Paul M. Hazen
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Chairman of KKR Financial Holdings LLC
Mr. Hazen is the chairman of KFN's board of directors. Mr. Hazen joined Wells Fargo in 1970, serving as Chairman of Wells Fargo from February, 1997 to May, 2001, Chairman and Chief Executive Officer from February 1997 to November 1998, Chief Executive Officer from January 1995 to February 1997, President and Chief Operating Officer from 1984 to 1995 and Vice Chairman from 1981 to 1984. Mr. Hazen is also the former President of Wells Fargo Real Estate Investment Trust, a publicly traded REIT, from 1973 to 1978. Mr. Hazen retired after he left his post as Chairman of Wells Fargo in May, 2001 and remained in retirement until he accepted his appointment as Chairman of our board of directors. During his retirement Mr. Hazen has carried out his duties as Chairman of Accel-KKR Company, Deputy Chairman and Lead Independent Director of Vodafone PLC and Lead Independent Director of Safeway Inc. Mr.Hazen is currently the Lead Independent Director of Safeway, Inc., a director of Xstrata Plc. and Prosper Marketplace, Inc.
| Holdings: 538,169 shares
View Transactions
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| Date |
Type |
Shares Traded |
Price Range |
| Aug 20, 2010 |
Buy |
125,000 |
8.04 |
| Aug 18, 2010 |
Acquisition (Non Open Market) |
16,350 |
8.48 |
| Aug 17, 2010 |
Acquisition (Non Open Market) |
6,000 |
8.39 |
| Aug 9, 2010 |
Acquisition (Non Open Market) |
13,483 |
8.90 |
| Aug 12, 2009 |
Acquisition (Non Open Market) |
43,010 |
2.79 |
| Jul 1, 2008 |
Acquisition (Non Open Market) |
11,505 |
n/a |
| Sep 24, 2007 |
Option Execute |
52,519 |
14.40 |
| Jul 2, 2007 |
Acquisition (Non Open Market) |
4,868 |
n/a |
| Jul 3, 2006 |
Acquisition (Non Open Market) |
5,615 |
n/a |
| Jul 1, 2005 |
Acquisition (Non Open Market) |
4,819 |
n/a |
| Jun 23, 2005 |
Statement of Ownership |
0 |
n/a |
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R. Glenn Hubbard
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Director
Mr. Hubbard has been a director since October 2004. He was named the Dean of Columbia University's Graduate School of Business in 2004. From 1994 to the present time, Mr. Hubbard has been the Russell L. Carson Professor of Finance and Economics in the Department of Economics and Graduate School of Business of Columbia University. From February 2001 until March 2003, he took a leave of absence from his teaching post to serve as Chairman of the U.S. Council of Economic Advisers. He was Deputy Assistant Secretary of the U.S. Treasury Department for Tax Policy from 1991 to 1993. Mr. Hubbard is a research associate at the National Bureau of Economic Research, and a visiting scholar at the America Enterprise Institute in Washington, D.C. He is currently a director of ADP, Inc., BlackRock Closed-End Funds, Capmark, Information Services Group, MetLife, Inc., and Ripplewood Holdings. He is also Chairman of the Economic Club of New York.
| Holdings: 66,576 shares
View Transactions
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| Date |
Type |
Shares Traded |
Price Range |
| Aug 9, 2010 |
Acquisition (Non Open Market) |
11,235 |
8.90 |
| Aug 12, 2009 |
Acquisition (Non Open Market) |
35,842 |
2.79 |
| Sep 24, 2007 |
Option Execute |
1,765 |
14.40 |
| Aug 2, 2007 |
Buy |
5,000 |
19.95 |
| Jul 2, 2007 |
Acquisition (Non Open Market) |
2,839 |
n/a |
| May 8, 2007 |
Buy |
2,000 |
26.95 |
| Jul 3, 2006 |
Acquisition (Non Open Market) |
3,275 |
n/a |
| Jul 1, 2005 |
Acquisition (Non Open Market) |
4,620 |
n/a |
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Ross J. Kari
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Director
Ross Kari has been a director since August 2004 and is currently chief financial officer of the Federal Home Loan Mortgage Corporation (Freddie Mac) since September 09. Mr. Kari is a veteran finance executive with broad experience in the mortgage business and financial services industry. For the previous year, Mr. Kari served as chief financial officer of Fifth Third Bancorp in Cincinnati, Ohio. Before joining Fifth Third in 2008, Kari served as executive vice president and CFO of Safeco Corporation in Seattle where he managed a team of 250 financial professionals and helped grow business line revenue while enhancing essential risk management processes. From 2002 to 2006, Mr. Kari served as executive vice president and chief operating officer for another housing government-sponsored enterprise, the Federal Home Loan Bank of San Francisco. Mr. Kari spent a large portion of his career at Wells Fargo from 1983 to 2001, during which time he rose from senior financial analyst to executive vice president and chief financial officer.
