Industries | Brock Capital

Curt Launer Managing Director

telephone 212-209-3000

clauner@brockcapital.com

Co-head, Energy investment banking group; Founder, Bakken Energy, developer of clean hydrogen production, transportation and storage applications.

Won Institutional Investor Magazine’s first place honors for twelve of thirteen years; Inducted into Institutional Investor’s Hall of Fame in 2011 and named “one of the best analysts of all time.”

Equity research analyst at Donaldson, Lufkin & Jenrette (DLJ) and First Boston, covering natural gas, pipelines, exploration, production and midstream infrastructure industries.

Expertise in energy infrastructure, MLP qualifying assets, exploration & production and Liquefied Natural Gas; Led teams at Sagent Advisors, Deutsche Bank and S2K Financial.

Originated and participated in over $30 billion in merger and acquisition transactions and over $50 billion in equity and debt capital raising; Testified before Congress and industry regulators regarding gas and oil pipelines, MLPs and natural gas related issues as well as the proceedings involving the demise of Enron, where he assisted the investigation and prosecution of former executives.

B.S. Accounting, State University of New York – Buffalo.

Alain Lebec Senior Managing Director

telephone 212-209-3000

Investment banker, head of Mergers and Acquisitions and private equity.

Chairman of the Investment Committee, Brock Opportunity Fund; Co-founder, Reading Excellence and Discovery Foundation; Director, United Way. Former Vice Chairman, Merrill Lynch Investment Banking and Chairman/Co-CIO, Merrill Lynch Ventures.

l’École Polytechnique (Paris, France); Northwestern U. Kellogg School M.B.A

Ennius E. Bergsma Senior Managing Director

telephone 212-209-3000 ext. 210

Senior consultant, advisor in global corporate finance; corporate and business unit strategy, M&A and marketing in consumer goods, telecomm and e-commerce.

Investor, Director and Chief Strategy Officer, Passlogix; Chairman, the Netherland-America Foundation; Trustee, the Hewitt School; Honorary Board Member, Chair and President, Harvard Business School Club of Greater New York; Member, Harvard Business School Alumni Council. Former Senior Director, McKinsey & Company, Inc.; Founder and Leader, Global Corporate Finance Practice of McKinsey; Co-Leader, McKinsey’s E-Commerce Practice.

University of Leiden, the Netherlands, Candidate and Masters Degree in Corporate and Commercial Law; Harvard Business School, M.B.A.

Ellen R. Marram Senior Managing Director

telephone 212-209-3000 ext. 333

Former CEO, consumer products companies; branding/marketing expert; former private equity partner and chair of portfolio companies; director of public, private and non-profit institutions.

President, Barnegat Group LLC; Managing Director and Operating Advisor, North Castle Partners, LLC; Director and Chair, Nominating and Governance Committee, Eli Lilly & Co., Ford Motor Company; Presiding Director, Finance Committee Chair, The New York Times Company.

Former CEO, Tropicana; CEO, Nabisco Biscuit Company.

Wellesley College B.A.; Harvard Business School M.B.A.

Charles O. Svenson Senior Managing Director

telephone 212-209-3000 ext. 125

Charles's Linkedin Page

Investment banker, expertise in energy, alternative energy, project finance and transportation.

Co-Chairman, Investment Committee of Hamilton College; Trustee, Natural History Museum of the Adirondacks; Chairman, the Adirondack Nature Conservancy and Adirondack Land Trust; President, Harvard Law School Association of New York City

Former Managing Director, Donaldson, Lufkin & Jenrette (now Credit Suisse); VP, Head of Project Finance, Goldman Sachs; Dewey, Ballantine, Busby, Palmer & Wood

Hamilton College B.A.; Harvard Law School LL.B.

Norman H. Brown, Jr. Senior Managing Director

telephone 212-209-3000 ext. 215

Investment banker; expert in metals, mining, infrastructure and mergers & acquisitions.

