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KCG Holdings Inc (KCG)

KCG on New York Consolidated

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26 May 2017
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Summary

Name Age Since Current Position

Charles Haldeman

68 2013 Non-Executive Independent Chairman of the Board

Daniel Coleman

51 2013 Chief Executive Officer, Director

Steffen Parratt

53 2015 Chief Financial Officer

Philip Allison

40 2014 Chief Executive Officer of KCG Europe Limited

Nick Ogurtsov

38 2013 Chief Operating Officer, Chief Risk Officer

Jonathan Ross

47 2013 Chief Technology Officer

John McCarthy

52 2013 General Counsel, Corporate Secretary

Ryan Primmer

46 2014 Global Head of Quantitative and Systematic Trading

Greg Tusar

47 2013 Head - Global Execution Services and Platforms

Debra Chrapaty

55 2015 Independent Director

Peter Fisher

60 2017 Independent Director

James Milde

55 2005 Independent Director

Alastair Rampell

34 2015 Independent Director

Daniel Schmitt

64 2012 Independent Director

Laurie Shahon

65 2006 Independent Director

Colin Smith

2017 Independent Director

Heather Tookes

2017 Independent Director

Adrian Weller

2017 Independent Director

Jonathan Mairs

2013 Head of Investor Relations

Biographies

Name Description

Charles Haldeman

Mr. Charles Edgar Haldeman, Jr., is Non-Executive Independent Chairman of the Board of the Company. Mr. Haldeman 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. Mr. Haldeman is currently Chairman of the Board of McGraw Hill Financial, Inc., serving as Chairman of its Executive Committee and a member of its Audit Committee and Nominating and Corporate Governance Committee. Mr. Haldeman also serves on the Board of Directors of DST Systems, Inc. From 2007 through 2010, he was Chairman of the Board of Trustees of Dartmouth College, and he has served as a member of the Board of Overseers for Dartmouth’s Tuck School of Business. Mr. Haldeman 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. He is Director and CEO of KCG since the closing of the business combination between Knight Capital Group, Inc. (“Knight”) and GETCO Holding Company, LLC (“GETCO”) to form KCG on July 1, 2013 (the “Mergers”), Mr. Coleman is responsible for managing day-to-day operations and leading the strategic direction of KCG. Mr. Coleman previously served as the CEO of GETCO beginning in February 2012 and also served as a director on GETCO’s board of directors until the closing of the Mergers. Mr. Coleman has almost 30 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. Prior to joining GETCO, 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 in Chicago, Illinois, 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 is Chief Financial Officer since January 6, 2015, is responsible for all financial aspects of KCG. Mr. Parratt has more than 20 years of leadership experience in financial services, technology and corporate strategy. Prior to becoming Chief Financial Officer of KCG, Mr. Parratt was an entrepreneur. During this time, he launched ventures in finance, management, and strategy, with a focus on developing software to realize operational effectiveness and efficiencies. Previously, he was a Managing Director at Bank of America Merrill Lynch, where he helped develop a strategic plan to integrate Merrill Lynch, U.S. Trust and the legacy Bank of America wealth business. Mr. Parratt also spent more than a decade at Citigroup Inc. in a number of management roles, most recently as Managing Director and Global Staff Functions Task Leader, Reengineering and Productivity Group, where he was responsible for reengineering organizations and processes in the firm’s finance, risk, compliance, audit, legal, human resources units. Mr. Parratt began his career as an engineer, and held positions at Sandia National Laboratories and Hughes Aircraft Company. Mr. Parratt received an M.B.A. in Finance from The Wharton School. He received a Ph.D. and M.Sc. in Engineering from Cornell University. He earned his B.Sc. in Mechanical Engineering and a M.Sc. in Electrical Engineering from the University of Rochester.

Philip Allison

Mr. Philip Allison is Chief Executive Officer of KCG Europe Limited Subsidiary of Company. He is Chief Executive Officer, KCG Europe Limited (“KCG Europe”) since September 22, 2014, leads the operations and strategic direction for KCG’s agency-execution and market making businesses in Europe, as well as certain U.S.-based market making businesses. 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 is Chief Risk Officer since the closing of the Mergers and Chief Operating Officer since August 16, 2013, has more than 16 years of experience in leadership and financial markets. As Chief Operating Officer, he is responsible for overseeing KCG’s operations and clearing. As Chief Risk Officer, he is responsible for managing KCG’s strategic and operational risk management framework, including the design and implementation of systems and processes to identify, mitigate and access KCG’s risk exposure. Previously, Mr. Ogurtsov was the Chief Risk Officer of GETCO until the closing of the Mergers. Prior to joining GETCO in 2012, Mr. Ogurtsov was Managing Director and Global Head of UBS’s high-frequency electronic trading group, EMM Group. He built and managed EMM Group’s global team in New York, London and Tokyo, where they traded equities, fixed income and foreign exchange. As a member UBS’s management team for the global cash equities business, Mr. Ogurtsov also helped rebuild UBS’s trading technology in the 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 and a Master’s degree in Computer Science from the University of Arizona.

