2012 IRC ORAL PANEL INVESTMENT RESEARCH CHALLENGE TEXAS

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1 2012 IRC ORAL PANEL INVESTMENT RESEARCH CHALLENGE TEXAS. Donald W. Hultgren CFA Sterne Agee Donald W. Hultgren is affiliated with the Sterne Agee investment banking firm in Birmingham Alabama. He offices in their Dallas location. Mr Hultgren was formerly the Chief Executive Officer, President and member of the Board of Directors of SWS Group, Inc. He joined the company in March 2000 as Executive Vice President and Director of Capital Markets. As Director of Capital Markets, Mr. Hultgren was responsible for equity research, institutional sales and trading, and corporate finance. Prior to his tenure at SWS, Mr. Hultgren served for 11 years in various capacities at Raymond James & Associates in St. Petersburg, FL. From 1999 to 2000, he was Managing Director, Investment Banking, with responsibilities for developing, retaining and providing strategic direction to corporate clients. He also served as Raymond James Director of Equity Research ( ), Associate Director of Equity Research ( ), Director of Health Care Research ( ), and Health Care Services Analyst ( ). As Director of Equity Research, Mr. Hultgren managed a department of more than 100 people, including 42 analysts with operations in St. Petersburg, New York and Houston. Mr. Hultgren began his career as an equity research analyst with Eppler Guerin & Turner, Inc. in Dallas in At Eppler, he provided advice on the health care and energy industries. In 1986, he joined Butcher & Singer, Inc. in Philadelphia as Vice President and Health Care Equity Research Analyst, a position he held until joining Raymond James in Mr. Hultgren earned a B.A. degree with dual majors in accounting and business administration from Augustana College in Rock Island, IL in He earned his M.B.A. with a concentration in finance from the University of Texas at Austin in A Chartered Financial Analyst, Mr. Hultgren is a member of the Association for Investment Management and Research and the Advisory Committee for the University of Texas MBA Investment Fund. He is past Chair of the American Heart Association, Dallas Division and continues to serve on the Heart Board, Dallas Division, and as a member of its Executive Committee. In 2004, Mr. Hultgren served as Co- Chair for the Côtes du Coeur gala that raised a record amount of funds for the American Heart Association. Mr.

2 Hultgren also serves on the Strategic Advisory Board of the CFA Society of Dallas-Fort Worth. Fred B. Labatt, CFA Director of Equity Research South Texas Money Management, Ltd. Fred B. Labatt, CFA serves as the firm's Director of Equity Research. Mr. Labatt's responsibilities include overseeing and coordinating the equity research efforts for STMM's team of research analysts. A native of San Antonio, Mr. Labatt has been involved in managing investment portfolios for over 20 years. Prior to joining STMM, Mr. Labatt was a partner at Glass Management/Hester Capital from ,where he was the Director of Equity Research and Portfolio Manager. Mr. Labatt also served as Director of Equity Research and Portfolio Manager for Austin Calvert & Flavin from From 1990 to 1996, Mr. Labatt also worked with South Texas Money Management CEO and Founder, Jeanie Wyatt at the Frost Trust Group, first as an Equity Analyst and then as Director of Equity Research. While at Frost, Mr. Labatt managed approximately $150 million of balanced portfolios and two employee benefit equity funds. Mr. Labatt earned his B.A in history from Vanderbilt University(1986) and his MBA from the University of Texas at Austin (1990). A chartered financial analyst (CFA-1993), Mr. Labatt has served on the boards of several charitable and civic organizations including being past President of the San Antonio Society of Financial Analysts. Brian McManus, CFA Director of Research, Westwood Management Mr. McManus earned a BSME from Rensselaer Polytechnic Institute, which he attended on a U.S. Navy Holloway Plan scholarship. Following four and a half years of duty in the U.S. Navy Civil Engineer Corps with duty in Guantanamo, Laos, Thailand and Iwo Jima, he returned to civilian life

3 and earned an MBA from Harvard University and a JD from Suffolk University. During his distinguished career, Mr. McManus has held numerous portfolio management and advisory positions, most recently with Q Investments where he managed a profitable hedged fund matched book in the equity financial sector. Mr. McManus has also worked at Bass Brothers Enterprises: Taylor & Co. where he was responsible for equity holdings and private placements in the U.S. financial sector. Mr. McManus has also served as the portfolio manager of the Anne Burnett and Charles D. Tandy Foundation of Fort Worth, Texas, was co-owner of an Investment Advisory firm specializing in equity investments for smaller companies and wealthy individuals and as the Chief Investment Officer and Mutual Fund Manager of the Hamilton Mutual Funds. Mr. McManus has served as President and Director of the Fort Worth Harvard Business School Club, National Director-at- Large for AIMR, President of the Denver Society of Security Analysts and Chairman of the Fort Worth Schools Committee for Harvard University. Currently he is a Director of the Carl B. & Florence E. King Foundation of Dallas, Trustee of the Rensselaer Polytechnic Institute Alumni Association and member of the DFW CFA Advisory Board. He earned his CFA Charter in Mr. McManus joined Westwood Management in 2003 and currently serves as the Director of Research - Administration. Tom Stringfellow, CFA, CPA, CFP President Frost Investment Advisors, LLC. Tom Stringfellow is the Chief Investment Officer for the Financial Management Group of Frost Bank and President of Frost Investment Advisors. In this role he supervises all portfolio management activities, research, and trading for the Frost Investment Group. Tom holds a bachelor s of arts degree in business administration from Southwest Texas State University and a master s degree in economics from St. Mary s University, and also a master s degree in business from Texas A & I University. Tom has served on a number of professional organizations including the American Institute of Certified Public Accountants and the CFA Institute. He is a former member of the Council for the AICPA and past president of the San Antonio Financial Analysts Society and the San Antonio Business and Economic Society. Tom has been with Frost Bank since 1980 and during that time has lectured at St. Mary s University and the University of Texas at San Antonio. Holland Timmins, CFA CIO, Texas Permanent School Fund Holland Timmins is Executive Administrator and Chief Investment Officer of the Texas Permanent School Fund. The PSF is a $22 billion fund which pays a portion of the cost

