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Janus Henderson Group PLC (JHG.N)

JHG.N on New York Stock Exchange

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20 Nov 2017
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Summary

Name Age Since Current Position

Richard Gillingwater

60 2013 Non-Executive Chairman of the Board

Andrew Formica

45 2017 Co-Chief Executive Officer, Executive Director

Richard Weil

53 2017 Co-Chief Executive Officer, Director

Glenn Schafer

67 2017 Deputy Chairman of the Board

Roger Thompson

49 2017 Chief Financial Officer

Jennifer McPeek

47 2017 Chief Operating and Strategy Officer

Enrique Chang

54 2017 Global Chief Investment Officer

David Kowalski

60 2017 Chief Risk Officer

Jacqui Irvine

45 2012 General Counsel, Company Secretary

Robert Adams

52 2017 Head of Asia Pacific

Bruce Koepfgen

64 2017 Head of North America

Philip Wagstaff

53 2017 Global Head of Distribution

Jeffrey Diermeier

64 2017 Director

Eugene Flood

61 2017 Director

Lawrence Kochard

60 2017 Director

Tatsusaburo Yamamoto

2017 Director

Sarah Arkle

2012 Non-Executive Independent Director

Kalpana Desai

50 2015 Non-Executive Independent Director

Kevin Dolan

2011 Non-Executive Independent Director

Angela Seymour-Jackson

50 2014 Non-Executive Independent Director

Miriam McKay

Head of Investor Relations

Biographies

Name Description

Richard Gillingwater

Mr. Richard D. Gillingwater, CBE, serves as Non-Executive Chairman of the Board of Henderson Group PLC., since May 1, 2013. Mr Gillingwater was Dean of Cass Business School until 2013. Prior to this he spent 10 years at Kleinwort Benson, before moving to BZW and, in due course, becoming joint Head of Corporate Finance and then latterly Chairman of European Investment Banking at Credit Suisse First Boston. He was Chief Executive and later Chairman of the Shareholder Executive, Chairman of CDC Group plc and has also been a Non-Executive Director of P&O, Debenhams, Tomkins, Qinetiq Group and Kidde. Mr Gillingwater resigned as Senior Independent Director of Hiscox Ltd on 20 May 2015 and as a Non-Executive Director of Wm Morrison Supermarkets Plc with effect from 4 June 2015. Mr Gillingwater is Chairman of SSE plc and Senior Independent Director of Helical Bar plc.

Andrew Formica

Mr. Andrew James Formica serves as Co-Chief Executive Officer, Executive Director of Henderson Group PLC. He was appointed Executive Director and Chief Executive of Henderson in November 2008. He has been with Henderson and in the fund management industry since 1998. Mr. Formica has held various senior roles with Henderson and has been a member of Henderson’s executive committee since 2004. Prior to being appointed Chief Executive, he served as Joint Managing Director of the Listed Assets business (from September 2006) and as Head of Equities (from September 2004). In the early part of his career, he was an equity manager and analyst for Henderson. Mr. Formica was a director of TIAA Henderson Real Estate Limited from April 2014 to July 2015. Mr. Formica is the senior independent director of the board of The Investment Association and has served as a non-executive director of Hammerson plc since November 2015. Mr. Formica received a BEcon and MA in Economics from Macquarie University and a MBA from London Business School. He is a Fellow of the Institute of Actuaries in both the U.K. and Australia.

Richard Weil

Mr. Richard M. Weil is Co-Chief Executive Officer, Director of the Company. He served as Chief Executive Officer and a director of Janus beginning in February 2010. He also served as a member of Janus’s executive committee and a member of the board of directors of two Janus subsidiaries. Mr. Weil was Global head of Pacific Investment Management Company LLC (“PIMCO”) Advisory from February 2009 until joining Janus in February 2010. He was a member of the board of trustees for the PIMCO funds from February 2009 to February 2010 and PIMCO’s Chief Operating Officer from 2000 to 2009, during which time he led the development of PIMCO’s global business, founded PIMCO’s German operations, was responsible for PIMCO’s operations, technology, fund administration, finance, human resources, legal, compliance, and distribution functions, managed PIMCO’s non-U.S. offices, and served on PIMCO’s executive committee. Mr. Weil was general counsel for PIMCO Advisors LP from January 1999 to August 2000. He also worked in the hedge fund business of Bankers Trust Global Asset Management from 1994 to 1995 and was an attorney with the law firm Simpson Thacher & Bartlett LLP from September 1989 to 1994. Mr. Weil was a member of the Security Industry and Financial Markets Association’s (“SIFMA”) board of directors and chaired the SIFMA asset management industry group until 2010. Mr. Weil has a BA in Economics from Duke University and a JD from the University of Chicago Law School.