Headed restructuring and metal & mining, Donaldson, Lufkin & Jenrette, Inc, Credit Suisse First Boston; SVP, Head of M&A Department, E.F. Hutton; Director, Macquarie Infrastructure Company Trust; Trustee and member, Investment Committee of the University of Oregon Endowment Foundation.

University of Oregon B.A.; University of Pennsylvania Wharton School M.B.A.

David O. Zenker, Jr. Senior Managing Director

telephone 212-209-3000

David's Linkedin Page

David O. Zenker, Jr. has been a member of Brock Capital Group LLC since 2003. He is an investment banker, principal and advisor specializing in the conception, planning and funding of start-up and early-stage companies whose product or service represents a paradigm shift that offers a self-evident, marked improvement over current standards. Mr. Zenker’s particular areas of interest are biotech, medical devices, alternative energy and sustainable business models with commercial and social significance.

David O. Zenker, Jr. has been a member of Brock Capital Group LLC since 2003. He is an investment banker, principal and advisor specializing in the conception, planning and funding of start-up and early-stage companies whose product or service represents a paradigm shift that offers a self-evident, marked improvement over current standards. Mr. Zenker’s particular areas of interest are biotech, medical devices, alternative energy and sustainable business models with commercial and social significance.

Mr. Zenker began his career in 1977 in the Investment Analysis and Research Department at J. Henry Schroder-Wagg in London. In 1978, he formed a partnership, Frith, Kirk & Zenker, providing management and marketing consulting services to European companies operating in the Arabian Gulf. He was based in Sharjah, U.A.E. where to complement his consulting work, he developed and managed under the direction of Frederick Pittera, an American pioneer in the exhibition industry, the Arabian Gulf’s leading exhibition, conference and entertainment center from 1978 – 1982. Following the overthrow of the Shah of Iran in 1979, the assassination of Egyptian President Sadat in 1981 and the general economic downturn of the region, in mid-1982 Mr. Zenker returned to the U.S. where for two summer seasons he was the Executive Director of the Waterloo Foundation for the Arts, overseeing the foundation’s historic village and music festival in Stanhope, NJ. In 1983, Mr. Zenker joined the fixed income department at Bear Stearns in New York, working first in high yield bonds and then specializing in bankruptcies and restructurings. He subsequently worked in the same field at Oppenheimer & Co. from June 1988 to June 1991 and Jefferies & Co. from July 1991 to April 1993. Following Jefferies, he served as President of Van Beuren Capital Management where he acted as both principal and advisor in connection with private equity investments related to energy, life sciences, real estate, gaming, advertising and general industrial manufacturing. Mr. Zenker has a B.A. from Brown University and a M.B.A. from the Wharton School of Business.

Short Biography

Jongsoo James Lee Managing Director

telephone 212-209-3000 ext. 165

Investment banker; business consultant; published author; expert in Asian, Eurasian and global affairs.

Experienced in M&A, strategic advisory work, and capital raises in industries such as energy, technology, mining, life sciences, transportation, consumer goods, and commercial real estate; previously, Director, Brock Capital Group; Editor-in-Chief, Harvard Asia Quarterly; Center Associate, Davis Center for Russian and Eurasian Studies, Harvard University; Associate in Research, Korea Institute, Harvard University; <a href=”http://www.finra.org” target=”_blank”>FINRA</a> Series 7 & 63; Member, Pacific Council on International Policy.

Williams College B.A.; Harvard University Ph.D.

Louis A. Bradbury Senior Managing Director

telephone 212-209-3000

Former CEO, tax lawyer, investment banker, principal in private equity firm; private investor.

Former CEO, Bradbury & Company, Revere Copper & Brass; OCWEN Financial; Vice President, Merrill Lynch; Attorney, Covington & Burling; Department of Justice; President, Board of Directors, GMHC.

Northwestern University B.A.; Harvard Law School J.D

Louis A. Bradbury is a member of Brock Capital Group LLC.

