Edition:
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Moody's Corp (MCO)

MCO on New York Consolidated

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28 Jul 2016
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Summary

Name Age Since Current Position

Henry McKinnell

73 2012 Independent Chairman of the Board

Raymond McDaniel

58 2012 President, Chief Executive Officer, Director

Linda Huber

57 2005 Chief Financial Officer, Executive Vice President

Mark Almeida

56 2008 President - Moody’s Analytics

Lisa Westlake

53 2008 Chief Human Resource Officer, Senior Vice President

John Goggins

55 2011 Executive Vice President, General Counsel

Joseph McCabe

65 2005 Senior Vice President, Corporate Controller

Robert Fauber

45 2016 Senior Vice President - Corporate and Commercial Development; President of Moody’s Investors Service, Inc

Blair Worrall

59 2013 Senior Vice President - Ratings Delivery and Data

Richard Cantor

57 2008 Chief Risk Officer; Chief Credit Officer of Moody’s Investors Service Inc.

Basil Anderson

70 2004 Independent Director

Jorge Bermudez

64 2011 Independent Director

Darrell Duffie

61 2008 Independent Director

Kathryn Hill

59 2011 Independent Director

Ewald Kist

72 2004 Independent Director

Bruce Saun

58 2016 Independent Director

Leslie Seidman

53 2013 Independent Director

Salli Schwartz

Global Head - Investor Relations

Biographies

Name Description

Henry McKinnell

Dr. Henry A. McKinnell, Jr., Ph.D., is an Independent Chairman of the Board of the Company. Dr. McKinnell served as the Chief Executive Officer of Optimer Pharmaceuticals, Inc. from February 2013 until October 31, 2013. He served as Chairman of the Board of Pfizer Inc., a pharmaceutical company, from May 2001 until his retirement in December 2006 and Chief Executive Officer from January 2001 to July 2006. He served as President of Pfizer Inc. from May 1999 to May 2001, and as President of Pfizer Pharmaceuticals Group from January 1997 to April 2001. Dr. McKinnell served as Chief Operating Officer of Pfizer Inc. from May 1999 to December 2000 and as Executive Vice President from 1992 to 1999. Dr. McKinnell is also the Chairman of the Board of Accordia Global Health Foundation (member of the board from September 2003-present). He is Chairman Emeritus of the Connecticut Science Center and is a member of the Academic Alliance for AIDS Care and Prevention in Africa. Dr. McKinnell joined the Board of Emmaus Life Sciences, Inc. in May 2010 and served as Chairman from May 2011 until September 2015. He served as Chairman of Optimer Pharmaceuticals, Inc. until 2013 and director of Angiotech Pharmaceuticals, Inc. until 2011, Pfizer Inc. and ExxonMobil Corporation until 2007 and John Wiley & Sons until 2005.

Raymond McDaniel

Mr. Raymond W. McDaniel, Jr., is President, Chief Executive Officer, Director of the Company. He currently serves on the Executive Committee of the Board of Directors. Mr. McDaniel served as the Company’s President from October 2004 until April 2005 and the Company’s Chief Operating Officer from January 2004 until April 2005. He has served as Chief Executive Officer of Moody’s Investors Service, Inc., a subsidiary of the Company, since October 2007. He held the additional titles of President from November 2001 to August 2007 and December 2008 to November 2010 and Chairman from October 2007 until June 2015. Mr. McDaniel served as the Company’s Executive Vice President from April 2003 to January 2004, and as Senior Vice President, Global Ratings and Research from November 2000 until April 2003. He served as Senior Managing Director, Global Ratings and Research of Moody’s Investors Service from November 2000 until November 2001 and as Managing Director, International from 1996 to November 2000. Mr. McDaniel currently is a Director of John Wiley & Sons, Inc. and is a member of the Board of Trustees of Muhlenberg College.