Mr. Kari received a Bachelor of Science degree in Mathematics and earned his MBA in Finance, graduating first in his class, both from the University of Oregon.
| Holdings: 54,810 shares
View Transactions
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| Date |
Type |
Shares Traded |
Price Range |
| Aug 9, 2010 |
Acquisition (Non Open Market) |
7,865 |
8.90 |
| Aug 12, 2009 |
Acquisition (Non Open Market) |
25,089 |
2.79 |
| Jul 1, 2008 |
Acquisition (Non Open Market) |
6,711 |
n/a |
| Sep 24, 2007 |
Option Execute |
2,219 |
14.40 |
| Jul 2, 2007 |
Acquisition (Non Open Market) |
2,839 |
n/a |
| Jul 3, 2006 |
Acquisition (Non Open Market) |
3,275 |
n/a |
| Jul 1, 2005 |
Acquisition (Non Open Market) |
2,812 |
n/a |
| Jun 23, 2005 |
Statement of Ownership |
0 |
n/a |
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Scott C. Nuttall
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Member, KKR
Scott C. Nuttall, a Member of Kohlberg Kravis Roberts & Co. L.P., has been a director since July 2004 and has been with KKR for ten years. He has played a significant role in KKR's investments in Alea Group Holdings (Bermuda) Ltd., Amphenol Corporation, Bristol West Holdings, Inc., Capmark Financial Group Inc.(formerly GMAC Commercial Holdings), KinderCare Learning Centers, Masonite International Corporation, Walter Industries and Willis Group Holdings Ltd. He is currently a member of the board of directors of Alea Group Holdings (Bermuda) Ltd., Capmark Financial Group Inc., and, Masonite International Corporation. Prior to joining KKR, he was with the Blackstone Group where he was involved in numerous merchant banking and merger and acquisition transactions.
He received a BS Summa Cum Laude from the University of Pennsylvania.
| Holdings: 338,926 shares
View Transactions
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| Date |
Type |
Shares Traded |
Price Range |
| Mar 17, 2010 |
Buy |
10,000 |
7.72 |
| Apr 8, 2008 |
Buy |
189,426 |
11.85 |
| Oct 2, 2007 |
Acquisition (Non Open Market) |
82,000 |
14.40 |
| Sep 24, 2007 |
Option Execute |
12,665 |
14.40 |
| Aug 2, 2007 |
Buy |
7,500 |
20.36 |
| Aug 1, 2007 |
Buy |
5,000 |
19.73 |
| May 11, 2007 |
Buy |
20,000 |
26.29 |
| Aug 21, 2006 |
Acquisition (Non Open Market) |
198,995 |
n/a |
| Aug 21, 2006 |
Disposition (Non Open Market) |
397,956 |
n/a |
| Jul 14, 2006 |
Disposition (Non Open Market) |
625,000 |
n/a |
| Jul 14, 2006 |
Acquisition (Non Open Market) |
319,259 |
n/a |
| May 31, 2006 |
Buy |
5,000 |
21.46 |
| Mar 15, 2006 |
Buy |
7,500 |
23.00 |
| Sep 16, 2005 |
Buy |
12,500 |
22.53 |
| Sep 7, 2005 |
Acquisition (Non Open Market) |
198,995 |
n/a |
| Sep 7, 2005 |
Disposition (Non Open Market) |
397,956 |
n/a |
| Jul 14, 2005 |
Acquisition (Non Open Market) |
1,875,000 |
n/a |
| Jun 23, 2005 |
Statement of Ownership |
0 |
n/a |
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Ely L. Licht
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Director
Mr. Licht has been a director since April 2005. Mr. Licht is currently an Executive Vice President and Chairman of Credit Policy for Capmark Financial Group Inc. Prior to joining Capmark in March 2007, Mr. Licht was in retirement. From January 2002 to December 2002, Mr. Licht was semi-retired, serving as a consultant to Wells Fargo on a part-time basis. Prior to his semi-retirement, Mr. Licht was employed at Wells Fargo for 18 years, including as Chief Credit Officer from November 1998 to December 2001, and Executive Vice President for Credit Administration from February 1990 to November 1998.