Previously, Mr. Bradbury was a Participating Fellow at Civic-Exchange Thinktank, where he performed analysis of macro factors impacting the labor situation in the Pearl River delta, Hong Kong, China. Prior to Civic-Exchange Thinktank, he worked at Bradbury & Company, which served as a primary vehicle for consulting and venture capital investing and which he also used for the management of personal and family assets.

Mr. Bradbury was President, CEO, and a Member of the Board of Directors at Revere Copper & Brass Inc., a Fortune 500 Company with sales of over $700M. Mr. Bradbury negotiated and directed tender offer and acquisition financing of the company. He also served as Executive Vice President and a Member of the Board of Directors at OCWEN Financial Company, where he was Head of M&A activities as principal in Merchant Banking Department.

Prior to that, Mr. Bradbury was a Vice President in Capital Markets at Merrill Lynch & Co and an Associate Attorney at Rogers & Wells, where he specialized in international taxation and securities and formed the Mexico Fund, a prototype mutual fund for equity securities of a foreign country. He was also an Associate Attorney at Covington & Burling, and an Attorney in the Appellate Division of the Tax Division of the U.S. Department of Justice.

Mr. Bradbury is President of the Board of Directors at the Calamus Foundation. Previously, he has served as a Member of the HIV Advisory Council for Save the Children (USA), a Member of the Board of Trustees for the Point Foundation, President of the Board of Directors at GMHC, Inc., a Member of Visiting Committee at Northwestern University, and a Member of the Board of Directors for Planned Parenthood of New York. In 2000, Mr. Bradbury received the Alumni Merit Award from Northwestern University.

Louis A. Bradbury has a B.A. from Northwestern University and a J.D. from Harvard Law School.

Short Biography

Jenne K. Britell Advisor

telephone 212-209-3000

Former CEO, global and domestic diversified financial services companies and advisor to private equity, venture capital, and public companies in the areas of financial products and services; professional director, public and private companies and non-profits, including positions as non-executive Chairman, Audit Committee Chair, and designated financial expert

President, Global Commercial and Mortgage Banking and Executive Vice President, Global Consumer Finance, GE Capital; former President and CEO, GE Capital, Central and Eastern Europe; President and CEO, GE Mortgage Services Senior Advisor to E-Bay and PayPal for Financial Services; Chairman, United Rentals; Chairman of Audit Committee and designated financial expert, Crown Holdings; Director, member of Audit and Finance Committee, designated financial expert, and member of Compensation Committee, Quest Diagnostics; Director and Chairman of Audit Committee, U.S. Russia Fund and U.S. Russia Foundation for Entrepreneurship and the Rule of Law; Former Director, TIAA-CREF and Aames Investment Corp., and Director and designated financial expert, Lincoln Financial and West Pharmaceutical Services.

Harvard University, B.A., M.A.; Columbia University, M.S., Ph.D.

Jenne K. Britell, Ph.D., is the Chairman of United Rentals, Inc. (NYSE:URI). She is also the Chairman and CEO of Structured Ventures, Inc, advisors on financial services business and product strategy to U.S. and foreign companies. She is a director of two additional NYSE companies: Crown Holdings, Inc.(CCK);* and Quest Diagnostics Inc. (DGX).** She is also a director of the U.S. Russia Investment Fund and the U.S. Russia Foundation, and a Sustaining Trustee of the Fox Chase Cancer Center.

Dr. Britell is a former senior executive of GE Capital. At GE Capital, until March 2000, she served as the Executive Vice President of Global Consumer Finance and President of Global Mortgage and Commercial Banking. Previously, she was President and CEO of GE Capital, Central and Eastern Europe. Based in Vienna, she had responsibility for the GE Capital consumer and commercial banking businesses in the region, as well as in Austria and Switzerland, and for the consumer finance business in Germany. Prior to that, as President and CEO, she led the turnaround of GE Capital Mortgage Services. At GE, she was recognized as a business leader who led turnarounds or enhanced profitability, with outstanding Six Sigma and compliance performance. She also served as Chairman of the Management or Supervisory Boards of many foreign GE-owned banks.

