People: Penson Worldwide, Inc. (PNSN.O)

PNSN.O on Nasdaq

8.06USD
9 Feb 2010
Price Change (% chg)

$0.06 (+0.75%)
Prev Close
$8.06
Open
--
Day's High
$8.30
Day's Low
$7.93
Volume
79,451
Avg. Vol
127,661
52-wk High
$12.23
52-wk Low
$4.02

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Summary

Name Age Since Current Position
Engemoen, Roger 55 2000 Chairman of the Board
Pendergraft, Philip 49 2005 Chief Executive Officer, Director
Son, Daniel 70 2000 President, Director
McAleer, Kevin 58 2008 Chief Financial Officer, Executive Vice President
Koslow, Andrew 48 2009 Executive Vice President, General Counsel, Secretary
Engel, Bryce 37 2009 Executive Vice President
Kelly, David 71 2007 Lead Independent Director
Dyer, James 65 2000 Director
Johnson, David 61 2006 Director
Johnson, Thomas 41 2003 Director
Reed, David 61 2006 Director
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Biographies

Name Description
Engemoen, Roger Mr. Roger J. Engemoen, Jr. has served as Chairman of the Board of Directors of Penson Worldwide, Inc. since September 2000, when the company effected a corporate restructuring, and has been Chairman of predecessor entities since 1995. Mr. Engemoen previously served as an officer and director of both Service Life and Services Lloyds Insurance Companies, and he resigned from both positions on March 31, 2006. Mr. Engemoen has 32 years of industry experience. Mr. Engemoen holds a B.B.A. in finance and accounting and an M.B.A. in finance from Southern Methodist University.
Pendergraft, Philip Mr. Philip A. Pendergraft was appointed as Chief Executive Officer of Penson Worldwide, Inc. in July 2005. From October 2000 through July 2005, Mr. Pendergraft served as Executive Vice President and Chief Operating Officer. He has served as a member of Board of Directors since September 2000, when the company effected a corporate restructuring. Mr. Pendergraft has served as an executive officer and Director of certain of our affiliated entities since 1995. Mr. Pendergraft has 25 years of securities industry experience, including starting up three clearing operations. Mr. Pendergraft holds a B.A. in economics from Trinity University.
Son, Daniel Mr. Daniel P. Son has served as President and a member of Board of Directors of Penson Worlwide, Inc. since September 2000, when the company effected a corporate restructuring. Prior to that, he served as President and a member of the Board of Directors of predecessor entities. Mr. Son has over 37 years of brokerage operations and clearing experience and has started three clearing operations in the last 18 years. Mr. Son holds a B.B.A. in accounting from Southern Methodist University.
McAleer, Kevin Mr. Kevin W. McAleer has served as Executive Vice President since August 2008 and Chief Financial Officer of Penson Worldwide, Inc. since February 2006. Prior to that Mr. McAleer was an independent financial consultant from February 2004 through February 2006. From February 2002 to October 2003, Mr. McAleer was Executive Vice President and Chief Financial Officer of VarTec Telecom, Inc., which filed for bankruptcy protection in November 2004. From July 2000 to October 2001, Mr. McAleer was Chief Financial Officer of MobileStar Networks, Inc. MobileStar was acquired by T-Mobile utilizing the bankruptcy process in November 2001. From March 1998 to July 2000, Mr. McAleer was Chief Financial Officer of CapRock Communications Inc. Mr. McAleer has 27 years of experience as the Chief Financial Officer for different public and private companies, and 10 years experience at a national public accounting firm. Mr. McAleer holds a B.S. degree from LaSalle University and is a Certified Public Accountant.
Koslow, Andrew Mr. Andrew B. Koslow has served as Executive Vice President since March, 2009, as General Counsel since September 2002 and as Secretary of Penson Worldwide, Inc. since July 2005. Prior to joining Penson, Mr. Koslow served as Director, General Counsel and Chief Operating Officer of One Financial Network, Inc., a private financial services company, from June 1999 to December 2002. From June 1999 to December 2002, Mr. Koslow served as Managing Director of Whytecliff Capital Corp., a private equity company, and from December 1999 to May 2002 as Director and Secretary of Omnitrix Technologies, Inc., a private technology company. From August 1997 to May 1999, Mr. Koslow served as Chief Administrative Officer and General Counsel to D.E. Shaw Financial Technology and Farsight Financial Services. Mr. Koslow has 21 years of experience working with various financial services and technology companies. Mr. Koslow holds a B.A. from Johns Hopkins University, a M.A. from the School of Advanced International Studies of Johns Hopkins University, a C.E.P. from the Institut d’Etudes Politiques de Paris and a J.D. from New York University School of Law.
