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GAM Holding AG (GAMH.S)

GAMH.S on Swiss Exchange

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Summary

Name Age Since Current Position

Alexander Friedman

48 2014 Chairman of the Group Management Board, Group Chief Executive Officer

Hugh Scott-Barret

60 2017 Non-Executive Chairman of the Board

Richard McNamara

50 2015 Group Chief Financial Officer, Member of the Group Management Board

Elmar Zumbuehl

48 2017 Group Chief Risk Officer, Member of the Group Management Board

Dirk Spiegel

46 2017 Group General Counsel, Member of the Group Management Board

Tim Rainsford

50 2017 Group Head of Sales and Distribution, Member of the Group Management Board

Tim Dana

49 2016 Group Head of Corporate Development, Member of the Group Management Board

Larry Hatheway

60 2016 Group Head of Investment Solutions and Group Chief Economist, Member of the Group Management Board

Martin Jufer

50 2015 Member of the Group Management Board, Region Head Continental Europe

Diego du Monceau de Bergendal

69 2010 Non-Executive Member of the Board of Directors

Ezra Field

49 2016 Non-Executive Member of the Board of Directors

David Jacob

54 2017 Non-Executive Member of the Board of Directors

Monica Maechler

62 2018 Non-Executive Member of the Board of Directors

Benjamin Meuli

62 2016 Non-Executive Member of the Board of Directors

Nancy Mistretta

64 2016 Non-Executive Member of the Board of Directors

Patrick Zuppiger

Head of Investor Relations

Biographies

Name Description

Alexander Friedman

Mr. Alexander S. Friedman has been Chairman of the Group Management Board and Group Chief Executive Officer of GAM Holding Ltd. since September 8, 2014. Prior to joining the Group, he served as the global chief investment officer of UBS Wealth Management and Wealth Management Americas, as chairman of the UBS global investment committee and as a group managing director. Before that, he was the chief financial officer of the Bill & Melinda Gates Foundation. He was a senior advisor to Lazard, and Member of the Supervisory Board of private equity firm Actis. He was a White House Fellow in the Clinton administration and an assistant to the US Secretary of Defense. He is a Board Member of several non-profit organizations and Member of the Council on Foreign Relations. He holds a JD from Columbia University School of Law, an MBA from Columbia University Business School and a BA from Princeton University.

Hugh Scott-Barret

Mr. Hugh Scott-Barrett has been Non-Executive Chairman of the Board of GAM Holding Ltd. since April 27, 2017. He was Non-Executive Member of the Board of Directors at the Company from October 1, 2009. He has chaired the governance and nomination committee since May 2017 and also served as chairman of the audit committee from 2009 until May 2017. He is currently non-executive chairman of Capital & Regional plc. He joined this London-based property asset management company in 2008 as chief executive and led the restructuring and repositioning of Capital & Regional as a specialist property REIT. In June 2017, he stepped down as chief executive of Capital & Regional plc to become its non-executive chairman. He started his career in banking in 1980, in corporate finance at Kleinwort Benson. In 1984, he joined Swiss Bank Corporation where he held several senior roles in investment banking and became a member of the corporate finance executive committee of SBC Warburg in 1995. In 1996, he joined ABN AMRO where he held several senior positions, joining the managing board in 2000 taking responsibility, inter alia, for financial institutions, operations and technology within the wholesale clients division, then acting as chief operating officer and finally as chief financial officer until 2007. He was educated in Paris and Oxford where he graduated in modern history.

Richard McNamara

Mr. Richard McNamara has been Group Chief Financial Officer and Member of the Group Management Board of GAM Holding Ltd. since October 1, 2015. In addition, in 2017 he took on the oversight of operations, IT and change capabilities of the Company. Prior to joining the Group, he was managing director, finance, at Henderson Group, a role he had held since 2013. He joined Henderson in 2009 as head of group finance, focusing on finance and financial operations, including M&A activity. In 2013, he took on the new responsibility for tax, investor relations, facilities and procurement. Prior to his roles at Henderson Group, he held senior finance roles at Western Asset Management, Legg Mason and Citigroup Asset Management. He is a chartered accountant and holds a BA (Hons) in finance and accounting from Brighton University. He started his career at PricewaterhouseCoopers where he was a senior manager in the investment management industry group.

Elmar Zumbuehl

Mr. Elmar Zumbuehl has been Group Chief Risk Officer and Member of the Group Management Board of GAM Holding Ltd. since February 1, 2017. Before that he was group head of risk & governance and a permanent guest member of the Group Management Board. He joined GAM in March 2010 as senior legal counsel and risk manager. In 2011, he also assumed the role of corporate secretary of GAM Holding AG. Prior to that, he worked at Julius Baer for 10 years in different roles, latterly from 2006 to 2010 as head legal risk controlling & governance. He, who was admitted to the bar in Switzerland in 2000, is a graduate of the University of St. Gallen (HSG). He holds masters’ degrees in business administration (lic. oec. HSG), specializing in finance and accounting, and law (lic. iur. HSG).