| Holdings: 62,987 shares
View Transactions
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| Date |
Type |
Shares Traded |
Price Range |
| Aug 9, 2010 |
Acquisition (Non Open Market) |
7,865 |
8.90 |
| Aug 12, 2009 |
Acquisition (Non Open Market) |
25,089 |
2.79 |
| Jul 1, 2008 |
Acquisition (Non Open Market) |
6,711 |
n/a |
| Sep 24, 2007 |
Option Execute |
3,793 |
14.40 |
| Aug 22, 2007 |
Buy |
5,000 |
15.68 - 15.73 |
| Jul 2, 2007 |
Acquisition (Non Open Market) |
2,839 |
n/a |
| Jul 3, 2006 |
Acquisition (Non Open Market) |
3,275 |
n/a |
| Aug 4, 2005 |
Buy |
5,000 |
24.44 |
| Jul 1, 2005 |
Acquisition (Non Open Market) |
3,415 |
n/a |
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Deborah H. McAneny
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Director
Ms. McAneny has been a director since April 2005. Ms. McAneny is currently Chief Operating Officer of Benchmark Assisted Living. Prior to that she was employed at John Hancock Financial Services for 20 years, including as Executive Vice President for Structured and Alternative Investments of John Hancock Financial Services and as a member of its Policy Committee from 2002 to 2004, Senior Vice President for John Hancock's Real Estate Investment Group from 2000 to 2002, and as a Vice President of the Real Estate Investment Group from 1997 to 2000. She is currently a director of HHF, Inc. and on the Board of Trustees of the University of Vermont and is a past President of the Commercial Mortgage Securities Association.
| Holdings: 33,716 shares
View Transactions
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| Date |
Type |
Shares Traded |
Price Range |
| Jul 1, 2008 |
Acquisition (Non Open Market) |
6,711 |
n/a |
| Sep 24, 2007 |
Option Execute |
4,476 |
14.40 |
| Aug 23, 2007 |
Buy |
3,000 |
16.03 |
| Jul 2, 2007 |
Acquisition (Non Open Market) |
2,839 |
n/a |
| Jul 3, 2006 |
Acquisition (Non Open Market) |
3,275 |
n/a |
| Jul 5, 2005 |
Buy |
10,000 |
24.75 - 24.85 |
| Jul 1, 2005 |
Acquisition (Non Open Market) |
3,415 |
n/a |
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Vincent Paul Finigan
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Director
Mr. Finigan has been a director since February 2006. He is with the firm of Snyder Miller & Orton LLP. He was a Partner of Morgan, Lewis & Bockius LLP from 2003 to 2007 and was with Brobeck, Phleger & Harrison LLP from 1972 to 2003.
| Holdings: 8,898 shares
View Transactions
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| Date |
Type |
Shares Traded |
Price Range |
| Sep 24, 2007 |
Option Execute |
1,447 |
14.40 |
| Jul 2, 2007 |
Acquisition (Non Open Market) |
2,839 |
n/a |
| Jul 3, 2006 |
Acquisition (Non Open Market) |
4,612 |
n/a |
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Tracy Collins
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Director
Ms. Collins was elected to serve on the Company's Board of Directors in August 2006. During her career in financial services, Ms. Collins has worked as a Senior Managing Director and Head of Asset-Backed Securities Research at Bear Stearns & Co., Inc. and as a Managing Director and Head of Asset-Backed Securities Research at Credit Suisse Group (formerly known as Credit Suisse First Boston).
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Willy Strothotte
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Director
Mr. Strothotte has been a director since January 2007. Mr. Strothotte is Chairman of Glencore International AG. From 1961 to 1978, Mr. Strothotte held various positions with responsibility for international trading in metals and minerals in Germany, Belgium and the USA. In 1978, Mr. Strothotte joined Glencore International, taking up the position of Head of Metals and Minerals in 1984. Mr. Strothotte was appointed Chief Executive Officer of Glencore in 1993 and held the combined positions of Chairman and Chief Executive Officer from 1994 until 2001, when the roles of Chairman and Chief Executive Officer were split. Mr. Strothotte has been Chairman of Xstrata AG since 1994, and Chairman of Xstrata plc since February 2002, and is currently a director of Century Aluminum Corporation and Minara Resources Limited.
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Scott Ryles
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Director
Mr. Ryles has been a director since November 2008. He has been Vice Chairman of Cowen and Company since February 2007. Prior to joining Cowen and Company, Mr. Ryles served as the CEO of Procinea Management LLC and was the founder, Chief Executive Officer, and President of Epoch Partners, Inc. Mr. Ryles also spent 18 years at Merrill Lynch in various investment banking positions including Co-Head of West Coast Investment Banking, Co-Head of Corporate Finance, Global Head of Natural Resources and Global Head of Technology. Mr. Ryles is a Director of ArcSight, Inc. and Fortify Software, Inc.
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William C. Sonneborn
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Director
William C. Sonneborn has been a director since December 2008. Prior to joining KKR, he spent over 10 years at The TCW Group, Inc. most recently as President and Chief Operating Officer and CEO of The TCW Funds, Inc. and a member of the executive committee of Societe Generale Asset Management, S.A. His responsibilities at TCW included overseeing and developing portfolio management, operations, and sales and marketing in both traditional and alternative investments. He has also served as member of the board of directors of The TCW Group, Inc. and Sompo Japan Asset Management in Tokyo, Japan. Prior to TCW, he spent 6 years in investment banking at Goldman, Sachs & Co. in both New York and Hong Kong predominantly focused on executing mergers & acquisitions for financial institutions. Mr. Sonneborn graduated with honors from Georgetown University.
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