Nominations for Occ/Bod & Members 2001-02 Nominating
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The Options Clearing Corporation #14766 BackTO: to InfomemoALL CLEAR SearchING MEMBERS FROM: James C. Yong, First Vice President, Deputy General Counsel and Secretary DATE: December 28, 1999 SUBJECT: NOMINATIONS FOR THE OPTIONS CLEARING CORPORATION BOARD OF DIRECTORS AND MEMBERS OF THE 2001-2002 NOMINATING COMMITTEE Please be advised that the Nominating Committee will meet on January 26, 2000 at the offices of OCC. At the meeting, the Committee will nominate (i) three candidates for election as Member Directors of OCC for a three-year term ending in April, 2003, and (ii) three candidates for election as members of the Nominating Committee for a two-year term ending in April, 2002. The Nominating Committee will consider potential candidates proposed by Clearing Members. Please note that in order to be qualified for election either as a Member Director or as a member of the Nominating Committee, a candidate must be a Designee of a Clearing Member. A list of Clearing Member Designees is attached. Please forward the name of any Designee you would like to propose for election as a Member Director or a Member of the Nominating Committee either to: James C. Yong Secretary The Options Clearing Corporation 440 S. LaSalle Street, Suite 2400 Chicago, IL 60605 or to the members of the 2000-2001 Nominating Committee. For your convenience, the name and address of the members of the 2000-2001 Nominating Committee are: Norman R. Malo Dennis J. Donnelly National Financial Services Corporation McDonald Investments, Inc. 200 Liberty Street 800 Superior Avenue New York, NY 10281 Cleveland, OH 44114 James C. Tyree Philip H. Gocke Mesirow Financial, Inc. Tague Van der Moolen, LLC 350 North Clark Street 1900 Market Street Chicago, IL 60610 Philadelphia, PA 19103 Cynthia Zeltwanger Judith M. Kula FIMAT Futures USA, Inc. E.D. & F. Mann International Inc. 181 West Madison, Suite 3450 440 South LaSalle Street, 20th Floor Chicago, IL 60602 Chicago, IL 60605 Class II/term expires April, 2000 Class I/term expires April, 2001 If you have any questions regarding the above, please feel free to contact me at (312) 322-4451. Nc2000inf.doc Mr. William Cousins Mr. Ronald J. Kessler Mr. John C. Harris A.B. Financial L.L.C. A.G. Edwards & Sons, Inc. ABN AMRO Incorporated 401 South LaSalle St., Suite 1200 One North Jefferson Avenue 208 South LaSalle Street Chicago, IL 60605 St. Louis, Missouri 63103 Chicago, IL 60604 Mr. Arthur Goldberg Mr. C. Mark Bold Mr. Kurt D. Halvorson ABN AMRO Sage Corporation ABN AMRO Sage Corporation Advanced Clearing, Inc. 440 South LaSalle Street 220 Bush Street, Suite #660 4211 S. 102 St. Chicago, IL 60605 San Francisco, CA 94104 P.O. Box 2226 Omaha, NE 68103-2226 Mr. Warren F. Pavlik Mr. Thomas J. Kennedy Mr. Charles J. Rodriguez Advest, Inc. Alpine Associates Arnhold and S. Bleichroeder, Inc. 40 Rector Street 120 BroadwaySuite 913 1345 Avenue of the Americas New York, NY 10006 New York, NY 10271 New York, NY 10105 Mr. Michael Hont Mr. William Gangi Mr. Bernard L. Madoff Asiel & Co. L.L.C. Bear, Stearns Securities Corporation Bernard L. Madoff Investment Securities 20 Broad