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Leonteq AG (LEON.S)

LEON.S on Swiss Exchange

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Summary

Name Age Since Current Position

Christopher Chambers

56 2017 Chairman of the Board

Marco Amato

36 2017 Interim Chief Executive Officer, Chief Financial Officer, Member of the Executive Board

Lukas Ruflin

42 2016 Vice Chairman of the Board of Directors

Manish Patnaik

44 2014 Chief Operating Officer, Member of the Executive Committee

Justin Arbuckle

46 2016 Chief Technology Officer, Member of the Executive Committee

Ulrich Sauter

47 2015 General Counsel, Member of the Executive Committee

Ruediger Assion

2017 Chief Communications Officer, Member of the Executive Committee

Sandro Dorigo

39 2016 Member of the Executive Committee, Head of Business Development

Steven Downey

45 2016 Member of the Executive Committee, Head of Markets

Jochen Kuehn

2017 Head of Insurance & Wealth Planning Solutions, Member of the Executive Committee

David Schmid

35 2016 Member of the Executive Committee, Head of Investment Solutions

Tobias Wohlfarth

31 2016 Member of the Executive Committee, Head of Banking Solutions

Joerg Behrens

53 2012 Member of the Board of Directors

Paulo Bruegger

51 2017 Member of the Board of Directors

Vince Chandler

61 2012 Member of the Board of Directors

Patrick de Figueiredo

67 2010 Member of the Board of Directors

Hans Isler

64 2012 Member of the Board of Directors

Thomas Meier

55 2017 Member of the Board of Directors

Dominik Ruggli

Head Investor Relations

Biographies

Name Description

Christopher Chambers

Mr. Christopher Michael Chambers has been Chairman of the Board at Leonteq Ltd. since November 22, 2017. He is currently a Senior Advisor to Lone Star Europe. Previously, he held management functions at Barclays de Zoete Wedd, from 1990 to 1997 and at Credit Suisse First Boston, from 1997 to 2002. From 2002 to 2005, he was Chief Executive Officer of Man Investments Ltd and main board member of Man Group. He is also Chairman of the Board of Directors of Lonrho Ltd and member of the Board of Directors of Oxford Sciences Innovation PLC, Pendragon PLC, Berenberg Bank (Switzerland) AG, and Swiss Prime Sites AG.

Marco Amato

Mr. Marco Amato is Interim Chief Executive Officer, Chief Financial Officer, Member of the Executive Board at Leonteq Ltd. effective October 5, 2017. He was Chief Financial and Risk Officer, Member of the Executive Committee of Leonteq Ltd. from September 1, 2016 to October 5, 2017. He was previously a Partner at the Assurance Financial Services Switzerland organisation at Ernst & Young and a member of the Financial Services Organisation leadership team. He started his career at Ernst & Young in 2006. As a client service partner, he has vast experience in auditing financial statements in accordance with both national and international accounting standards. Marco Amato has in-depth knowledge of the front-, middle-, and back-office operations of financial institutions, and has acted as an advisor on finance transformation, regulatory, and risk management matters.

Lukas Ruflin

Mr. Lukas Ruflin is Vice Chairman of the Board of Directors of Leonteq Ltd. since 2016. Previously he was Member of the Board of Directors at Leonteq Ltd. since 2009 till 2016. He is Member of the Audit, Remuneration Committee. He was Deputy Chief Executive Officer and an executive committee member of EFG International from 2009 to 2012. He was one of EFG Financial Products’ Founding Partners in 2007 and was responsible for setting up and managing the issuing operations in Guernsey as General Manager of EFG Financial Products (Guernsey) Limited, from 2007 to 2009. In addition, he also served as a Director of EFG Investment (Luxembourg) S.A., Luxembourg, from 2007 to 2010 and as Chief Executive Officer of EFG Bank Ltd, Zurich (2010), in parallel to his functions at EFG International. Before joining EFG Financial Products, he held various management positions at EFG Bank and EFG International in Zurich and London, including Deputy Chief Financial Officer of EFG International Group. He started his career at Lehman Brothers, going on to J.P. Morgan and Pricewaterhouse Coopers before joining EFG in 2004. He holds a Master’s degree in Economics from the Universitaet St. Gallen and a CEMS Master’s degree in international management also from the Universitaet St. Gallen.

Manish Patnaik

Mr. Manish Patnaik is Chief Operating Officer, Member of the Executive Committee of Leonteq Ltd. since 2014. He began his career at Tata Infotech Ltd., India, and Societe Generale, Singapore. Between 2000 and 2011, he worked at Commerzbank where he led IT focusing on equity derivatives, cash equity and research. He joined Leonteq in 2011 as Head of Front Office IT and became Chief Information Officer in 2012, before his appointment to Chief Operating Officer and member of the Executive Committee in March 2014. Manish Patnaik holds a bachelor’s degree in technology (electronics & communication) from R.E.C. (Regional Engineering College), Kurukshetra, India, and a Master’s degree in business administration (finance) from ICFAI Business School, India.

