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KCG Holdings Inc (KCG)

KCG on New York Consolidated

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9 Dec 2016
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Summary

Name Age Since Current Position

Charles Haldeman

67 2013 Non-Executive Independent Chairman of the Board

Daniel Coleman

50 2013 Chief Executive Officer, Director

Steffen Parratt

52 2015 Chief Financial Officer

Philip Allison

39 2014 Chief Executive Officer of KCG Europe Limited

Nick Ogurtsov

37 2013 Chief Operating Officer, Chief Risk Officer

Jonathan Ross

46 2013 Chief Technology Officer

Sean Galvin

49 2015 Chief Accounting Officer

John McCarthy

51 2013 General Counsel, Corporate Secretary

Ryan Primmer

45 2014 Global Head of Quantitative and Systematic Trading

Greg Tusar

46 2013 Head - Global Execution Services and Platforms

Debra Chrapaty

2015 Independent Director

Rene Kern

52 2013 Independent Director

James Milde

54 2005 Independent Director

John Morris

66 2013 Independent Director

Alastair Rampell

2015 Independent Director

Daniel Schmitt

63 2012 Independent Director

Laurie Shahon

64 2006 Independent Director

Jonathan Mairs

2013 Managing Director

Biographies

Name Description

Charles Haldeman

Mr. Charles E. Haldeman, Jr., is Non-Executive Chairman of the Board of Directors of KCG, served as Chief Executive Officer of the Federal Home Loan Mortgage Corporation (“Freddie Mac”) from June 2009 until his retirement in 2012. Prior to Freddie Mac, Mr. Haldeman joined Putnam Investments in 2002, a Boston-based mutual fund company, where he went on to become President, CEO and Chairman. Prior to his tenure at Putnam, Mr. Haldeman held several executive positions in the asset management industry, including CEO of Delaware Investments in Philadelphia and President and Chief Operating Officer of United Asset Management Corporation (“UAM”). He began his career at the investment firm Cooke and Bieler Inc., an affiliate of UAM, where he helped grow assets under management from $250 million to approximately $5.5 billion during his 25-year career with the firm. He is currently a Non-Executive Director of McGraw Hill Financial, Inc. serving on its Audit Committee and Compensation and Leadership Development Committee, and will become Chairman of the Board of McGraw Hill Financial, Inc. in April 2015. From 2007 through 2010, he was Chairman of the Board of Trustees of Dartmouth College and has also served as a member of the Board of Overseers for Dartmouth’s Tuck School of Business. Mr. Haldeman also formerly served on the Board of Governors of the Investment Company Institute and the Investment Counsel Association of America. Mr. Haldeman has a degree in economics from Dartmouth, a J.D. from Harvard Law School and an M.B.A. from Harvard Business School, where he was a Baker Scholar. He also holds a Chartered Financial Analyst (CFA) designation. .

Daniel Coleman

Mr. Daniel B. Coleman is Chief Executive Officer, Director of Company. Director and CEO of KCG, served as the CEO of GETCO beginning in February 2012 and also served as a director on GETCO’s board of directors. Mr. Coleman has more than 25 years of experience in the trading and financial services industry. Prior to becoming CEO of GETCO, Mr. Coleman was the Global Head of Equities and Global Head of Client Services at GETCO for two years. As Global Head of Equities, Mr. Coleman led initiatives to enhance GETCO’s core market making business. As Global Head of Client Services, Mr. Coleman oversaw the expansion of GETCO’s product offerings in the U.S. and abroad. Mr. Coleman spent 24 years with UBS and its predecessor firms, where he served as Global Head of Equities and was a member of the Investment Bank’s Executive Committee and the Group Managing Board, before joining GETCO. Mr. Coleman also served on the boards of NASDAQ, the Options Clearing Corporation and the Boston Options Exchange. Mr. Coleman began his career at O’Connor & Associates, a market-making firm focused on equity options. He received a B.A. from Yale University in 1986 and an M.B.A. from the University of Chicago in 1993.

Steffen Parratt

Mr. Steffen W. Parratt is Chief Financial Officer of the Company. He was Managing Director and Head of Strategic Planning and Analysis, Global Wealth and Investment Management Finance for Bank of America Merrill Lynch. Prior to joining Bank of America Merrill Lynch in 2010, Mr. Parratt spent more than a decade at Citigroup Inc. in a number of roles including Managing Director and Global Staff Functions Task Leader, Reengineering and Productivity Group. Most recently, Mr. Parratt was an entrepreneur, launching ventures in finance, management, and strategy with a focus on developing software to realize operational effectiveness and efficiencies.

