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