Jonathan Ross

Mr. Jonathan Ross serves as Chief Technology Officer of Company. He is Chief Technology Officer since the closing of the Mergers on July 1, 2013, is responsible for all of KCG’s technology operations and infrastructure. Mr. Ross 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, through the closing of the Mergers. 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. 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.

John McCarthy

Mr. John A. McCarthy is General Counsel, Corporate Secretary of Company. Previously, Mr. McCarthy was General Counsel of GETCO, which he joined in 2006, through the closing of the Mergers. 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, an M.Sc. in Finance from the London School of Economics and a J.D. with Honors from the University of Maryland.

Ryan Primmer

Mr. Ryan Primmer is Global Head of Quantitative and Systematic Trading of Company. He was previously Global Head of Fixed Income, Foreign Exchange and Commodities Trading from August 2013, currently oversees quantitative and systematic trading strategies for KCG. Mr. Primmer joined KCG in August 2013 after more than 21 years at UBS and its predecessor firms. He began his career in 1991 at O’Connor & Associates in Chicago, Illinois, a market making firm focused on equity options, 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 Appleton, Wisconsin.

Greg Tusar

Mr. Greg Tusar is Head - Global Execution Services and Platforms of KCG Holdings Inc. He is Head of Global Execution Services and Platforms since August 2013, 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 Chief Executive Officer, before it was acquired by SLK in 1999. He began his career at Mentor Graphics, an electronic design automation firm. Mr. Tusar is a member of the board of directors of Per Scholas, a national nonprofit organization providing technology education and job placement in low-income communities.

Debra Chrapaty

Ms. Debra J. Chrapaty is Independent Director of KCG Holdings, Inc. Ms. Chrapaty is the Chief Operating Officer of Declara, a privately held technology-based startup company in the learning space, where she has worked since 2014. Prior to joining Declara, Ms. Chrapaty served as Chief Executive Officer of Nirvanix, a privately held enterprise cloud storage company, from 2013 to 2014, and Chief Information Officer of Zynga, a publicly held online gaming company, from 2011 to 2013. At Zynga, Ms. Chrapaty worked to bring Zynga games to market, managed an extensive and active gaming platform, and directed Sarbanes-Oxley Act compliance with respect to information technology and processes related to the company’s initial public offering in 2011. Ms. Chrapaty served as Senior Vice President at Cisco Systems from 2009 through 2011, where she advanced Cisco as a leader in enterprise collaboration software services and led the evolution of the company’s cloud capabilities and infrastructure. Prior to Cisco, Ms. Chrapaty spent six years at Microsoft, where she served as the Corporate Vice President of Global Foundations Systems and managed the development efforts that created Windows Live, Microsoft Online and Windows Azure Cloud services. Prior to Microsoft, Ms. Chrapaty served as Senior Vice President of Technology at Organic, Inc. a publicly held online advertising and design agency. From 1997 through 2000, she served as President and Chief Operating Officer for E*TRADE Technologies, and from 1994 through 1997, she served as the Chief Technology Officer of the National Basketball Association. Ms. Chrapaty received her Bachelor of Business Administration in Economics from Temple University in 1983 and received her M.B.A. from New York University in 1992.

Peter Fisher

Mr. Peter R. Fisher is Independent Director of the company. He is a Senior Fellow and Senior Lecturer at the Center for Business, Government & Society at the Tuck School of Business at Dartmouth College. Previously, from 2004 to 2013, Mr. Fisher worked at BlackRock, serving most recently as head, and before that co-head, of its Fixed Income Portfolio Management Group. From 2005 to 2007, he served as Chairman of BlackRock Asia. Prior to BlackRock, Mr. Fisher worked as Under Secretary of the U.S. Treasury for Domestic Finance. From 1985 to 2001, he worked at the Federal Reserve Bank of New York, where he served as an EVP of the Bank and Manager of the System Open Market Account, from 1995 to 2001. In those roles, he was responsible for the conduct of domestic monetary and foreign currency operations, and for the management of the foreign currency reserves of both the Federal Reserve and the Treasury. Mr. Fisher currently serves as a Director at AIG, Inc., the John F. Kennedy Library Foundation and the Peterson Institute for International Economics, and is on the Investment Advisory Committee of Google as well as the Advisory Committee on Systemic Resolution of the Federal Deposit Insurance Corporation. Previously, he was a part-time Senior Director of the BlackRock Investment, a member of the Strategic Advisory Committee of the Agence France Tresor and a non-executive director of the Financial Services Authority of the United Kingdom. He received a JD degree from Harvard Law School and a BA in history from Harvard College.