Philip Allison

Philip Allison is Chief Executive Officer of KCG Europe Limited Subsidiary of Company. He leads the operations and strategic direction for KCG’s agency-execution and market-making businesses in Europe. Previously, Mr. Allison spent 17 years at UBS Group AG, most recently as Global Head of Cash Equities and EMEA Head of Equities, responsible for operations across more than 30 countries. Mr. Allison began his career at UBS in 1997 trading derivatives and index arbitrage strategies in the UK and, later, ETFs in the U.S. In 2002, Mr. Allison became responsible for global statistical proprietary trading and client algorithmic trading in Europe. Mr. Allison expanded his responsibilities in 2006 to include automated market making and statistical model development for global cash equities. UBS appointed Mr. Allison the Head of European Client Trading and Execution in 2008, responsible for cash, sales, portfolio and electronic trading in the region. In 2010 he became Global Head of Cash Equities, and additionally in March 2012, EMEA Head of Equities, serving on the boards of UBS Ltd and the Association for Financial Markets in Europe. Mr. Allison has a degree in mathematics from Cambridge University.

Nick Ogurtsov

Mr. Nick Ogurtsov serves as Chief Operating Officer, Chief Risk Officer of Company. He has more than 16 years of experience in leadership and financial markets. As Chief Operating Officer, he is responsible for overseeing KCG’s operations, clearing, middle office, real estate, administration and other functions. As Chief Risk Officer, he is responsible for managing KCG’s strategic and operational risk management framework. Previously, Mr. Ogurtsov was the Chief Risk Officer of GETCO. Prior to joining GETCO in 2012, Mr. Ogurtsov spent most of his career at UBS and predecessor companies, most recently as Managing Director and Global Head of EMM Group, a high-frequency electronic trading group with a global team across New York, London and Tokyo. He was also Chairman of the Asia-Pacific Cash Equities Operating Committee and Member of the Cash Equities Managing Board at UBS, where he oversaw the rebuilding of UBS’s cash equities technology in Asia-Pacific region. He began his career at SBC Warburg (subsequently merged into UBS) as a convertible bonds trader and later co-headed the equity-linked structured products team. Mr. Ogurtsov received a B.S. in Physics and Computer Science from Beloit College in 1995 and a Master’s degree in Computer Science from the University of Arizona in 1997.

Jonathan Ross

Mr. Jonathan Ross serves as Chief Technology Officer of Company. He has more than 13 years of experience in financial technology and leadership. Previously, Mr. Ross was Chief Technology Officer of GETCO, which he joined in 2007. Prior to becoming Chief Technology Officer, he was head of GETCO Execution Services in Europe, where he oversaw order management, execution and technology solutions for European clients. Mr. Ross is a member of the European Securities and Markets Authority’s Secondary Markets Standing Committee Consultative Group. Prior to joining GETCO, Mr. Ross was the Chief Technology Officer of the NASDAQ Stock Market (“NASDAQ”) following its acquisition of Inet ATS in December of 2005. While at NASDAQ, Mr. Ross led the “Single Book” integration of INET, Brut and NASDAQ’s SuperMontage into a single platform and oversaw NASDAQ’s initial implementation of Regulation NMS. Prior to his position at NASDAQ, Mr. Ross was the Chief Technology Officer of Inet ATS, Inc., where he also previously served as First Vice President of Technology, in charge of development and maintenance of INET’s core trading platform. He held the same position at the Island ECN, which was acquired by Instinet Group Inc. in 2002. Mr. Ross also has more than 15 years of experience in the software and technology industries.

Sean Galvin

John McCarthy

John A. McCarthy is General Counsel, Corporate Secretary of Company. since the closing of the Mergers, focuses on a broad range of global corporate and regulatory matters for KCG. Previously, Mr. McCarthy was General Counsel of GETCO, which he joined in 2006. Prior to 2006, Mr. McCarthy served as associate director at the Securities and Exchange Commission, where he led the Office of Compliance Inspections and Examinations in the Market Oversight unit, which was responsible for regulatory oversight of trading on stock and options exchanges. Prior to his position with the SEC, Mr. McCarthy clerked for the Court of Special Appeals of Maryland. Mr. McCarthy earned a B.S. in Engineering and an A.B. in Economics from the University of Michigan in 1986, an M.Sc. in Finance from the London School of Economics in 1988 and a J.D. with Honors from the University of Maryland in 1991. .