Dirk Spiegel

Mr. Dirk Spiegel has been Group General Counsel and Member of the Group Management Board of GAM Holding Ltd. since February 1, 2017. Before that he was General Counsel for continental Europe, heading the legal and compliance function in Zurich. Prior to joining GAM in 2013, he was General Counsel and a Member of the Executive Board at Schroder Investment Management (Switzerland) AG, working in various legal and compliance functions in several regions, including Switzerland, Hong Kong and Singapore. Between 2004 and 2009, he was the General Counsel and Chief Risk Officer at UBS Global Asset Management – Fund Services, overseeing several regions. Prior to UBS, he worked for Vontobel Asset Management AG for five years, latterly as head of legal and compliance. He holds a Master of Laws (banking and finance law) from the Queen Mary University of London and a Bachelor of Science in business administration (finance) from the University of Applied Sciences, Zurich.

Tim Rainsford

Mr. Tim Rainsford has been Group Head of Sales and Distribution and Member of the Group Management Board of GAM Holding Ltd. since February 1, 2017. Prior to joining GAM as the Group head of sales and distribution in January 2017, he was global co-head of sales and marketing at Man Group and Member of Man group’s Executive Committee. Prior to this role, which he held since 2013, he was senior managing director and head of European sales at Man. He joined Man in 2003 in Australia, where he was responsible for key bank relationships and helped to build up the company’s retail distribution presence, taking over full responsibility for the market in 2005. In 2007, he became Man’s managing director for Asia, leading the distribution efforts in Hong Kong, China, Korea, Taiwan, Singapore and all smaller Asean countries. Before working for Man, he held senior roles at JP Morgan in Japan and Korea. He holds a Master in Applied Finance from the Macquarie University in Sydney and a Bachelor of Business from the University of Technology in Sydney. He is a member of the Australian institute of chartered accountants.

Tim Dana

Mr. Tim Dana has been Group Head of Corporate Development and Member of the Group Management Board of GAM Holding Ltd. since May 1, 2016. Prior to joining the Company, he was managing director at Citigroup Global Markets, specializing in mergers and acquisitions for financial institutions, a role he had held since 2011. Between 1998 and 2011, he worked for Lazard in New York where he held various senior positions including managing director in financial institutions M&A. Prior to his roles at Lazard, he worked for Salomon Smith Barney and its predecessors from 1993 to 1998. He holds a BA from Princeton University.

Larry Hatheway

Dr. Larry Hatheway has been Group Head of Investment Solutions and Group Chief Economist and Member of the Group Management Board of GAM Holding Ltd. since September 2016. Since May 2016, he has been Group Chief Economist, Member of the Group Management Board. Prior to joining the Group, he was Managing Director and Chief Economist at UBS Investment Bank. He was UBS’s Global Head of Macro Strategy from 2008 to 2012 and Global Head of Asset Allocation from 2000 to 2012. He was also UBS’s Global Head of Fixed Income and Currency Strategy. Before joining UBS in 1992, he held roles at the Federal Reserve, Citibank and Manufacturers Hanover Trust. He holds a Ph.D. in economics from the University of Texas, an MA from the Johns Hopkins University, and a BA from Whitman College.

Martin Jufer

Mr. Martin Jufer has been Member of the Group Management Board and Region Head Continental Europe of GAM Holding Ltd. since March 2015. Previously he was Member of the Group Management Board, Head Operations Swiss & Global Asset Management at Gam Holding AG from April 23, 2013 till March 2015. Prior to that, he was Chief Operating Officer and head of products & services of Swiss & Global Asset Management (formerly Julius Baer Asset Management). He joined Julius Baer Asset Management as an investment controller in 1996 and subsequently became responsible for fund administration, middle office and IT. Before joining Julius Baer, he worked as an auditor with Ernst & Young in Zurich. He holds an MBA from the University of St. Gallen (HSG) and a Swiss federal diploma for financial analysts and portfolio managers. He is also a Certified European Financial Analyst (CEFA) and a US Certified Public Accountant (CPA).

Diego du Monceau de Bergendal

Mr. Diego du Monceau de Bergendal has been Non-Executive Member of the Board of Directors at GAM Holding Ltd. since April 13, 2010. He also acts as Member of the Audit Committee at the Company. In addition, he is a Member of the Board of Directors of ING (Belgium) and chairman of its audit and risk committees since 2000. He is on the Board of Directors of WE International, a private European retailing company, on the Supervisory Board of the K&H Bank in Hungary and on the Board of Directors of Foyer Finance in Luxembourg. He started his career in investment banking and corporate finance at White Weld, Merrill Lynch and Swiss Bank Corporation in New York and London. Between 1985 and 2002, he was successively Managing Director, Chief Executive Officer and Vice Chairman of the Board of Directors of GIB Group and between 2010 and 2013, Chairman of the Board of Directors of 3SI Group in France. He is Chairman of the Council of Trustees of the EORTC Cancer Research Fund and is on the Board of Trustees of the Belgian American Education Foundation. He holds a degree in commercial engineering from the Solvay Business School of Brussels University and an MBA from Harvard Business School.

