2020 Annual Report

Board of Directors
as of December 31, 2020

CRAIG S. DONOHUE
Executive Chairman, OCC
THOMAS BARRETT
Global Head of Rates Electronic Trading and Fixed Income, Currency and Commodities Execution Services, Goldman Sachs & Co.
ANDREJ BOLKOVIC
Chief Executive Officer, ABN AMRO Clearing Chicago LLC (Served until December 14, 2020)
STUART M. BOURNE
Managing Director, Head of Americas Asset Management Services, Bank of America Merrill Lynch
THOMAS R. CARDELLO
Founding Member, Venice Financial Management LLC
MARIA CHIODI
Managing Director, General Counsel Department, Credit Suisse Securities (USA) LLC
KURT M. ECKERT
Partner and Head of Market Structure, Wolverine Trading
THOMAS A. FRANK
Executive Vice President & CIO, Interactive Brokers LLC
MEYER S. FRUCHER
Vice Chairman, Nasdaq, Inc.
DAVID S. GOONE
Chief Strategy Officer, Intercontinental Exchange Inc.
CHRISTOPHER A. ISAACSON
Executive Vice President, Chief Operating Officer, Cboe Global Markets, Inc.
KEVIN J. KENNEDY
Senior Vice President, Head of Product Management for North American Market Services, Nasdaq, Inc.
ELIZABETH K. KING
Chief Regulatory Officer, Intercontinental Exchange & General Counsel, NYSE Group
SUSAN E. LESTER
Former Financial Executive
RICHARD R. LINDSEY
Managing Partner, Windham Capital Management, LLC
ROBERT R. LITTERMAN
Chairman, Risk Committee, Kepos Capital LP
STEPHEN LUPARELLO
General Counsel, Citadel Securities
SUSAN G. O’FLYNN
Managing Director and Global Head of CCP Strategy and Resource Optimization, Morgan Stanley
ALICE PATRICIA WHITE
Economist
WILLIAM T. YATES
Treasurer, TD Ameritrade

Board Committees
as of December 31, 2020

  • Audit Committee
    • Susan E. Lester (Chair)
    • Kurt M. Eckert
    • Kevin J. Kennedy
    • Elizabeth K. King
    • Richard R. Lindsey
    • Stephen Luparello
    • Alice Patricia White
    • William T. Yates
  • Compensation & Performance Committee
    • Richard R. Lindsey (Chair)
    • Craig S. Donohue
    • Meyer S. Frucher
    • David S. Goone
    • Christopher A. Isaacson
    • Robert R. Litterman
    • Stephen Luparello
    • Susan G. O’Flynn
  • Governance & Nominating Committee
    • Alice Patricia White (Chair)
    • Maria Chiodi
    • Meyer S. Frucher
    • Elizabeth K. King
    • Susan E. Lester
    • Richard R. Lindsey
    • William T. Yates
  • Regulatory Committee
    • Richard R. Lindsey (Chair)
    • Thomas R. Cardello
    • Susan E. Lester
    • Robert R. Litterman
    • Alice Patricia White
  • Risk Committee
    • Richard R. Lindsey (Chair)
    • Thomas Barrett
    • Thomas R. Cardello
    • Craig S. Donohue
    • Thomas A. Frank
    • David S. Goone
    • Robert R. Litterman
    • Alice Patricia White
  • Technology Committee
    • Thomas R. Cardello (Chair)
    • Stuart M. Bourne
    • Thomas Barrett
    • Craig S. Donohue
    • Thomas A. Frank
    • Christopher A. Isaacson
  • Term Expirations
    (Member Directors & Public Directors)
  • April 2021
    • Thomas R. Cardello
    • Maria Chiodi
    • Thomas A. Frank
    • Stephen Luparello
    • Alice Patricia White
  • April 2022
    • Stuart M. Bourne
    • Kurt M. Eckert
    • Susan E. Lester
    • Robert R. Litterman
    • William T. Yates
  • April 2023
    • Thomas Barrett
    • Richard R. Lindsey
    • Susan G. O’Flynn

Senior Officers
as of December 31, 2020

  • Craig S. Donohue
    Executive Chairman
  • John P. Davidson
    Chief Executive Officer
  • Scot E. Warren
    Chief Operating Officer
  • Janet M. Angstadt
    Chief Legal Officer and General Counsel
  • Julie W. Bauer
    Chief External Relations Officer
  • Jennifer Baum
    Chief Compliance Officer
  • Daniel T. Busby
    Chief Clearing and Settlement Services Officer
  • Carla Dawson
    Chief Human Resources Officer
  • Timothy J. Dwyer
    Managing Director, Strategic Technology
  • John J. Fennell
    Chief Risk Officer
  • Patrick H. Hickey
    Managing Director, Participant Services and Solutions
  • David A. Hoag
    Chief Information Officer
  • J. Matthew Hughes
    Managing Director, Business Engineering & Strategy
  • Saqib Jamshed
    Managing Director, Model Risk Management
  • Joseph P. Kamnik
    Chief Regulatory Counsel
  • Denise Knabjian
    Managing Director, Investor Education
  • Amy McCormick
    Managing Director, Market Risk & Default Management
  • Dale A. Michaels
    Chief Financial Risk Officer
  • Mark J. Morrison
    Chief Security Officer
  • Hugo A. Mugica
    Chief Audit Executive
  • Amy C. Shelly
    Chief Financial Officer
  • Vishal Thakkar
    Managing Director, Enterprise Risk Management
  • Lauren W. Wong
    Managing Director, Quantitative Risk Management
  • Dennis Woods
    Managing Director, Credit Risk Management
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