Ryan Primmer

Ryan Primmer is Global Head of Quantitative and Systematic Trading of Company and previously Global Head of Fixed Income, Foreign Exchange and Commodities Trading from August 2013, has over 20 years of experience in the financial services industry. Prior to joining KCG, Mr. Primmer spent more than 21 years at UBS and its predecessor firms. He began his career in 1991 at derivatives firm O’Connor and Associates in Chicago, Illinois, working as an options trader and market maker. Mr. Primmer transitioned to trading convertible bonds and eventually spent time in London and New York where he was co-head of trading for the convertible bond desk. From 1999 to 2004, he led the expansion of the U.S. program and quantitative trading business. From 2004 to 2008, Mr. Primmer was UBS’s head of trading for U.S. equities until he was appointed during the financial crisis to lead the efforts to dissolve the company’s mortgage asset portfolios and help establish and lead the UBS’s fund management team for StabFund. From 2009 to 2012, Mr. Primmer was Global Head of Equities Proprietary Trading at UBS, overseeing fundamental and statistical strategies. Just prior to joining KCG, he was Global Head of Equities Trading at UBS. Mr. Primmer received a B.A. in Economics from Lawrence University in 1991.

Greg Tusar

Mr. Greg Tusar is Head - Global Execution Services and Platforms of KCG Holdings Inc. He is responsible for KCG’s sales, products and platforms globally. Mr. Tusar joined KCG in August 2013 from Goldman Sachs, where he spent 13 years, most recently as a partner and global head of the firm’s equities electronic trading business. Mr. Tusar helped Goldman Sachs expand its electronic trading franchise. Mr. Tusar was previously a limited partner at Spear, Leeds and Kellogg (“SLK”), when Goldman Sachs acquired the firm in 2000. He also worked for seven years at TLW Securities, most recently as its CEO, before it was acquired by SLK in 1999. He began his career at Mentor Graphics, an electronic design automation firm.

Debra Chrapaty

Ms. Debra J. Chrapaty is Independent Director of KCG Holdings, Inc. Debra Chrapaty has served as Chief Operating Officer of Declara, a personal learning technology company, since 2013. Previously, Ms. Chrapaty was Chairman and Chief Executive Officer of Nirvanix and Senior Vice President and Chief Information Officer at Zynga, Inc. from 2011 to 2013. Prior to that, Ms. Chrapaty served as Senior Vice President, Collaboration Software Group at Cisco Systems from 2009 to 2011 and Corporate Vice President, Global Foundation Services at Microsoft Corporation from 2003 to 2009. She was Senior Vice President of Organic, Inc. from 2001 to 2003 and President and Chief Operating Officer of AllBusiness, Inc. (formerly Bigvine) from 2000 to 2001. Ms. Chrapaty was President and Chief Operating Officer of E*Trade Technologies from 1997 to 2000, Chief Technology Officer at the National Basketball Association from 1994 to 1997, Senior Director, Internal Systems Consulting at Bertelsmann A.G. from 1992 to 1994, and Director, Label Systems Development at EMI Records Group, Inc. from 1990 to 1992. She began her career at the Federal Reserve Bank of New York, where she spent five years as an analyst. Ms. Chrapaty received a B.B.A. in Economics from Temple University in 1983 and an M.B.A. in Information Systems from New York University in 1992.

Rene Kern

Rene M. Kern is Independent Director of Company. He Director of KCG, served as a director of GETCO since 2007. Mr. Kern is a Managing Director at General Atlantic, which he joined in 1996. He is responsible for the firm’s capital partnering efforts and chairs General Atlantic’s Capital Committee, where he led the firm’s Financial Services sector, serving on the boards of RiskMetrics Group as a Director and NYMEX Holdings as an observer. Mr. Kern is also a member of the firm’s Executive, Investment and Portfolio Committees. Mr. Kern previously chaired General Atlantic’s Portfolio Committee, which is responsible for monitoring portfolio company performance. He is currently a director of tradeMONSTER/OptionsHouse and amedes Group in Germany. Mr. Kern joined General Atlantic after six years with Morgan Stanley in New York and London, where he was a Vice President in the Investment Banking Division. Prior to Morgan Stanley, Mr. Kern was a management consultant with Bain & Company. Mr. Kern is a graduate of the University of Pennsylvania, where he obtained both an M.B.A. from the Wharton School and an M.A. from the School of Arts and Sciences in 1990. He is a fellow of the Lauder Institute International M.B.A. program and currently serves on Lauder’s Advisory Council. Mr. Kern received his Bachelors of Science degree from the University of California, Berkeley in 1986. He is a member of University of California Berkeley’s Metro New York Committee. Mr. Kern is also a member of the Board of Trustees of Greenwich Academy.