From 1993-1996, she was Executive Vice President, Chief Lending Officer, and General Manager, Mortgage Banking, of Dime Bancorp, where she led the turnaround of the Dime’s mortgage business, among other efforts.

From 1990-1993, as Chairman and CEO of HomePower, Inc., she was a senior advisor to many national and international corporations, including Chase, Dime, MONY, the Central European Development Corp., the Polish-American Enterprise Fund and the World Bank. She was also the founding Chairman and CEO of the Polish-American Mortgage Bank, in Warsaw, Poland. This Bank was the first private western-style residential construction/mortgage bank, in Central and Eastern Europe.

Previously, Dr. Britell held senior positions at Citicorp and Republic New York Corporation (now HSBC).

She received her B.A., with honors, and M.A. from Harvard University and her M.S. (business administration) and Ph.D. from Columbia University.

Dr. Britell was formerly Senior Advisor to eBay and PayPal for Financial Services, a director of Lincoln National Corporation and of West Pharmaceutical Services, Inc., lead director of Aames Investment Corporation, and a trustee of TIAA-CREF, of the Brooklyn Academy of Music, of the New York City Housing Partnership, and of William Paterson University, and a charter member of the US Department of Defense Advisory Committee on Military Personnel Testing.

*Chairman, Audit Committee, designated financial expert. **Member, Audit and Finance Committee, designated financial expert and Member, Compensation Committee.

Short Biography

Jean D. Hamilton Senior Managing Director

telephone 212-209-3000

Jean's Linkedin Page

CEO, diversified financial services companies. Operating and investment expertise. Director of public and private companies in insurance, financial services, money management. Director and committee member of non-profit entities.

Currently, RenaissanceRe Holdings Director, First Eagle Funds and First Eagle Variable Funds Trustee, Chair of the Thomas Cole National Historic Site Investment Committee, and member of the Liz Claiborne and Art Ortenberg Foundaiton Investment Advisory Committee.

Former CEO of Prudential Institutional, EVP of Prudential Financial, President of Prudential Capital, President of Prudential Asset Sales and Syndications, and SVP of The First National Bank of Chicago (now J.P. Morgan Chase).

University of Illinois B.S.; University of Chicago M.B.A.

Jean D. Hamilton serves as a board director and is a member of Brock Capital Group LLC, a full service investment bank providing strategic advice and implementation support. Ms. Hamilton has extensive experience as a board director and in heading companies. She is involved with a variety of not-for-profit organizations.

Ms. Hamilton serves on the board of RenaissanceRe Holdings Ltd. where she has served as Chair and is a member of the Corporate Governance and Compensation Committee. Also, she serves on the Transaction and Offerings Committees, and has served as a member of the Investment Committee. She also serves on the boards of First Eagle Funds and First Eagle Variable Funds where she is Chair of the Board Valuation and Liquidity Committee and a member of the Audit and Insurance Committees. Ms. Hamilton is on the Investment Advisory Committee of the Liz Claiborne and Art Ortenberg Foundation and is Chair of the Investment Committee for the Thomas Cole National Historic Site.

At Prudential Financial, Ms. Hamilton served in a variety of management roles. Ms. Hamilton was an Executive Vice President of Prudential Financial, Inc. and Chief Executive Officer of Prudential Institutional, which under her leadership grew in revenues to more than $6 billion. Ms. Hamilton was responsible for evaluating and operating each of the insurance, banking, financial services and real estate businesses within the Prudential Institutional group. Following determination of the strategic fit of these businesses within Prudential and their profit potential, Ms. Hamilton successfully implemented a variety of plans to optimize the value of these businesses. These plans included internal growth, mergers, start-ups, restructurings, sales and discontinuation of various businesses.