Linda Huber

Ms. Linda S. Huber serves as Chief Financial Officer, Executive Vice President of the Company. Prior thereto, she served as Executive Vice President and Chief Financial Officer at U.S. Trust Company, a subsidiary of Charles Schwab & Company, Inc., from 2003 to 2005. Prior to U.S. Trust, she was Managing Director at Freeman & Co. from 1998 through 2002. She served PepsiCo as Vice President of Corporate Strategy and Development from 1997 until 1998 and as Vice President and Assistant Treasurer from 1994 until 1997. She served as Vice President in the Energy Investment Banking Group at Bankers Trust Company from 1991 until 1994 and as an Associate in the Energy Group at First Boston Corporation from 1986 through 1990. She also held the rank of Captain in the U.S. Army where she served from 1980 to 1984.

Mark Almeida

Mr. Mark E. Almeida serves as President - Moody’s Analytics of the Company. Prior to this position, Mr. Almeida was Senior Vice President of Moody’s Corporation from August 2007 to January 2008, Senior Managing Director of the Investor Services Group (ISG) at Moody’s Investors Service, Inc. from December 2004 to January 2008 and was Group Managing Director of ISG from June 2000 to December 2004. Mr. Almeida joined Moody’s Investors Service, Inc. in April 1988 and has held a variety of positions with the company in both the U.S. and overseas.

Lisa Westlake

Ms. Lisa Simone Westlake is Chief Human Resource Officer, Senior Vice President of the Company. Prior to this position, Ms. Westlake served as Vice President—Investor Relations from December 2006 to November 2008 and Managing Director—Finance from September 2004 to December 2006. Prior to joining the Company, Ms. Westlake was a senior consultant with the Schiff Consulting Group from 2003 to 2004. From 1996 to 2003 Ms. Westlake worked at American Express Company where she held several different positions such as Vice President and Chief Financial Officer for the OPEN Small Business Network, Vice President and Chief Financial Officer for Establishment Services and Vice President and Chief Financial Officer for Relationship Services. From 1989 to 1995 Ms. Westlake held a range of financial management positions at Dun & Bradstreet Corporation and its subsidiary at the time, IMS International. From 1984 to 1987 Ms. Westlake served at Lehman Brothers in both the investment banking and municipal trading areas.

John Goggins

Mr. John J. Goggins serves as an Executive Vice President, General Counsel of the Company. He served as Senior Vice President and General Counsel from October 2000 until April 2011. Mr. Goggins joined Moody’s Investors Service, Inc. in February 1999 as Vice President and Associate General Counsel. Prior thereto, he served as counsel at Dow Jones & Company from 1995 to 1999, where he was responsible for securities, acquisitions and general corporate matters. Prior to Dow Jones, he was an associate at Cadwalader, Wickersham & Taft from 1985 to 1995, where he specialized in mergers and acquisitions.

Joseph McCabe

Mr. Joseph J. McCabe has resigned as Senior Vice President, Corporate Controller of the Company., effective 31 July 2016. Mr. McCabe joined Moody’s in July 2004 as Vice President and Corporate Controller. Before joining the Company, he served as Vice President—Corporate Controller at PPL Corporation, an energy and utility holding company, from 1994 to 2003. Prior to PPL Corporation, he served Deloitte & Touche as Partner from 1984 to 1993 and as a member of the firm’s audit practice from 1973 to 1984.

Robert Fauber

Mr. Robert Fauber is Senior Vice President - Corporate and Commercial Development of the Company and President of Moody’s Investors Service, Inc., the subsidiary of the Company. He has been appointed to the position of President of Moody’s Investors Service, Inc., the subsidiary of the Company., effective 1 June 2016. Mr. Fauber joined Moody’s in 2005 as the Head of Corporate Development for Moody’s Corporation, where he managed the Company’s corporate strategy and mergers and acquisitions program. He has served in his current role since 2013. Prior to Moody’s, Mr. Fauber worked for six years in investment banking and corporate strategy at Citigroup, including stints in New York, London and Hong Kong. He started his career as a credit analyst in the commercial banking group at NationsBank (now Bank of America). Mr. Fauber holds an M.B.A. from the Johnson School of Management at Cornell University and a B.A. in economics from the University of Virginia.