James Milde

Mr. James T. Milde serves as Independent Director of Company. Director of KCG, served on the Knight Board of Directors (the “Knight Board”) since May 2005. Mr. Milde has over 30 years of broad corporate experience. He is currently President of Summit Advisors, a management consulting firm, and also serves as President—Financial Services and Insurance for NTT Data, Inc. Mr. Milde was formerly executive vice president for Financial Services and Insurance at Keane Consulting. From February 2006 to September 2007, he was the Senior Vice President and Chief Information Officer of United Rentals, Inc. Mr. Milde previously served as the Senior General Manager, Chief Information Officer for Sony Electronics, Inc., from January 2002 to January 2006, where he was responsible for all facets of information technology, supply chain and software-related ventures across the United States. Prior to that, Mr. Milde served as the Senior Vice President, Chief Information Officer for The Pepsi Bottling Group from 1999 to February 2002. He received a B.A. in Economics and Finance from St. Lawrence University in 1982 and an M.B.A. from Clarkson University in 1984. Mr. Milde previously served on the Clarkson University Board of Trustees.

John Morris

Mr. John C. Morris is Independent Director of Company. he is Director of KCG, served as a director of GETCO since 2012. Mr. Morris is the Managing Partner at Nyca Partners LLC, a venture capital and advisory firm. Previously, he was a Managing Director and Advisory Director for General Atlantic, where he worked from 2010 to 2014. Mr. Morris currently serves as special advisor to General Atlantic. Additionally, Mr. Morris serves on the board of directors of Lending Club, Inc., Payoneer and Cardworks, Inc. He previously served as president of Visa Inc. from 2007 through 2009, joining Visa as it undertook a reorganization which merged several separate businesses into a new company and completed an initial public offering in 2008. Mr. Morris previously spent 27 years at Citigroup and its predecessor companies in several operating and management roles. In his final position at Citigroup, he was Chief Financial Officer and head of finance, technology and operations for Citi Markets and Banking, the global institutional and capital markets businesses of Citigroup. From 2000 until 2002, he was Vice Chairman, Chief Operating Officer, and Head of Client Management of the Investment Banking Division at Salomon Smith Barney, and for more than 10 years he was the Head of the Financial Institutions Group within the investment bank. Mr. Morris graduated from Dartmouth College in 1980, and serves as Chairman of the Board of Trustees of the Massachusetts Museum of Contemporary Art, Chairman of the Board of Overseers of the Hopkins Center at Dartmouth College, and a Trustee of Jacob’s Pillow.

Alastair Rampell

Mr. Alastair Rampell is Director of KCG Holdings, Inc. Alex Rampell has served as General Partner at Andreesen Horowitz, a venture capital firm, since October of 2015. From 2006 to 2014, he was Co-Founder and Chief Executive Officer of TrialPay, Inc., which was acquired by Visa in 2015. Mr. Rampell also co-founded FraudEliminator, LLC, a web security company that later merged with SiteAdvisor and was acquired by McAfee. He also co-founded Affirm, Inc., a consumer lending company, in 2012, and serves as Chairman of Point, Inc., a privately-held real estate marketplace. Mr. Rampell received a B.A in Applied Math and Computer Science from Harvard University in 2003.

Daniel Schmitt

Mr. Daniel F. Schmitt is Independent Director of Company. he is Director of KCG, served on the Knight Board since May 2012. Mr. Schmitt has more than 38 years of audit experience and spent over 29 years as a partner with KPMG LLP (“KPMG”) primarily in the financial services industry, before retiring in September 2011. During his tenure at KPMG, Mr. Schmitt served as the Area Professional Practice Partner for KPMG’s Northeast Area and served on the firm’s National Professional Practice Committee and the Area Leadership Team. He most recently served as the Global Lead Audit Partner for Bank of New York Mellon. Mr. Schmitt previously was the partner in charge of Risk Management/Professional Practice for KPMG’s Western Area and served in KPMG’s New York, San Francisco and Providence/Boston Office practices during his career. He was also a Securities and Exchange Commission (“SEC”) Reviewing Partner, and has served as a college relations partner and a KPMG national training instructor. Mr. Schmitt is a member of the American Institute of Certified Public Accountants. He received a B.S. in Accounting from Bryant University (formerly Bryant College) in 1973 and currently serves as a Trustee. Mr. Schmitt previously served as past Chairman of The Alumni Association and Member of the Accounting Department Advisory Board for Bryant University.

Laurie Shahon

Ms. Laurie M. Shahon is Independent Director of Company. She served on the Knight Board since July 2006. Ms. Shahon is the President of Wilton Capital Group, a private direct investment firm she founded in 1994 that makes principal investments in later-stage ventures and medium-sized buyouts. She previously held investment banking positions with Morgan Stanley and Salomon Brothers. Ms. Shahon received an A.B. in English and Political Science from Wellesley College in 1974 and an M.B.A. in Finance and International Business from Columbia University in 1976. She is a former Adjunct Professor of Finance at Columbia Business School. Ms. Shahon has served on the boards of more than ten public companies over the past 25 years, including The Bombay Company, Inc. and Eddie Bauer Holdings, Inc.

Jonathan Mairs