office and business at Ryder Court, 14 Ryder Street, London SW1Y 6QB England. J O Hambro Capital Management is principally engaged in the business of investment management and advising. It serves as co-investment adviser to North Atlantic Smaller Companies Investment Trust plc ("NASCIT") and American Opportunity Trust plc ("American Opportunity Trust") and as investment adviser to Oryx International Growth Fund Limited ("Oryx"), The Trident North Atlantic Fund ("Trident North Atlantic") and The Trident European Fund ("Trident European"), as well as to private clients. 3. Christopher Harwood Bernard Mills is a British citizen whose business address is Ryder Court, 14 Ryder Street, London SW1Y 6QB England. His principal employment Page 7 of 23 includes service as executive director of NASCIT and American Opportunity Trust, as a director of J O Hambro Group, J O Hambro Capital Management, Trident North Atlantic, and Oryx, and as co-investment adviser to NASCIT and American Opportunity Trust. 4. American Opportunity Trust, formerly named Leveraged Opportunity Trust plc, is a corporation organized under the laws of England with its principal office and business at Ryder Court, 14 Ryder Street, London SW1Y 6QB England. American Opportunity Trust is a publicly-held investment trust company. Christopher Harwood Bernard Mills and J O Hambro Capital Management serve as co-investment advisers to American Opportunity Trust. 5. Trident North Atlantic is an open-ended investment company incorporated in the Cayman Islands with its principal office and business at P.O. Box 309, Ugland House, George Town, Grand Cayman, Cayman Islands. Trident North Atlantic is a publicly-held regulated mutual fund. Christopher Harwood Bernard Mills serves as a director of Trident North Atlantic and J O Hambro Capital Management serves as an investment adviser to Trident North Atlantic. II. Control Relationships: J O Hambro Capital Management is a wholly-owned subsidiary of J O Hambro Group. Christopher Harwood Bernard Mills serves as a director of J O Hambro Group, J O Hambro Capital Management and Trident North Atlantic, and as executive director of NASCIT and American Opportunity Trust. III. Executive Officers and Directors: In accordance with the provisions of General Instruction C to Schedule 13D, information concerning the executive officers and directors of the Filing Parties is included in Schedule A hereto and is incorporated by reference herein. (d) Criminal Proceedings During the last five years, neither the Filing Parties (or a controlling entity thereof) nor any executive officer or director of any of the Filing Parties (or a controlling entity thereof) has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). (e) Civil Securities Law Proceedings During the last five years, neither the Filing Parties (or a controlling entity thereof) nor any executive officer or director of any of the Filing Parties (or a controlling entity thereof) has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. Page 8 of 23 Item 3. Source and Amount of Funds or Other Consideration. The Filing Parties used their working capital funds to purchase the shares of Common Stock of the Company to which this Amendment relates. The amount of funds used to date to acquire the Common Stock is approximately $9,567,436 (exclusive of brokerage fees and commissions). Item 4. Purpose of Transaction. The Filing Parties acquired their holdings of the Common Stock because they believe that the Common Stock represented a favorable investment opportunity. The Filing Parties believe that the current market valuation of the Common Stock does not fully reflect the inherent value of the Company's business. Furthermore, the Filing Parties have come to believe that the Board of Directors (the "Board") should consider thoroughly, potential opportunities to enhance shareholder value through, among other options, a business combination or sale of the company or its assets. The Filing Parties have no present intention, plans or proposals to change the existing senior management or the Board of the Company, or to effect, among other things, a business combination or sale of the Company or its assets. The Filing Parties will, from time to time, revisit the purpose of their investment in the Company. If, in the estimation of the Filing Parties, the divergence between the market valuation of the Common Stock and the inherent value of the Company's business persists, the Filing Parties may take such action as they believe is necessary to effectuate an extraordinary corporate transaction, such as a merger, asset sale or reorganization of the Company. Accordingly, future acquisitions of the Company's Common Stock may be for the purpose of, among other things, effecting an extraordinary corporate transaction, such as a merger, asset sale or reorganization of the Company. Page 9 of 23 Item 5. Interest in Securities of the Issuer. (a)-(b) The aggregate number and percentage of the outstanding Common Stock of the Company beneficially owned (i) by each of the Filing Parties, and (ii) to the knowledge of the Filing Parties, by each other person who may be deemed to be a member of the group, is as follows:

* Based on 10,779,718 shares of Common Stock, par value $0.01 per share, outstanding as of November 7, 2002, which is based on information reported in the Company's 10Q, for the period ended September 30, 2002. (c) In the time since Amendment No. 2 on Schedule 13D was filed by the Filing Parties on July 2, 2001, the Filing Parties effected no transactions in the Common Stock other than those set forth in the following table: Page 10 of 23

All of the above transactions were effected on the open market and were purchases. (d) The private clients of J O Hambro Capital Management have an economic interest in the dividends from, and the proceeds of sales of, the Common Stock beneficially owned by J O Hambro Capital Management. The shareholders of NASCIT and American Opportunity Trust have an economic interest in the dividends from, and the proceeds of sales of, the Common Stock beneficially owned by NASCIT and American Opportunity Trust, respectively. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. As co-investment advisers to American Opportunity Trust, Christopher Harwood Bernard Mills and J O Hambro Capital Management share the right to transfer and vote the shares of the Common Stock of the Company pursuant to an agreement dated as of January 7, 1993 between American Opportunity Trust and J O Hambro Capital Management. Item 7. Material to be Filed as Exhibits. Previously Filed. Page 11 of 23 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 5, 2003 J O HAMBRO CAPITAL MANAGEMENT LIMITED By: /s/ R. G. Barrett -------------------------------------- Name: R. G. Barrett Title: Director Executed on behalf of the parties hereto pursuant to the Joint Filing Agreement, as previously filed. Page 12 of 23 Schedule A Information Concerning Directors and Executive Officers of the Filing Parties. The following table sets forth certain information concerning each of the directors and executive officers of J O Hambro Capital Management Group Limited ("J O Hambro Group") as of the date hereof. Name: James Daryl Hambro (Chairman) Citizenship: British Business Address: J O Hambro Capital Management Limited Ryder Court 14 Ryder Street London SW1Y 6QB England Principal Occupation: Chairman, J O Hambro Capital Management Name: Christopher Harwood Bernard Mills (Director) Citizenship: British Business Address: J O Hambro Capital Management Limited Ryder Court 14 Ryder Street London SW1Y 6QB England Principal Occupation: Executive Director, NASCIT Executive Director, American Opportunity Trust Director, J O Hambro Capital Management Name: Nichola Pease (Director and Chief Executive) Citizenship: British Business Address: J O Hambro Capital Management Limited Ryder Court 14 Ryder Street London SW1Y 6QB England Principal Occupation: Director and Chief Executive, J O Hambro Capital Management Page 13 of 23 Name: Basil Postan (Director) Citizenship: British Business Address: J O Hambro Capital Management Limited Ryder Court 14 Ryder Street London SW1Y 6QB England Principal Occupation: Director, J O Hambro Capital Management Name: Malcolm Robert King (Director) Citizenship: British Business Address: J O Hambro Capital Management Limited Ryder Court 14 Ryder Street London SW1Y 6QB England Principal Occupation: Director, J O Hambro Capital Management Name: Graham Warner (Director) Citizenship: British Business Address: J O Hambro Capital Management Limited Ryder Court 14 Ryder Street London SW1Y 6QB England Principal Occupation: Director, J O Hambro Capital Management Name: Robert George Barrett (Director) Citizenship: British Business Address: J O Hambro Capital Management Limited Ryder Court 14 Ryder Street London SW1Y 6QB England Principal Occupation: Director, J O Hambro Capital Management Page 14 of 23 Name: Nicholas James Measham (Director) Citizenship: British Business Address: J O Hambro Capital Management Limited Ryder Court 14 Ryder Street London SW1Y 6QB England Principal Occupation: Director, J O Hambro Capital Management Name: Willem Vinke (Director) Citizenship: Dutch Business Address: J O Hambro Capital Management Limited Ryder Court 14 Ryder Street London SW1Y 6QB England Principal Occupation: Director, J O Hambro Capital Management Page 15 of 23 The following table sets forth certain information concerning each of the directors and executive officers of J O Hambro Capital Management Limited ("J O Hambro Capital Management") as of the date hereof. Name: James Daryl Hambro (Managing Director) Citizenship: British Business Address: J O Hambro Capital Management Limited Ryder Court 14 Ryder Street London SW1Y 6QB England Principal Occupation: Managing Director, J O Hambro Capital Management Name: Christopher Harwood Bernard Mills (Director) Citizenship: British Business Address: J O Hambro Capital Management Limited Ryder Court 14 Ryder Street London SW1Y 6QB England Principal Occupation: Executive Director, NASCIT Executive Director, American Opportunity Trust Director, J O Hambro Capital Management Name: Malcolm Robert King (Director) Citizenship: British Business Address: J O Hambro Capital Management Limited Ryder Court 14 Ryder Street London SW1Y 6QB England Principal Occupation: Director, J O Hambro Capital Management Page 16 of 23 Name: Nichola Pease (Director) Citizenship: British Business Address: J O Hambro Capital Management Limited Ryder Court 14 Ryder Street London SW1Y 6QB England Principal Occupation: Director and Chief Executive, J O Hambro Capital Management Name: Basil Postan (Director) Citizenship: British Business Address: J O Hambro Capital Management Limited Ryder Court 14 Ryder Street London SW1Y 6QB England Principal Occupation: Director, J O Hambro Capital Management Name: Robert George Barrett (Director) Citizenship: British Business Address: J O Hambro Capital Management Limited Ryder Court 14 Ryder Street London SW1Y 6QB England Principal Occupation: Director, J O Hambro Capital Management Name: Nicholas James Measham (Director) Citizenship: British Business Address: J O Hambro Capital Management Limited Ryder Court 14 Ryder Street London SW1Y 6QB England Principal Occupation: Director, J O Hambro Capital Management Page 17 of 23 Name: Willem Vinke (Director) Citizenship: Dutch Business Address: J O Hambro Capital Management Limited Ryder Court 14 Ryder Street London SW1Y 6QB England Principal Occupation: Director, J O Hambro Capital Management Page 18 of 23 The following table sets forth certain information concerning each of the directors and executive officers of American Opportunity Trust plc ("American Opportunity Trust") as of the date hereof. Name: R. Alexander Hammond-Chambers (Chairman) Citizenship: British Business Address: 29 Rutland Square Edinburgh EH1 2BW Scotland Principal Occupation: Non-executive director Name: Christopher Harwood Bernard Mills (Executive Director) Citizenship: British Business Address: Ryder Court 14 Ryder Street London SW1Y 6QB England Principal Occupation: Executive Director, American Opportunity Trust Executive Director, NASCIT Director, J O Hambro Capital Management Name: John Gildea (Director) Citizenship: USA Business Address: Gildea Management Company/1/ 537 Steamboat Road Greenwich, Connecticut 06830 Principal Occupation: Managing Director, Gildea Management Company ------------------------------ 1 Gildea Management Company is principally engaged in the investment management business. Page 19 of 23 Name: The Hon. James J. Nelson (Director) Citizenship: British Business Address: Foreign & Colonial Ventures/2/ 4th Floor Berkeley Square House Berkeley Square London W1X 5PA England Principal Occupation: Director, Foreign & Colonial Ventures Name: Iain Tulloch (Director) Citizenship: British Business Address: Murray Johnstone Ltd./3/ 7 West Nile Street Glasgow G2 2PX Scotland Principal Occupation: Director, Murray Johnstone Ltd. Name: Philip Ehrman (Director) Citizenship: British Business Address: Gartmore Investment Management Ltd./4/ Gartmore House 16-18 Monument Street London EC3R 8AJ England Principal Occupation: Investment Manager, Gartmore Investment Management Ltd. ------------------------------ 2 Foreign & Colonial Ventures is principally engaged in the investment management business. 3 Murray Johnstone Ltd. is principally engaged in the investment management business. 4 Gartmore Investment Management Limited is principally engaged in the investment management business. Page 20 of 23 Name: Rupert Arthur Rees Evans (Director) Citizenship: British Business Address: P.O. Box 186 1 Le Marchant Street St. Peter Port Guernsey Channel Islands Principal Occupation: Guernsey Advocate Partner, Ozanne van Leuven Perrot & Evans Page 21 of 23 The following table sets forth certain information concerning each of the directors and executive officers of The Trident North Atlantic Fund ("Trident North Atlantic") as of the date hereof. Name: Basil Postan (Director) Citizenship: British Business Address: J O Hambro Capital Management Limited Ryder Court 14 Ryder Street London SW1Y 6QB England Principal Occupation: Director, J O Hambro Capital Management Partner, RSM Robson Rhodes Name: Christopher Harwood Bernard Mills (Director) Citizenship: British Business Address: J O Hambro Capital Management Limited Ryder Court 14 Ryder Street London SW1Y 6QB England Principal Occupation: Executive Director, NASCIT Executive Director, American Opportunity Trust Director, J O Hambro Capital Management Name: David Sargison (Director) Citizenship: British Business Address: Caledonian Bank & Trust Limited Caledonian House George Town, Grand Cayman Cayman Islands Principal Occupation: Managing Director, Caledonian Bank & Trust Limited Page 22 of 23 Name: John Gildea (Director) Citizenship: USA Business Address: Gildea Management Company P.O. Box 98 New Canaan, Connecticut 06840 USA Principal Occupation: Managing Director, Gildea Management Company Page 23 of 23

J O HAMBRO CAPITAL MANAGEMENT LTD SC 13D/A