Street 1 Metrotech Center North 885 Third Avenue, 18th Floor New York, NY 10005 Brooklyn, NY 11201-3859 New York, NY 10022 Mr. Lawrence E. Donato Mr. William T. Spane Mr. Chris Viegas BHC Securities, Inc./1 Commerce Square Fiserv Securities, Inc../ 1 Commerce Square BHF Securities Corporation 2005 Market Street, Ste.. 1200 2005 Market Street, Ste 1200 590 Madison Ave. Philadelphia, PA 19103 Philadelphia, PA 19103 New York, NY 10022 Mr. Thomas J. Mahoney Mr. Edward L. Ellis Mr. Frank O’Connor BNP Securities (U.S.A.), Inc. BNY ESI & Co., Inc. Brown & Company Securities Corp. 3 Radnor Corporate Center 1633 Broadway One Beacon Street Radnor, PA 19087 New York, NY 10019 Boston, MA 02108 Mr. J. Michael Connelly Mr. Rodney Trautvetter Ms. Patricia Pokuta BT Alex Brown Incorporated Burke, Christensen and Carr Futures, Inc. 375 West Padonia Road Lewis Securities, Inc. 10 South Wacker Drive Timonium, MD 21093 303 West Madison St., 4th Flr Ste 1125 Chicago, IL 60606 Chicago, IL 60606 Mr. Wayne Fieldsa Ms. Susan H. VanHorn Mr. Michael Schwartz Charles Schwab & Co., Inc. Chase Futures & Options, Inc. CIBC World Markets Corp.. 440 S. LaSalle Street 10 South LaSalle Street CIBC Oppenheimer Tower Suite 3720 Chicago, IL 60603 World Financial Center Chicago, IL 60605 200 Liberty St. New York, NY 10281 Mr. G. W. K. Kleberg Mr. Ashok V. Bhatia Mr. Michael Walsh CIBC World Markets Inc. Citicorp Securities Services, Inc. Commerzbank Capital Markets Corp. BCE Place, 161 Bay Street 111 Wall Street 1251 Avenue of the Americas Toronto, Ontario M5J 2S8 New York, NY 10005 New York, NY 10020 Mr. Frank J. DeCongelio Ms. Michelle R. White Mr.Thomas Anzalone Credit Suisse First Boston Corporation Dain Rausher Inc. Daiwa Securities America Inc. 5 World Trade Center7th Floor 510 Marquette Ave SouthSuite 1300 Financial Square32 Old Slip New York, NY 10048 Minneapolis, MN 55402 New York, NY 10005-3538 Mr. Tony Miliote Mr. Bruce Glaser Mr. Joseph J. Dattolo Dean Witter Reynolds Inc. Deutsche Bank Securities DLJ Pershing Div 2 World Trade Center, 66th Floor 1251 Avenue of the Americas 1 Pershing Plaza, 8th Floor New York, NY 10048 New York, NY 10104-0101 Jersey City, NJ 07399 Mr. Jeffrey Nachman Ms. Lisa Bredeson Mr. Robert C. Doebler Dreyfus Brokerage Services, Inc. E-Trade Securities, Inc. E.D.& F Man International Inc. 5757 Wilshire Blvd. Four Embarcadero Place 440 S. LaSalle Street Los Angeles, CA 90036 2400 Geng Road 20th Floor Palo Alto, CA 94301 Chicago, IL 60605 Mr. William P. Behrens Mr. Thomas Grabowski Mr. Albert G. Lowenthal Investec Ernst & Co. BNY Clearing Services LLC Fahnestock & Co. Inc. One Battery Park Plaza 111 East Kilbourn 125 Broad Street 6th Floor Milwaukee, WI 53202 New York, NY 10004 New York, NY 10004-1405 Mr. Paul J. Geidel Ms. Cynthia Zeltwanger Mr. Frank Traylor Ferris, Baker Watts, Inc. Fimat Futures USA, Inc. First Albany Corporation 1720 Eye Street 181 West Madison Street 30 South Pearl Street Washington , DC 20006 Suite 3450 Albany, NY 12207 Chicago, IL 60602 Mr. W. Robert Felker Mr. Lee Sanford Mr. W. David Wood Banc One Brokerage International First Clearing Corporation First Marathon Securities Limited One First National Plaza 901 East Byrd Street The Exchange Tower Suite 