James Milde

Mr. James T. Milde is Independent Director of Company. Mr. Milde served as a Director of Knight from 2005 through the closing of the Mergers. He is currently President of Financial Services and Insurance at NTT DATA, Inc., a $14 billion global IT innovator delivering technology-enabled services and solutions to clients around the world. Mr. Milde was formerly executive vice-president for Financial Services and Insurance at Keane Consulting. Before that, he was the Senior Vice President and Chief Information Officer of major companies such as Sony Electronics and Pepsico Bottling Company. Mr. Milde currently serves on the board of SE2, a third party Business Process/Technology outsourcing provider to the life & annuity industry. 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.

Alastair Rampell

Mr. Alastair Rampell is Independent Director of KCG Holdings, IncMr. Rampell has served as the General Partner of Andreessen Horowitz, a $4 billion venture capital firm that invests in technology companies, since 2015. Prior to joining Andreessen Horowitz, Mr. Rampell founded, and served as the CEO and Chairman of, TrialPay, Inc. where he worked with his co-founders to grow the company to over $300 million in cumulative revenue over eight years. After Visa acquired TrialPay in 2015, Mr. Rampell joined Visa as a Vice President and General Manager. Mr. Rampell is also a director of CashStar, the Chairman of the board of TXN Solutions and the Chairman of the Board of Point.com. Mr. Rampell received an A.B. in Applied Mathematics with Computer Science from Harvard University in 2003.

Daniel Schmitt

Mr. Daniel F. Schmitt is Independent Director of Company. Mr. Schmitt served as a Director of Knight from May 2012 through the closing of the Mergers. 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. Ms. Shahon served as a Director of Knight from July 2006 through the closing of the Mergers. 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 currently serves as a Trustee of Ramco-Gershenson Properties Trust and a member of the board of directors of the Life Insurance Company of Boston & New York. Ms. Shahon previously held investment banking positions with Morgan Stanley and Salomon Brothers and has served on the boards of more than 10 public companies over the past 25 years, including The Bombay Company, Inc., Eddie Bauer Holdings, Inc., and Kitty Hawk Inc. Ms. Shahon received an A.B. in English and Political Science from Wellesley College and an M.B.A. in Finance and International Business from Columbia University. She is a former Adjunct Professor of Finance at Columbia Business School.

Colin Smith

Mr. Colin Smith is Independent Director of the company. He is Managing Partner of Silver Mountain Partners, a private investment partnership that he has managed since 2012, focused on investments in alternative strategies including private equity and real estate. From 2010 to 2012, Mr. Smith served as Chief Executive Officer of Concordance Capital Management, an event-driven asset management firm. Prior to that, he was the Managing Partner, Chief Executive Officer and Chief Investment Officer for Deephaven Capital Management, a global multi-strategy alternative asset manager, which he joined in 1998. Earlier in his career, he held positions at Peter Schoenfeld Asset Management, Schroder Wertheim and Continental Partners. Mr. Smith holds a BA from Northwestern University.

Heather Tookes

Ms. Heather Tookes is Independent Director of the company. She is a member of the finance faculty of the Yale School of Management. Since 2004, she has taught Corporate Finance for the full-time MBA and the MBA for Executives programs, and has received teaching awards in both programs. Professor Tookes also serves as Associate Editor at the Review of Financial Studies and Management Science. She is the author of several journal articles focused on issues in both market microstructure and corporate finance. She received a PhD in finance from Cornell and a BA in economics from Brown University.

Adrian Weller

Mr. Adrian Weller is Independent Director of the company. He is a Senior Research Fellow in the Machine Learning Group at the University of Cambridge, a Faculty Fellow at the Alan Turing Institute for data science and an Executive Fellow at the Leverhulme Centre for the Future of Intelligence. He is a leading authority on artificial intelligence, its commercial applications and how it may be used to benefit society. Previously, Dr. Weller held senior roles in fixed income at Goldman Sachs, Salomon Brothers and Citadel. He received a PhD in computer science from Columbia University, and BA and MA degrees in mathematics from Trinity College, Cambridge.

Jonathan Mairs