Engel, Bryce Mr. Bryce Engel is Executive Vice President of Penson Worldwide, Inc. Prior to joining Penson, Mr. Engel was a Senior Vice President with TD Ameritrade and was responsible for Retail Client Service and Support, Institutional operations and Clearing operations. Engel served in a variety of roles during his 12-year tenure at TD Ameritrade, including the leadership of call center operations and Ameritrade clearing. Throughout this time, Engel played an integral role in growing TD Ameritrade's business from a small non-public organization to one of the largest online retail trading firms in the country. Mr. Engel served on the ATD Advisory Council and accepted the 2006 Business Progress Award from Sarpy County EDC in 2006. He served as a member of the Board of Directors of the Options Clearing Corporation from February of 2006 to January of 2009. In 2007, Engel was featured in the Midland Business Journal's top 40 Under 40 program.
Kelly, David Mr. David M. Kelly has served as a member of Board of Directors of Penson Worldwide, Inc. since September 2000 and as Lead Independent Director since 2007. Mr. Kelly retired in February 2000 from his position as President and Chief Executive Officer of the National Securities Clearing Corporation, a position he held from 1983, and as Vice Chairman of DTCC and Vice Chairman and Chief Executive Officer of GSCC. In April 2000, Mr. Kelly joined the board of directors of the Chicago Stock Exchange where he continues to serve as a director and currently serves in the capacity of Chairman of the Regulatory Oversight Committee. Since September 2000, Mr. Kelly has been an independent trustee of the SPDR Series Trust, part of State Street Global Advisors, and an independent trustee of SPDR Index Shares since July 2004. Mr. Kelly has served as a director of Custodial Trust Company (n/k/a JPMorgan Trust Company) and as a member of its Trust Committee since April 2003. Mr. Kelly received his B.A. in economics from Michigan State University and served in the U.S. Marine Corps.
Dyer, James Mr. James S. Dyer has served as a member of Board of Directors of Penson Worldwide, Inc. since September 2000. Dr. Dyer holds the Fondren Centennial Chair in Business at the McCombs School of Business at The University of Texas at Austin, where he has been a professor of business administration since September 1978. Dr. Dyer served as the Chairman of the Department of Management Science/Information Systems at the McCombs School of Business at The University of Texas at Austin from 1988 to 1997. Dr. Dyer holds a B.A. in physics and a Ph.D. in business administration from The University of Texas at Austin.
Johnson, David Mr. David Johnson has served as a member of Board of Directors of Penson Worldwide, Inc. since January 2006. Mr. Johnson also serves as a member of the board of directors of Condell Medical Center. From 1982 to 2005, he served in various capacities at Morgan Stanley, most recently as a managing director. Mr. Johnson was a member of a number of exchanges, including the Chicago Board Options Exchange, the Chicago Stock Exchange and the American Stock Exchange. He was in the United States Navy Reserve from 1966 until 1972. Mr. Johnson attended the New York School of Finance.
Johnson, Thomas Mr. Thomas R. Johnson has served as a member of Board of Directors of Penson Worldwide, Inc. since August 2003. Since November 2001, Mr. Johnson has served as the President, Chief Executive Officer and a member of the board of directors of Call Now, Inc., a publicly traded company. Prior to joining Call Now, Inc., Mr. Johnson was an independent fixed-income bond trader and analyst from January 1999 to November 2001. Mr. Johnson holds a B.A. from St. Lawrence University.
Reed, David Mr. David A. Reed has served as a member of Board of Directors of Penson Worldwide, Inc. since January, 2006. Mr. Reed has been the president of Capital Management LLC, general partner for Causeway Capital Partners, LP, a family investment fund, since 2000. He co-founded and has been an advisor to ANSRSource, Inc., since 2003. He served as the chairman of the finance committee for Texas Industries, Inc., from 2000 to 2004. Mr. Reed served on the board of directors for ENSR International, Inc. from 2002 until 2005 when the company was sold. He served on the audit and compensation committees for Lone Star Technologies board of directors from 2005 until 2007 when the company was sold. Mr. Reed currently serves as a member of the board of directors of Drew Industries, Inc. (since 2003), serving as the Audit Committee Chair and also a member of the Compensation and Governance Committees. He served on the board of directors for Credant Technologies from 2002 until his recent decision to retire from that board in September, 2008. Mr. Reed retired as Senior Vice Chair of Ernst & Young LLP in 2000 after a 26 year career with the firm. He served in various capacities with Ernst & Young, including membership on its Management Committee from 1991 until his retirement as well as the E&Y Global Council, and held varying operational and management responsibilities, including America’s audit and tax operations, and global account management for Ernst & Young’s top 150 clients. Mr. Reed holds a B.B.A. in Accounting from Texas Tech University. He also attended the Kellogg Business School Executive Business Program and the Harvard Business School Leadership program. He received recognition as a recipient of the Texas Tech University Distinguished Alum, and Texas Tech Business School Distinguished Alum awards. Mr. Reed received his CPA license in 1970. His CPA license is currently retired.