401 Richmond, VA 23219 130 King Street West Chicago, IL 60670-0401 Suite 3200, P.O. Box 21 Toronto, Ontario M5X 1J9 Mr. Timothy R. Mullen Mr. George A. Johnson Mr. Leslie C. Quick III First Options of Chicago, Inc. Fiserv Correspondent Services, Inc. Fleet Securities, Inc. 440 South LaSalle Street 1125 17th Street 26 Broadway Chicago, IL 60605 Suite 1700 New York, NY 10004 Denver, Colorado 80202 Mr. James C. Hicks Mr. Anthony J. Monaco Mr. Peter Bailey Freeman Welwood & Co., Inc. Goldman, Sachs & Co. Gordon Capital Corporation 1700 Century Square 85 Broad Street Box 67, Suite 5300 Toronto Dominion Centre 1501 4th Avenue 9th Floor Toronto, Ontario M5K 1A2 Seattle, WA 98101 New York, NY 10004 Mr. G. J. O’Mahoney Mr. Thomas W. Grant Mr. John R. Stone Green Line Investor Services Inc. H.G. Wellington & Co., Inc. Hambrecht & Quist LLC P.O. Box 1 Toronto Dominion Centre 14 Wall Street One Bush Street, 14th Floor Toronto , Ontario M5K 1A2 New York, NY 10005 San Francisco, CA 94104 Mr. Anthony T. Geraci Mr. Richard Terrell Mr. M. Blair Hull Herzog, Heine, Geduld, Inc. Howe Barnes Investments, Inc. Hull Trading Co., LLC 525 Washington Blvd 135 S. LaSalle Street 311 South Wacker Drive Jersey City, NJ 07310 Suite 1500 Suite 1400 Chicago, IL 60603 Chicago, IL 60606 Mr. Howard Kotzen Mr. Edward H. Oberst Mr. Charles R. Hood ING (U.S.) Securities, Partner Instinet Corporation Futures & Options, Inc. Ingalls & Snyder L.L.C. 875 Third Avenue 440 S. LaSalle Street 61 Broadway New York, NY 10022 Suite 2800 New York, NY 10006 Chicago, IL 60605 Mr. John Felber Mr. Robert D. Doll Mr. Vincent Mattera General Partner J.J.B. Hilliard, J.P. Morgan Securities Inc. J.C. Bradford & Co., L.L.C. W.L. Lyons, Inc. 60 Wall Street, 18th Floor 330 Commerce Street P.O. Box 32760 New York, NY 10260 Nashville, TN 37201 Louisville, Kentucky 40232 Mr. David J. Cunningham Mr. Rudy Gamboa Ms. Donna K. Chase-Shahabi Janney Montgomery Scott LLC JB Oxford & Company Jeffries & Company, Inc. 1801 Market Street 9665 Wilshire Blvd., 3rd Floor 11100 Santa Monica Boulevard Philadelphia, PA 19103 Beverly Hills, CA 90212 12th Fl. Los Angeles, CA 90025 Mr. Arnold Weinberg Mr. Mark Criscitello Mr. Kevin McHale JW Genesis Clearing Corp. Kalb Voorhis & Co., LLC Kellner, DiLeo & Co. 980 North Federal Highway #210 27 William Street 900 3rd Avenue, 10th Floor Boca Raton, FL 33432 New York, NY 10005 New York, NY 10022 Ms. Cathy Schwarz Mr. Mark Gannon Mr. D. Stuart Bowers Ladenburg, Thalmann & Co. Inc. Lakeshore Securities, L.P. Legg Mason Wood Walker, Inc. 590 Madison Avenue 401 South LaSalle Street 100 Light Street New York, NY 10022 Chicago, IL 60605 P.O. Box 1476 Baltimore, MD 21203-1476 Mr. Mark Sanborn Mr. Eugene Januszewski Mr. Thomas Conroy Lehman Brothers Inc. Levesque Beaubien Geoffrion Inc. LFG, L.L.C. 3 World Financial Center 1155 Metcalfe 233 S. Wacker Drive, 23rd Fl. New York, NY 10285 Montreal, Quebec H3B 4S9 Chicago, IL 60604 Mr. Stephen Castellano Ms. Karen Davies Mr. Frank Mangiafico Maple Partners U.S.A. Inc. McDonald Investments Inc. Merrill Lynch Professional Clearing Corp. 101 Hudson Street 800 Superior Avenue 101 Hudson Street Jersey City, NJ 07302 Suite 2100 Jersey City, NJ 07302 Cleveland, OH 44114 Mr.