Justin Arbuckle

Mr. Justin Arbuckle is Chief Technology Officer, Member of the Executive Committee of Leonteq Ltd. since December 1, 2016. Before joining Leonteq in 2016, he was Vice-President Worldwide Transformation and Chief Enterprise Architect at Chef Software in London, a leading infrastructure and application development tools company. From 2008 until 2014, he held various senior technology roles at GE Capital, most recently as Executive Chief Architect & Chief Technology Officer, EMEA. Before that, he worked at Barclays in London and Singapore (2007-2008), at IBM in South Africa and the UK (2006-2007), and at Standard Bank in South Africa (1999-2006). His core skills are in large systems, organisation transformation and IT architecture. In particular, he is an expert in banking applications and infrastructure modernisation, along with agile and lean software product development.

Ulrich Sauter

Mr. Ulrich Sauter is General Counsel, Member of the Executive Committee of Leonteq Ltd. since 2015. He was Member of the Executive Committee, Head of Legal, Compliance, Risk and Human Resources from 2009. Before joining EFG Financial Products in 2007, he worked as Head of Legal & Compliance at Julius Bär Asset Management Switzerland from 2006 to 2007, and as Deputy General Counsel for Trading & Sales and Asset Management at Bank Julius Bär & Co. Ltd. in Zurich from 2003 to 2005. Previously, he worked in the banking and finance department of a Zurich law firm (2000 to 2003), as an intern in a New York law firm and as an apprentice at the St. Gallen District Court. In addition to admittance to the Swiss bar, Ulrich Sauter holds a law degree from the Universitaet St. Gallen and an LL.M. degree in corporate law from New York University School of Law.

Ruediger Assion

Mr. Ruediger Assion is Chief Communications Officer, Member of the Executive Committee of Leonteq Ltd. since January 2017. Currently, he is Managing Director Group Communications at Deutsche Boerse. He will take over responsibility for Internal and External Communications, Investor Relations, and act as internal advisor.

Sandro Dorigo

Mr. Sandro Dorigo is Member of the Executive Committee, Head of Business Development of Leonteq Ltd. since 2016. He was Member of the Executive Committee, Head of Pension Solutions, Founding Partner of Leonteq Ltd. since 2007. Before joining EFG Financial Products in 2007, he was with Lehman Brothers from 2006 to 2007, where he was in charge of Swiss securitised structured products engineering. During this time, he introduced the structured products distribution and processing platform, and was responsible for the launch of the public distribution efforts. He started his career in 1994 with an apprenticeship at Bank Julius Bär, where he worked from 1994 to 2006. After working for the M&A department, where he was involved in several Initial Public Offering and capital market transactions, he joined the structured products desk, building up the structured products infrastructure. He was also responsible for the coverage of discretionary mandates and the sale of products in the Private Bank division. He is a Certified International Investment Analyst (CIIA), and holds a federal diploma as an expert in finance and investment from the Swiss Financial Analysts Association (AZEK). Head of Business Development

Steven Downey

Mr. Steven Downey is Member of the Executive Committee, Head of Markets of Leonteq Ltd. since November 14, 2016. He was most recently a Managing Director at Trium Capital Markets, where he implemented a systematic volatility strategy. Between 2011 and 2014 he was at Nomura, where he was Head of Equity Trading and subsequently Head of Equity Derivatives EMEA, and finally Head of Equities EMEA. He started his career at UBS in 1995 (Swiss Bank Corporation, later SBC Warburg until 1998), where he remained for 16 years, holding a variety of positions, most recently Head of Equity Derivatives Trading EMEA. He brings over 20 years of experience in equity and equity derivatives markets, in-depth knowledge across the entire equities product range, along with a significant track record in risk management and building businesses for renowned international investment houses.

Jochen Kuehn

Mr. Jochen Kuehn is Head of Insurance & Wealth Planning Solutions, Member of the Executive Committee of Leonteq Ltd. since January 9, 2017. His responsibilities includes the acquisition, onboarding and management of the firm’s insurance platform partners. He is currently a Partner at McKinsey & Company in Zurich, which he joined in 2006 and where he is responsible for client acquisition and client projects focusing on life insurance and pension fund topics across the value chain. He has vast experience in consulting insurance companies with both national and international foot prints and is a leader of McKinsey´s European insurance risk practice. He is holds a PhD in Finance from the University of Zurich, and an MBA from the Universitaet Tuebingen.

David Schmid

Mr. David Schmid is Member of the Executive Committee, Head of Investment Solutions of Leonteq Ltd. since 2016. From 2012 to 2014, he was responsible for Leonteq’s operations in Asia. Between 2008 and 2012 he was part of the Structured Solutions Sales team in Zurich, Switzerland. He started his career with UBS in 2006 where he was involved in various platform projects for the private banking division. David Schmid holds a bachelor degree in Economics with a major in Banking and Finance from the University of Zurich.