Ezra Field

Mr. Ezra S. Field has been Non-Executive Member of the Board of Directors of GAM Holding Ltd. since April 2016. He served as a member of the Governance and Nomination Committee (from April 2016 to 2018) and has been Member of the Compensation Committee since 2018. He is a Senior Managing Director and Chief Investment Officer of Roark Capital Group, an Atlanta-based private equity firm. Prior to joining Roark Capital in 2007, he was a Managing Director at New York-based ACI Capital, where he played a lead role in all aspects of the firm’s investing activities from 2001 to 2007. He was previously an adjunct professor at Pace Law School, where he taught mergers & acquisitions. Before joining ACI Capital, he was an entrepreneur and venture capitalist. From 1998 to 1999, he served as a law clerk to the Hon. Ralph K. Winter, and then chief judge of the United States Court of Appeals for the Second Circuit. He holds a BA (Hons) from Wesleyan University, an MBA from Columbia Business School and a JD from Columbia Law School.

David Jacob

Mr. David J. Jacob has been Non-Executive Member of the Board of Directors of GAM Holding Ltd. since April 27, 2017. He has also served as Member of the Audit Committee and the Compensation Committee (since May 2017). He was the Chief Executive Officer of Rogge Global Partners Ltd, a position he held from 2014 until 2016. Between 2004 and 2013, he was with Henderson Global Investors where he held a variety of roles including Member of the Board of Directors and Chief Investment Officer. Prior to joining Henderson, he was head of fixed income, EMEA at UBS Global Asset Management between 2002 and 2004. Prior to UBS, he held a variety of roles at Merrill Lynch Investment Managers and JPMorgan Asset Management. He is a Member of the investment committee of the National Trust Pension Fund and is the Vice Chairman of the investment committee of the Worshipful Company of Stationers and Newspaper Makers. He is a chartered financial analyst and holds a Bachelor of Science in economics from Wharton School, University of Pennsylvania.

Monica Maechler

Ms. Monica Maechler has been Non-Executive Member of the Board of Directors of GAM Holding Ltd. since April 2018. She has also served as a Member of the Audit Committee as well as the Governance and Nomination Committee (since April 2018). She is a Member of the Boards of Directors of Zurich Insurance Group Ltd. and Zurich Insurance Company Ltd. (both since 2013) as well as of Cembra Money Bank Ltd. (since 2015). From 2012 until May 2018 she also served as Member of the Supervisory Board of Deutsche Boerse AG. She also contributes to non-profit organizations as chair of the Advisory Board of the International Center of Insurance Regulation at the Goethe University in Frankfurt and as member of the Boards of the Europa Institut at the University of Zurich and of the Stiftung fuer schweizerische Rechtspflege. Additionally she teaches and publishes on topics related to financial markets regulations, private international law and business law. From 2009 to 2012 she served as Vice Chair of the Board of Directors of the Swiss Financial Market Supervisory Authority FINMA, after having been the Director of the Federal Office of Private Insurance from 2007 to 2008. She chaired the technical committee and was a Member of the Executive Committee of the International Association of Insurance Supervisors until 2012. After her JD at the law school of the University of Zurich in 1984, she practiced as an attorney-at-law in a business law firm in Zurich. In 1990 she joined the group legal department of Zurich Insurance Group, where she became the group general counsel and head of the board secretariat in 1999 and was promoted to member of the Group Management Board in 2001. She also served as a member in several expert commissions on financial market regulation of the Swiss Confederation.

Benjamin Meuli

Mr. Benjamin Meuli has been Non-Executive Member of the Board of Directors of GAM Holding Ltd. since April 2016. He has also served as a member of the audit committee (since 2016), being under his chair since May 2017 and was Member of the compensation committee till 2018. He was the Chief Investment Officer at XL Group, a position he held from 2015 until his retirement in 2016. Between 2009 and 2015, he was Chief Financial Officer and Member of the Group Executive Committee and the Board of Directors of Catlin Group Ltd., where he was also responsible for the company’s investment portfolio. He was the Chief Investment Officer and a Member of the Executive Board at Swiss Re between 2004 and 2008. Prior to joining Swiss Re, he was a Managing Director at Morgan Stanley with responsibility for coverage of multinational insurance groups with a particular focus on asset and liability management. He started his career at JPMorgan, where he spent 20 years in a variety of roles, mostly in capital markets and investment banking. He holds an MA in politics, philosophy and economics from Worcester College, Oxford, and an Master of Science in agricultural economics from Oxford University.

Nancy Mistretta

Ms. Nancy G. Mistretta has been Non-Executive Member of the Board of Directors of GAM Holding Ltd. since April 2016. She has also served as a member of the governance and nomination committee (since 2016) and the compensation committee, the latter being under her chair since May 2017. She is a former partner of Russell Reynolds Associates, an executive search firm, where she worked from 2005 until 2009. Prior to joining Russell Reynolds, Nancy was with JPMorgan Chase and its heritage institutions for 29 years and served as a Managing Director in investment banking from 1991 to 2005. She is a Director of Scotts Miracle-Gro, where she currently chairs the audit committee and is a member of the finance committee. She is also a Director of the North American Holding Company of HSBC, where she serves on the nomination and governance committee, the audit committee and the risk committee. She holds a BA in psychology from Smith College.

Patrick Zuppiger