Prior to being named Chief Executive Officer of Prudential Institutional, Ms. Hamilton was President of Prudential Capital Group, a private securities asset manager and originator responsible for a portfolio in excess of $20 billion in a wide range of industries and at multiple layers of the capital structure. Prior to holding this position, Ms. Hamilton was President of Prudential Asset Sales and Syndications, Inc., a seller and syndicator of private placement securities, and an entity in whose creation she was involved.

Before joining Prudential Financial, Ms. Hamilton was a Senior Vice President and Head of the Northeastern Corporate Banking Department for The First National Bank of Chicago, now J.P. Morgan Chase.

Ms. Hamilton has a BS degree in Communications from the University of Illinois and an MBA with concentrations in Finance and Accounting from the University of Chicago.

Short Biography

Karen N. Horn Senior Managing Director

telephone 212-209-3000

Former CEO, diversified financial services; professional director; economist; Former Federal Reserve Bank president.

Director and/or lead director, Norfolk Southern Corporation, Eli Lilly, Simon Property Group, Fannie Mae, T. Rowe Price Funds, U.S. Russia Investment Fund.

Former Managing Director, Marsh & McLennan Companies; Managing Director, Bankers Trust; Chairman & CEO, Bank One of Cleveland; President, Federal Reserve Bank of Cleveland; Treasurer, Bell Telephone Company of Pennsylvania; Director, TRW, Rubbermaid, British Petroleum, Georgia-Pacific, The Rockefeller Foundation.

Pomona College B.A.; Johns Hopkins University Ph.D.

Carl H. Pforzheimer III Senior Managing Director

telephone 212-209-3000

Investment banker, philanthropist, and private investor.

Manager, Carl H. Pforzheimer & Co.; Board member and chair of numerous charities and educational institutions including the New York Public Library, Lincoln Center, Pace University, Visiting Nurse Service of New York and Horace Mann School; Director of boards including U.S. Trust and Ampco-Pittsburg Corp.; Designated Representative of the State Comptroller for the Municipal Assistance Corporation for the City of New York. President, Harvard Alumni Association.

Harvard College A.B.; Harvard Business School M.B.A.

Carl H. Pforzheimer, III is a Senior Managing Director at Brock Capital Group LLC and the Manager of Carl H. Pforzheimer & Co., an investment banking firm established in 1901.

Mr. Pforzheimer is currently the Director of Ampco-Pittsburgh Corporation, the Carl and Lilly Pforzheimer Foundation, Inc., the Visiting Nurse Service of New York, the Lincoln Center Institute, and the Bulgarian American Enterprise Fund. He is the current Treasurer of UrbanGlass, formerly the New York Experimental Glass Workshop, Inc. Previously, Mr. Pforzheimer was a Director of the Delaware Management Holdings, Inc., Mark Controls Corporation, the Volunteer Urban Consulting Group, Friends of Scarsdale Library, and Harvard Business School Club of New York, Inc.

Mr. Pforzheimer is a member on the Board of Trustees for the Hoff-Barthelson Music School, the Corning Museum of Glass, the National Humanities Center, and the New York Public Library. He is the current Executive Committee Member and Chairman of the Board of Trustees at Pace University. Mr. Pforzheimer was previously the Chairman of the Board of Horace Mann-Barnard School, continuing on now as an honorary member. He served as Treasurer and Executive Committee member for the Caramoor Center for Music and the Arts, Inc., and was a Designated Representative of the State Comptroller for the Municipal Assistance Corporation for the City of New York. Mr. Pforzheimer was on the Board of Trustees of the Scarsdale Foundation and has served as President of the Scarsdale Union Free School District Board of Education.

Board memberships include the Harvard University Board of Overseers’ Visiting Committee on University Resources, the International Executive Service Corps Advisory Council and the Harvard University Faculty of Arts and Science Financial Aid Council. Additionally, Mr. Pforzheimer is on the Advisory Board of Program in Nonprofit and Leadership for the Harvard University John F. Kennedy School of Government. Prior board memberships include the Visiting Committee to the Center for Middle Eastern Studies, the Scarsdale Planning Board, the New York Public Library Committee on Research Libraries, and the Lincoln Center for the Performing Arts, Inc. Investment Committee.