Tobias Wohlfarth

Mr. Tobias Wohlfarth is Member of the Executive Committee, Head of Banking Solutions of Leonteq Ltd. since November 15, 2016. He has been Head Platform Partners Integration & Relationship Management since 2014. As a long-term employee of Leonteq, he has contributed significantly to the development of the company in the various functions he held. Amongst other initiatives, he was closely involved in the IPO in 2012, in Leonteq’s regional expansion as well as in building-up the platform partner business. Tobias Wohlfarth combines significant experience in business development and project management with in-depth knowledge of the structured products market. As of 16 November 2016 he has been appointed member of the Executive Committee and Head of Banking Solutions.

Joerg Behrens

Dr. Joerg Behrens is Member of the Board of Directors at Leonteq Ltd. since September 17, 2012. He is Member of the Audit Committee and Chairman of the Risk Committee. He is currently the managing partner and Vice Chairman of the Board of Directors of Fintegral Consulting Ltd, which he founded in 2009. From July 2002 until March 2009, he was a partner at Ernst & Young Ltd, Switzerland, and held various functions, including Head of Financial Risk Management Central Europe and Global Head of Risk Analytics. Since May 2010 he is a member of the Board of Directors of Mathfinance AG, Germany. He holds a doctorate in physics from the Swiss Federal Institute of Technology (ETH) Zurich for his research in particle physics at LEP/CERN and a Master’s degree in nuclear physics from ETH.

Paulo Bruegger

Mr. Paulo Bruegger has been Member of the Board of Directors at Leonteq Ltd. since November 22, 2017. Since 2005 he has served as Head of Central Bank Department and is a member of the Executive Board of Raiffeisen Switzerland. He is also a member of the Board of Directors at responsAbility Participations AG, as well as a member of the Investment Committee of Raiffeisen pensions funds. He began his career at Swiss Bank Corporation and then moved to Bank Julius Baer. Between 1995 and 2002 he held various senior positions at UBS and was Head of Trading at Raiffeisen from 2003 to 2005.

Vince Chandler

Mr. Vince Chandler is Member of the Board of Directors at Leonteq Ltd. since July 17, 2012. He is Chairman of the Remuneration Committee. He is currently a member of the Board of Directors of Dataquest, London, where he serves as non-executive Chairman. He was a Managing Director and Group Chief Operating Officer of Technology at Credit Suisse from 2006 to 2008. Previously, he worked for eight years at Citigroup’s corporate and investment bank, where he held a number of senior management roles in technology. He joined the Bank of England after his A-level studies, and spent 20 years there between 1974 and 1994.

Patrick de Figueiredo

Mr. Patrick de Figueiredo is Member of the Board of Directors of Leonteq Ltd. since 2010. He is Member of the Audit and Risk committee. He was a member of the Management Committee of EFG Bank European Financial Group SA until December 2014, holding the position of Chief Risk Officer from October 1997. In April 2015 he was elected to the Board of Directors. Before joining EFG Group in 1989 as Head of Credit, he worked at UBS and the BSI Group, mainly in the credit area. He holds a degree in management studies from the Universite de Fribourg, Switzerland.

Hans Isler

Mr. Hans Isler is Member of the Board of Directors at Leonteq Ltd. since July 17, 2012. He acts as Chairman of the Audit, Remuneration Committee and Member of the Risk Committee at the Company. Previously, he was a partner at Arthur Andersen from 1994 until 2002, and at Ernst & Young from 2002 until 2011. From 1986 to 2011, he led audits of regulated entities in Switzerland, including banks, funds, fund managers and securities dealers. He is also Chairman of the Board of Directors of Banque Thaler SA, as well as member of the Board of Directors of Banque Pictet & Cie SA, Carouge, Geneva, Banque du Léman SA, Geneva, Valcourt SA, Geneva and MKS (Switzerland) SA. In addition, he is a member of the finance commission of MSF (Médecins Sans Frontières) and a member of the Geneva Court of Audit. He holds a Master’s degree in Economics from the Universitaet St. Gallen (lic. oec. HSG).

Thomas Meier

Mr. Thomas R. Meier has been Member of the Board of Directors at Leonteq Ltd. since November 22, 2017. Currently, he serves as Chairman of the Julius Baer Foundation. Prior to that, he was Chief Executive Officer Asia of Bank Julius Baer from 2005 to 2015, Head of Private Wealth Management and member of the Management Board of Deutsche Bank (Luxembourg) from 2004 to 2005, and CEO North Asia at Credit Suisse from 2000 to 2004. After his return to Switzerland, he acted as Head of Corporate Sustainability at Bank Julius Baer from 2015 to 2017. He holds a doctorate in Law from the University of Zurich and he completed the Advanced Management Program at the University of Pennsylvania, USA.

Dominik Ruggli