Glenn Schafer

Roger Thompson

Mr. Roger Thompson is Chief Financial Officer of Henderson Group PLC. He was appointed an Executive Director and Chief Financial Officer of Henderson in June 2013. He joined Henderson from J.P. Morgan Asset Management where he served most recently as Global Chief Operating Officer and was previously Head of U.K. and, prior to that, International CFO. In his 19 year career at J.P. Morgan, Mr. Thompson held a broad range of roles and worked internationally, spending time in Tokyo, Singapore and Hong Kong. He has wide-ranging asset management experience, both in the U.K. and internationally. Mr. Thompson holds a BA in Accountancy and Economics from Exeter University and is a member of the Institute of Chartered Accountants in England and Wales.

Jennifer McPeek

Ms. Jennifer J. McPeek is Chief Operating and Strategy Officer of the Company. She served as the Chief Financial Officer of Janus beginning in August 2013 and as an Executive Vice President of Janus beginning in January 2014. Ms. McPeek served as a member of the Janus executive committee and oversaw Janus’s finance, corporate accounting, and tax departments. Prior to taking over as CFO of Janus, Ms. McPeek served as Senior Vice President of Corporate Finance and Treasurer of Janus overseeing the financial planning, investor relations, treasury, and corporate development functions of Janus. Prior to joining Janus in 2009, Ms. McPeek was senior vice president of strategic planning at ING Investment Management—Americas Region from 2005 to 2009. Ms. McPeek previously served as an Associate Principal at McKinsey and Company in their corporate strategy and finance practice from 1995 to 2001, and previously worked in the investment banking industry for Bank of Boston and Goldman, Sachs & Company from 1991 to 1995. Ms. McPeek holds a BA (magna cum laude) in Mathematics from Duke University and an MS degree in Financial Engineering from the Massachusetts Institute of Technology. Ms. McPeek holds the Chartered Financial Analyst designation.

Enrique Chang

Mr. Enrique Chang is Global Chief Investment Officer of the Company. He served as President, Head of Investments of Janus beginning in April 2016. Mr. Chang has more than 28 years of financial industry experience. Upon joining Janus in September 2013, Mr. Chang was Chief Investment Officer, Equities and Asset Allocation. Mr. Chang has also served as a Portfolio Manager on the Janus Global Allocation strategies since 2015 and served as a member of the Janus executive committee beginning in 2013. From 2006 to 2013, Mr. Chang held various positions at American Century Investments, headquartered in Kansas City, MO, including serving as a director, chief investment officer and executive vice president from 2007 to 2013. Mr. Chang served as president and chief investment officer for Munder Capital Management from 2004 to 2006. Prior to that, he held a number of senior investment management positions at Vantage Global Advisor (from 1997 to 2000), J&W Seligman and Co. (1997) and General Reinsurance Corporation (from 1993 to 1997). Mr. Chang holds a Bachelor’s degree in Mathematics from Fairleigh Dickinson University and Masters’ degrees in Finance/Quantitative Analysis and in Statistics & Operations Research from New York University.