Mr. Pforzheimer received his A.B. from Harvard College and his Masters in Business Administration from Harvard business School.

Short Biography

Dale A. Reiss Senior Managing Director

telephone 212-209-3000

Dale's Linkedin Page

Senior Partner, CPA firm; expert in real estate, hospitality and construction; public company audit chair.

Global Head of Real Estate, Ernst & Young LLC; Managing Partner, Kenneth Leventhal & Co.; Senior Vice President, Urban Investment & Development Co.; Board Member, iStar Financial Inc.; Tutor Perini Corporation, CYS, Inc.; Case Capital Properties; The Guttmacher Institute and Pension Real Estate Association; Governor, Urban Land Institute.

Illinois Institute of Technology B.A.; University of Chicago M.B.A.

Dale Anne Reiss was Ernst & Young’s Global and Americas Director of Real Estate, Hospitality and Construction until her retirement in 2008. With over 40 years’ experience, she has advised public and private real estate and hospitality companies, corporations and financial institutions in all aspects of development, investment and finance.

As Managing Director of Artemis Advisors, LLC, her real estate restructuring and consulting firm based in Sanibel, Florida, she also serves clients in the positions of Senior Managing Director of Brock Capital Group LLC, a boutique investment bank, and Chairman of its affiliate, Brock Real Estate LLC, which specializes in raising capital and mezzanine financing.

Ms. Reiss currently serves as a Director, Chair of the Audit Committee and Member of the Nominating/Governance Committee of iStar Financial, Inc. (NYSE: SFI), a real estate finance and investment firm, as a Director of Tutor Perini Corporation (NYSE: TPC) where she is a member of the Audit Committee and as a Director of Starwood Real Estate Income Trust. She is also a Governor of the Urban Land Institute Foundation. She contributes to her local community as a Trustee of the Police Pension Board, City of Sanibel, FL and as a Board Member of the Southwest Florida Community Foundation.

Ms. Reiss is a former Board member of Post Properties, Inc., (NYSE: PPS), CYS Investment Inc. (NYSE:CYS), Care Capital Trust, Inc (NYSE:CCP), Pension Real Estate Association (PREA) and The Guttmacher Institute.

Ms. Reiss has held leadership positions in a wide range of real estate industry and non-profit organizations such as the American Institute of Certified Public Accountants, Financial Executives Institute, Institute of Management Consultants, National Association of Real Estate Investment Trusts, and The Chicago Network.

Ms. Reiss has a BS in economics and accounting from the Illinois Institute of Technology, an MBA in finance and statistics from the University of Chicago and is a certified public accountant.

Short Biography

Davis R. Robinson Advisor

telephone 212-209-3000

International trade and investment advisor and arbitrator, corporate governance advisor and international lawyer.

International Arbitrator, ICSID & NAFTA; Senior Managing Director, Richard C. Breeden & Co., LLC.

Former Senior Partner, LeBoeuf, Lamb, Greene & MacRae LLP; Legal Adviser, United States Department of State; career Foreign Service Officer; Adjunct Senior Fellow in international law, Council on Foreign Relations; extensive experience in the Middle East

Yale College B.A.; Harvard Law School LLB.

Davis Robinson is a member of Brock Capital Group LLP residing in Washington, DC. He is a retired senior partner of the law firm of LeBoeuf, Lamb, Greene & MacRae LLP where his international practice involved trade, investment, finance, dispute resolution and boundary-related matters. More recently, he retired as a senior managing director of Richard C. Breeden & Co. LLC, a corporate governance and restructuring firm where he participated in the government-mandated monitorships of WorldCom and KPMG and in the board-appointed investigation of Hollinger and Conrad Black.