Blair Worrall

Mr. Blair L. Worrall is Senior Vice President - Ratings Delivery and Data of the Company. He served as Head of MIS Ratings Transaction Services from January 2014 to February 2016. Mr. Worrall served as Senior Vice President—Internal Audit from April 2011 to February 2013 and as Vice President—Internal Audit from September 2007 to April 2011. He served as the Controller for MIS from November 2004 until September 2007. Prior to joining the Company, Mr. Worrall was Vice President, Accounting for RCN Corporation from 2002 to 2004 and held various finance positions at Dow Jones & Company, Inc. from 1979 to 2001.

Richard Cantor

Mr. Richard Cantor is Chief Risk Officer of Moodys Corporation., and Chief Credit Officer - Moody’s Investors Service, Inc., of the Company. From July 2008 to November 2008, Mr. Cantor served as Acting Chief Credit Officer. Prior thereto, Mr. Cantor was Managing Director of Moody’s Credit Policy Research Group from June 2001 to July 2008, after serving as Senior Vice President in the Financial Guarantors Rating Group. Mr. Cantor joined Moody’s in 1997 from the Federal Reserve Bank of New York, where he served as Assistant Vice President in the Research Group and was Staff Director at the Discount Window. Prior to the Federal Reserve, Mr. Cantor taught Economics at UCLA and Ohio State and has taught on an adjunct basis at the business schools of Columbia University and New York University.

Basil Anderson

Mr. Basil L. Anderson is an Independent Director of Moodys Corporation. Mr. Anderson served as Vice Chairman of Staples, Inc., an office products company, from September 2001 until his retirement in March 2006. Prior to joining Staples, Mr. Anderson served as Executive Vice President and Chief Financial Officer of Campbell Soup Company from April 1996 to February 2001. Prior to joining Campbell Soup, Mr. Anderson was with Scott Paper Company where he served in a variety of capacities beginning in 1975, including Vice President and Chief Financial Officer from December 1993 to December 1995. Mr. Anderson currently is a director of Staples, Inc. (1997-present), Becton Dickinson (2004-present) and Hasbro, Inc. (2002-present).

Jorge Bermudez

Mr. Jorge A. Bermudez serves as an Independent Director of Moody's Corporation. He served as Chief Risk Officer of Citigroup, Inc., a global financial services company, from November 2007 to March 2008. Before serving as Chief Risk Officer, Mr. Bermudez was Chief Executive Officer of Citigroup’s Commercial Business Group in North America and Citibank Texas from 2005 to 2007. He served as Senior Advisor, Citigroup International from 2004 to 2006, as Chief Executive Officer of Citigroup Latin America from 2002 to 2004, Chief Executive Officer, eBusiness, Global Cash Management and Trade from 1998 to 2002 and Head of Citibank Corporate and Investment Bank, South America from 1996 to 1998. Mr. Bermudez joined Citigroup in 1975 and held leadership positions in other divisions, including equity investments, credit policy and corporate banking from 1984 to 1996. Mr. Bermudez currently is a director of the Electric Reliability Council of Texas (2010-present), the Federal Reserve Bank of Dallas (2012-present) and a member of the Texas A&M Foundation Board of Trustees (2014-present). He served as a director of Citibank N.A. from 2005 to 2008, the Federal Reserve Bank of Dallas, Houston Branch from 2009 to 2011, the Association of Former Students, Texas A&M University from 2006 to 2012, the American Institute of Architects for the entirety of 2015 and as Chairman of the Community Foundation of Brazos Valley from July 2013 to July 2014.

Darrell Duffie

Dr. Darrell Duffie, Ph.D., is an Independent Director of the Company. He is the Dean Witter Distinguished Professor of Finance at Stanford University Graduate School of Business and has been on the finance faculty at Stanford since receiving his Ph.D. from Stanford in 1984. He has authored books and research articles on topics in finance and related fields. Dr. Duffie is a member of the Board of The Pacific Institute of Mathematical Sciences and is a Fellow and member of the Council of the Econometric Society and a Fellow of the American Academy of Arts & Sciences. He is Chairman of the Market Participants Group on Reference Rate Reform. Dr. Duffie served as a trustee of iShares Trust and a director of iShares, Inc. from 2008 to 2011 and was President of the American Finance Association in 2009.