David Kowalski

Mr. David R. Kowalski is Chief Risk Officer of the Company. He served as Chief Compliance Officer of Janus and Janus Open-end Mutual Funds upon joining Janus in April of 2000. Mr. Kowalski was appointed as CCO to the Janus Exchange Traded Funds in February of 2016. In this role, Mr. Kowalski served as Senior Vice President responsible for compliance on behalf of Janus’s global organization and reported to the Janus Capital Group Audit Committee, the Trustees of the Janus Investment Fund and Janus Aspen Series, the Trustees of the Detroit Street Trust and Clayton Street Trust as well as Janus’s Chief Executive Officer. Mr. Kowalski was a member of the Operating, Ethics, Anti-Money Laundering, Corporate Disclosure, Data Privacy, Fund Disclosure, and Global Risk Committees, sat on the board of the Janus Foundation and was Janus’s Anti-Money Laundering Officer. Prior to joining Janus in 2000, Mr. Kowalski was Senior Vice President, Director—Mutual Fund Compliance for the Van Kampen Funds, a Morgan Stanley Dean Witter Company, from 1985 to 1999. He served in various capacities overseeing distributor, investment adviser and investment company compliance for 50 open-end funds, 39 closed-end funds and 3,000 unit investment trusts. Mr. Kowalski previously served as Assistant Vice President at Security Pacific Clearing and Services Corporation from 1981 to 1985 where he managed the Chicago clearing operations office. Mr. Kowalski attended the University of Illinois at Chicago from 1975-1979 and holds FINRA Financial and Operations, General Securities, General Securities Representative, Municipal Securities Principal, and Registered Options Principal licenses.

Jacqui Irvine

Ms. Jacqui Irvine is General Counsel, Company Secretary of the Company. She served as General Counsel of Henderson beginning in 2011, as the Company Secretary of Henderson beginning in 2012 and as a member of the Henderson Executive Committee beginning in 2012. Ms. Irvine joined Henderson in 1996 and served as Director of Legal of Henderson from 2009 to 2011. She was responsible for the global legal and secretarial functions of Henderson. Ms. Irvine has a Bachelor of Arts from Wits University.

Robert Adams

Mr. Robert (Rob) Adams Head of Asia Pacific of the Company. He served as the Executive Chairman, Asia Pacific, of Henderson beginning in 2012 and as a member of the Henderson executive committee beginning in 2014. Mr. Adams has more than 25 year experience in fund management businesses, both in Australia and the U.K. Prior to joining Henderson in 2012, he was Chief Executive Officer of Challenger Funds Management, the fund management arm of Challenger Limited, an ASX 100 company. From 2000 to 2003, Mr. Adams served as the inaugural Chief Executive of First State Investments UK, having created that firm through the merger of Stewart Ivory and Colonial First State Investments (UK) in 2000. From 1992 to 2000, he served as General Manager, Distribution and Marketing, for Colonial First State Investments Australia. Mr. Adams has a Bachelor of Business from the University of Technology, Sydney.

Bruce Koepfgen

Mr. Bruce L. Koepfgen is Head of North America of the Company. He served as the President of Janus beginning in August 2013 and as a member of the Janus executive committee beginning in 2011. Mr. Koepfgen joined Janus in May 2011 as Executive Vice President and served as Janus Chief Financial Officer from July 2011 to August 2013. He has also served as President and Chief Executive Officer of the Janus Investment Fund and Janus Aspen Series Trusts (appointed in July 2014), and the Detroit Street Trust and Clayton Street Trust (appointed to both in February 2016). Mr. Koepfgen currently serves as a member of the board of directors of INTECH Investment Management LLC, and the board of managers of Perkins Investment Management LLC, both of which are subsidiaries of Janus. Prior to joining Janus, Mr. Koepfgen was Co-CEO of Allianz Global Investors Management Partners and CEO of Oppenheimer Capital from 2003 to 2009. From August 2010 through October 2011, Mr. Koepfgen served as a director of the Mortgage Guaranty Insurance Corporation and as a director of Thermo Fisher Scientific from May 2005 through September 2008. Mr. Koepfgen was previously a managing director of Salomon Brothers Inc. where he held various positions from 1976 to 1999, and he was president and principal of Koepfgen Company LLC, a management consulting organization, from 1999 to 2003. Mr. Koepfgen has a BS in business administration from the University of Michigan and an MBA from Northwestern University J.L. Kellogg School of Management.