4 of public education in Texas. It is the second largest educational endowment in the country. The Fund currently guarantees over $49 billion in local school district bonds. Mr. Timmins has been with the PSF since 2000 and has served in his current position since Prior to joining the PSF, Mr. Timmins worked as an equity portfolio manager for the University of Texas Investment Management Company (UTIMCO) and the University of Texas System. He worked for the University of Texas from 1983 to Mr. Timmins earned a B.A. with honors in Political Science and Public Policy from Tulane University. He earned an M.A. in economics and an MBA from the University of New Orleans. Mr. Timmins is a CFA charterholder. He is a member of the CFA Institute and the CFA Society of Austin. Gene Vaughan, CFA Co-Founder of Vaughan Nelson Investment Management Gene Vaughan is founding chairman of Vaughan Nelson Investment Management, L.P., an investment management firm originated in Houston in After entering his profession as an investment analyst with the Putnam Management Company in Boston, from 1964 to 1970 he pioneered regional institutional research by creating the first such research group outside the east at Underwood, Neuhaus & Co. (NYSE) in Houston. In 1970, he founded Vaughan Nelson of which he was CEO until January 1, 2000 and currently serves as founding chairman. Within his profession, Mr. Vaughan, who earned his Chartered Financial Analyst designation in 1966, served as chairman of the Institute of Chartered Financial Analysts and of the Financial Analysts Federation. Leading their merger in 1990, he became the founding chairman and governor of the Association for Investment Management and Research (AIMR), now CFA Institute. The 2007 CFA Institute Annual Report called him The Father of AIMR. He also has served as president of the Houston Society of Financial Analysts (now CFA Society of Houston), as trustee of the Financial Analysts Research Foundation and as a regent of the Harvard Investment Management Workshop. Mr. Vaughan received a B.A. in 1955 from Vanderbilt University of which he has been a member of the Board of Trust since 1972 and serves on the Executive Committee. He was a J. Spencer Love Fellow at Harvard Business School, where he earned his M.B.A. in He served three years of active duty as an officer on a U.S. Navy destroyer in the Atlantic and Pacific. Mr. Vaughan is founding chairman (2000) and permanent director of Center for Houston s Future, the primary generator of civic leaders and strategic planning in the region. He served on the board and executive committee of the Greater Houston Partnership. He is current

5 chairman of The University of Texas Health Science Center at Houston Development Board comprising the medical, dental, nursing schools and The Institute of Molecular Medicine. He is a director present or past of the Houston Grand Opera, Goodwill Industries, United Way of the Texas Gulf Coast, Junior League Community Advisory Board, Collaborative for Children, chairman of the Houston Vanderbilt Chapter and the Harvard Business School Club, and president of The Houston Forum. He was founding chairman and trustee of Presbyterian School (early childhood grade 8) in Houston (1990) and served as a trustee of St. John s School. He is an elder of First Presbyterian Church. Mr. Vaughan was the tenth person to receive the Distinguished Service Award in the 61-year history of the CFA Institute (and predecessor organizations) and in 2005 The CFA Institute Magazine made him an inaugural selection of the profession s Most Inspiring. He received the Humanitarian Award from the American Jewish Committee (presented by his friend Sir John M. Templeton). He was given the Ethics in Action Award by the Greater Houston Partnership and the University of St. Thomas. He received the Milton R. Underwood Distinguished Alumnus Award from the Houston Vanderbilt Club and the inaugural Outstanding Service to the Profession Award from the CFA Society of Houston. Established in 2004 by Center for Houston s Future and presented by the Mayor, the Eugene H. Vaughan Civic Leadership Award is presented annually to an individual for outstanding lifetime civic spirit and leadership. In 2008 the Houston Forum honored him with the Benjamin N. Woodson Medal for Outstanding Community Leadership. He is a 2009 recipient of the Jefferson Award for exceptional contributions to the whole community. A native of Tennessee, Mr. Vaughan and his family have lived in Houston since 1964.

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