Kathryn Hill

Ms. Kathryn M. Hill serves as an Independent Director of the Company. Ms. Hill has over 30 years of experience in business management and leading engineering and operations organizations. Ms. Hill served in a number of positions at Cisco Systems, Inc. from 1997 to 2013, including, among others, Executive Advisor from 2011 to 2013, Senior Vice President, Development Strategy and Operations from 2009 to 2011, Senior Vice President, Access Networking and Services Group from 2008 to 2009 and Senior Vice President, Ethernet Systems and Wireless Technology Group from 2005 to 2008. Cisco designs, manufactures and sells Internet Protocol (IP)-based networking and other products related to the communications and information technology industry and provides services associated with these products. Prior to Cisco, Ms. Hill had a number of engineering roles at various technology companies. Ms. Hill is a member of the Board of Trustees for the Anita Borg Institute for Women and Technology. Ms. Hill currently serves as a director of NetApp, Inc. (2013-present) and Celanese Corporation (July 2015-present).

Ewald Kist

Mr. Ewald Kist serves as an Independent Director of the Company. Mr. Kist was Chairman of ING Groep N.V. (“ING Group”), a financial services company, from 2000 until his retirement in June 2004. Before serving as Chairman of ING Group, Mr. Kist was Vice Chairman from 1999 to 2000 and served as a member of the Executive Board from 1993 to 1999. Prior to the merger of Nationale Nederlanden and NMB Postbank Group to form ING Group in 1992, Mr. Kist served in a variety of capacities at Nationale Nederlanden beginning in 1969, including Chairman from 1991 to 1992, General Management—the Netherlands from 1989 to 1991 and President Nationale Nederlanden U.S. Corporation from 1986 to 1989. Mr. Kist currently is a director of Royal DSM N.V. (2004-present), and Royal Philips Electronics (2004-present). He served as a director of Dutch National Bank from 2004 until 2012.

Bruce Saun

Mr. Bruce Van Saun is an Independent Director of the Company. He has served as Chairman of the Board and Chief Executive Officer of Citizens Financial Group, Inc., a retail and commercial bank, since October 2013. From October 2009 through September 2013, Mr. Van Saun served as the RBS Group Finance Director and a member of the board of directors of The Royal Bank of Scotland Group plc (“RBS”), a global banking and financial services group and the former parent company of Citizens Financial Group, Inc. From 1997 to 2008, Mr. Van Saun held a number of senior positions with Bank of New York and later Bank of New York Mellon, including Vice Chairman and Chief Financial Officer. Earlier in his career, he held senior positions with Deutsche Bank, Wasserstein Perella Group and Kidder Peabody & Co. In addition, Mr. Van Saun has served as a director on the franchise board of Lloyd’s of London since September 2012 with a term expiring on May 31, 2016. He has previously served on the boards of The Royal Bank of Scotland plc and National Westminster Bank, plc, each an RBS affiliate, from October 2009 to September 2013, Direct Line Insurance Group plc from April 2012 to October 2013 and WorldPay (Ship Midco Limited) from July 2011 to October 2013.

Leslie Seidman

Ms. Leslie Seidman is Independent Director of the Company. She is Executive Director of the Center for Excellence in Financial Reporting at Pace University’s Lubin School of Business and a Public Governor for the Financial Industry Regulatory Authority (FINRA). She served as the Chairman of the Financial Accounting Standards Board (FASB) from December 2010 to June 30, 2013. Ms. Seidman was first appointed to the FASB as a member in July 2003 and was reappointed to a second term in July 2006. She served as Acting Chairman from October 1, 2010 to December 2010. From 2000 to 2003, Ms. Seidman was the founder and managing member of Leslie F. Seidman Consulting, LLC, a financial reporting consulting firm that served global financial institutions, law firms and accounting firms. From 1994 to 1999, Ms. Seidman served on the FASB staff in various capacities including as Assistant Director of Research and Technical Activities. From 1987 to 1996, Ms. Seidman served as Vice President, Accounting Policy and in other roles at J.P. Morgan & Company, Inc. (now JPMorgan Chase & Co.) and from 1984 to 1987, Ms. Seidman served as an auditor for Arthur Young & Co. (now Ernst & Young, LLP). Ms. Seidman is a member the Financial Executives International and the Institute of Management Accountants.

Salli Schwartz