Basic Compensation

Name Fiscal Year Total
Engemoen, Roger 448,867
Pendergraft, Philip 789,719
Son, Daniel 852,338
McAleer, Kevin 539,789
Koslow, Andrew 693,761
Engel, Bryce --
Kelly, David --
Dyer, James --
Johnson, David --
Johnson, Thomas --
Reed, David --
As Of 30 Dec 2008

Options Compensation

Name Options Value
Engemoen, Roger 0 0
Pendergraft, Philip 0 0
Son, Daniel 0 0
McAleer, Kevin 0 0
Koslow, Andrew 62,500 768,180
Engel, Bryce 0 0
Kelly, David 0 0
Dyer, James 0 0
Johnson, David 0 0
Johnson, Thomas 0 0
Reed, David 0 0

Insider Trading

Name Shares Traded Price
YANCEY CHARLES WILLIAM 59 $8.42
PENDERGRAFT PHILIP A 479 $0.00
JOHNSON DAVID 840 $0.00
REED DAVID A 840 $0.00
JOHNSON THOMAS RICHARD 840 $0.00
DYER JAMES S 840 $0.00
KELLY DAVID M 840 $0.00
MCALEER KEVIN W 340 $9.06
KELLY DAVID M 771 $0.00
YANCEY CHARLES WILLIAM 634 $9.06
DYER JAMES S 771 $0.00
JOHNSON THOMAS RICHARD 771 $0.00
MCALEER KEVIN W 634 $9.06
RAPHAEL ERAN SIMON 634 $9.06
KOSLOW ANDREW B 815 $9.06
JOHNSON DAVID 771 $0.00
REED DAVID A 771 $0.00
PENDERGRAFT PHILIP A 10,000 $0.00
RAPHAEL ERAN SIMON 83 $8.77
ENGEMOEN ROGER J JR 5,000 $0.00
ENGEMOEN ROGER J JR 63,311 $9.17
ENGEMOEN ROGER J JR 56,689 $9.48
PRESBY MARK M 102 $9.16
RAPHAEL ERAN SIMON 5,000 $9.14
YANCEY CHARLES WILLIAM 48 $9.75
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