Mr. Robinson began his career as a Foreign Service Officer, with tours in Egypt, Jordan and the Arms Control and Disarmament Agency and as staff assistant to the Secretary of State of the United States. After more than a decade of corporate private law practice in New York and Washington, he was nominated by President Reagan, and confirmed by the Senate, as the Legal Adviser to the Department of State, the general counsel of that agency and the senior government attorney in international law. In this capacity, he supervised the establishment of the Iran-US Claims Tribunal on behalf of the United States and served as the Agent of the United States in two major cases before the International Court of Justice in The Hague. He was heavily engaged during his tenure in such issues as the extraterritorial reach of US law, foreign economic sanctions and complex trade and investment issues. He was deeply involved in the government’s response to such events as Grenada, the Falklands War and the first Lebanon War, the Law of the Sea Convention, the Siberian Pipeline sanctions and international law questions in government cases before the Supreme Court. He traveled extensively in Europe and the Middle East and led missions, among others, to China, the Soviet Union and Japan.

Mr. Robinson is a member and Adjunct Senior Fellow in international law, at the Council on Foreign Relations. He is a member of the American Law Institute where he was an adviser to the Restatement (Third) of the Foreign Relations Law of the United States. He serves as an international arbitrator and is one of four United States panel members of the International Centre for the Settlement of Investment Disputes, a World Bank affiliate in Washington. He is a former President of the American Refugee Committee in Washington, a former trustee of Phillips Exeter Academy and a former Adjunct Professor at Georgetown University Law Center.

Mr. Robinson is a magna cum laude graduate of Yale College where he was elected to Phi Beta Kappa and a cum laude graduate of the Harvard Law School where he was the President of the Harvard Legal Aid Bureau.

Short Biography

David B. Newman Senior Managing Director, Brock Securities Capital Markets Group

telephone 212-209-3000 ext. 130

David's Linkedin Page

Investment banker

Over 20 years experience in real estate investment, capital markets, management and development. Former chief investment officer, Empire American Holdings LLC, one of the largest national multi-family property owners in the United States. Formerly part of the retail development group at The Related Companies; general counsel of Strategic Development Concepts, Inc., a Westchester based real estate company; part of the corporate practice group of Kramer Levin Naftalis & Frankel.

Hofstra University; Fordham University School of Law J.D.

Alan J. Biloski, Ph.D. Senior Managing Director

telephone 212-209-3000

Alan's Linkedin Page

Former Head of Pharmaceutical/Biotech M&A at Merrill Lynch; Founder and Global Head of Healthcare Group at Wasserstein Perella; alumnus of M&A Group at First Boston. >$150 Billion in career transaction volume. Director, The Boyce Thompson Institute for Plant Research.

Yale University, B.S, M.S.; Cornell University, M.S., Ph.D.; Columbia University M.B.A

Alan Biloski works with high-quality pharmaceutical and biotech companies, and their major investors, to optimize business and financial strategies. His multi-disciplinary 30+ year career in the healthcare field – with experience as a scientist, a big pharma employee, a venture capitalist and an investment banker – enables him to rapidly bring forward practical and actionable ideas to help clients achieve the best possible valuation.

Dr. Biloski has led the seed round financings of a number of life science start-up companies in a diverse array of fields ranging from big data/AI (GNS Healthcare) to biotech (Advanced Medicine) and pharmaceutical services (Advion). As the lead pharma and biotech partner at Brock Capital, Dr. Biloski works with the independent fiduciary and family office groups to focus Brock Capital’s Opportunity Fund on the evaluation of direct investments in promising new companies.

Dr. Biloski’s prior experience includes 11 years of service as Senior Lecturer on the faculty of the Samuel Curtis Johnson Graduate School of Management at Cornell University where he led the Investment Banking Immersion and supported the practicums for the Research, Sales and Trading and Managerial Finance Immersions. While there, his students secured over 250 first tier investment banking jobs on Wall Street.