Philip Wagstaff

Mr. Philip Wagstaff serves as Global Head of Distribution of the Company. Mr Wagstaff was appointed an Executive Director of Henderson in May 2016. He has over 28 years of experience in the fund management industry and was the Global Head of Distribution at Henderson beginning in 2012. Prior to this he was Global Head of Distribution at Gartmore Investment Management Limited from 2007 to 2011, and he has also held managing director roles in U.K. Retail with both New Star Asset Management (2005 - 2007) and M&G Investments (2000 - 2004). He was previously at Henderson from 1994 to 1997 as London Regional Sales Director. Mr. Wagstaff holds a BA in Accounting from the University of Central Lancashire.

Jeffrey Diermeier

Eugene Flood

Lawrence Kochard

Tatsusaburo Yamamoto

Sarah Arkle

Ms. Sarah Arkle serves as the Non-Executive Independent Director of Henderson Group PLC. Ms Arkle has been in the financial industry for over 33 years. She joined Allied Dunbar Asset Management in 1983 which became Threadneedle in 1994. She was Vice Chairman of Threadneedle until the end of July 2012 and was Chief Investment Officer until December 2010, a role she held for 10 years. She was instrumental in establishing Threadneedle’s investment process and recruiting a number of the firm’s senior fund managers. Previously, Ms Arkle worked at the Far Eastern stockbroker WI Carr (Overseas) Limited and was an advisor to the South Yorkshire Pension Fund. Ms Arkle is currently a Non-Executive Director of Foreign & Colonial Investment Trust plc and J.P. Morgan Emerging Markets Investment Trust plc and is a member of the Newnham College, Cambridge Investment Committee.

Kalpana Desai

Ms. Kalpana Desai is Non-Executive Independent Director of the Company. Ms Desai has over 25 years of international advisory and investment banking experience, primarily gained in the Asia-Pacific region. Until 2013, Ms Desai was Head of Macquarie Capital Asia, the investment banking division of Macquarie Group Limited, headquartered in Australia. Prior to this, she was Head of the Asia-Pacific Mergers & Acquisitions Group and a Managing Director from 2001 in the investment banking division of Bank of America Merrill Lynch based in Hong Kong, having joined that firm in 1998. Earlier, Ms Desai worked in the corporate finance divisions of Barclays de Zoete Wedd in London and Hong Kong and at J. Henry Schroder Wagg in London, having started her career in the financial services division of Coopers & Lybrand Consulting in London. She was a member of the Takeovers and Mergers Panel of the Securities and Futures Commission in Hong Kong from 2007 to 2014. She is currently a Non-Executive Director of Canaccord Genuity Group Inc., headquartered in Canada. Ms Desai has a BSc with Honours in Economics from the London School of Economics and Political Science and qualified as a Chartered Accountant (ACA) with Coopers & Lybrand (now PricewaterhouseCoopers) in London in 1991.

Kevin Dolan

Mr. Kevin Claude Dolan serves as Non-Executive Independent Director of Henderson Group PLC. Mr Dolan has been in the financial services industry for 36 years and has extensive experience in M&A transactions, both in Europe and the US. Mr Dolan has held various executive positions, including as Chief Executive of the Asset Management Division of Bank of Ireland Group and Chief Executive of Edmond de Rothschild Asset Management. He spent 10 years with the AXA Group where he was Chief Executive Officer of AXA Investment Managers Paris, and Global Deputy Chief Executive Officer of AXA Investment Management. He was Chief Executive of La Fayette Investment Management in London from 2006 until 2009. Mr Dolan was a Director of Meeschaert Gestion Privée until 2015, is the founding partner of Anafin LLC, and a senior advisor to One Peak Partners.

Angela Seymour-Jackson

Ms. Angela Seymour-Jackson serves as Non-Executive Independent Director of Henderson Group PLC. Ms Seymour-Jackson has over 20 years’ experience in retail financial services. She has held various senior marketing and distribution roles in Norwich Union Insurance, General Accident Insurance, CGU plc and Aviva. She was Chief Executive Officer of RAC Motoring Services Limited from 2010 until 2012 and led the sale to Carlyle. She joined Aegon UK in May 2012 and was appointed Managing Director of the Workplace Solutions Division in December 2012. Ms Seymour-Jackson is also a Non-Executive Director of Rentokil Initial plc and esure Group plc.

Miriam McKay