After a 15-year career in M&A banking, Dr. Biloski retired as Managing Director of Merrill Lynch in April 2001. He had joined the firm’s Healthcare Group in July 1998 and advised clients on approximately $100 billion of M&A transactions, including Pfizer’s unsolicited bid for Warner Lambert, MedImmune’s acquisition of US Bioscience, the sale of Mycogen to Dow Chemical and Alkermes acquisition of Advanced Inhalation Research. In November 2000, he advised Immunex on a comprehensive restructuring that included major governance changes, the dilution of AHP’s ownership interest in Immunex from 55% to 41% and the largest biotech equity offering in history with the sale of $3.2 billion in Immunex common stock. He also led efforts that produced two of the largest private placements in biotech history, raising $160 million for Advanced Medicine (now Theravance) in 1999 and $110 million for Eyetech in 2000.

As founder of the Healthcare Group at Wasserstein Perella & Co. in 1991, Dr. Biloski assembled a group of 12 professionals who concluded over $40 billion in pharmaceutical, health service, and medical device deals. Through his specialization in pharmaceuticals, Dr. Biloski has been responsible for a number of landmark transactions such as SmithKline Beecham’s acquisition of Sterling Winthrop (largest OTC deal), the sale of Sterling Winthrop North American to Bayer (second largest OTC deal), the sale of SmithKline Beecham’s animal health business to Pfizer (largest animal health deal), SmithKline Beecham’s purchase of DPS from United Healthcare (third largest pharmacy benefits manager deal), and the Chapter 11 reorganization of A.H. Robins (largest pharmaceutical product liability and bankruptcy).

Dr. Biloski is also an alumnus of the Healthcare Mergers and Acquisitions Group at the First Boston Corporation. While there he assisted senior bankers in over $10 billion in healthcare M&A transactions including the sale of A. H. Robins to American Home Products, the sale of Lyphomed to Fujisawa Pharmaceuticals, Bayer AG’s purchase of Cooper Technicon and SmithKline Beecham’s acquisition of International Clinical Laboratories.

He has experience as a venture capitalist, through the Princeton, NJ firm of Johnston Associates, and as a strategic planner with Merck Sharp and Dohme Research Laboratories. Dr. Biloski also served on the Board of Directors of Merrill Lynch Ventures where he had primary responsibility for evaluating new investments in the health care field. Dr. Biloski has assisted early stage life science companies in financing their businesses, raising $15 million for Advion through Skyline and Perseus-Soros and $5.5 million for Gene Network Sciences (now ViaScience). In addition, he assists management in strategic transactions such as advising Adolor in structuring an alliance with Glaxo for the codevelopment and co-marketing of Alvimopan, advising Eyetech in structuring an alliance with Pfizer for the co-development and co-marketing of Macugen, advising Sagres Discovery in a merger with Chiron and Spectral Genomics in an asset sale to Perkin Elmer.

In 2004 Dr. Biloski was elected to the Board of Directors of the Boyce Thompson Institute (www.bti.cornell.edu), one of the world’s leading independent institutions for plant research. From 2005-2011 Dr. Biloski served as Vice Chairman of the Board of Directors and chaired the BTI Investment Committee which is charged with managing the Institutes ~$100 MM endowment and since that time he has transitioned to head the Finance Committee. He holds a Ph.D. in synthetic organic chemistry from Cornell University and a M.B.A. with distinction from Columbia University. He was elected to Phi Beta Kappa at Yale University and graduated summa cum laude with a B.S./M.S. in Chemistry.

Short Biography

Ramin Patel Director

telephone 212-209-3000 x260

Ramin Patel is a Director of Brock Capital Group LLC.

Investment banker with over a decade of experience in real estate development and management. Prior to joining Brock, he sourced capital from the private equity sector and founded a housing company focused on affordable multi-family units in Asia. Currently, he serves on the board of a boutique mall development and management company, where he oversees the company’s strategy.

Ramin is a member of the Alfred Noble Society of National Scholars, and received a B.A. from Harvard University.

Charles L. Brock Chairman and Chief Executive Officer

cbrock@brockcapital.com

Director, designated “financial expert” and audit chair of public companies; investment banker; corporate lawyer with operating experience.

Director, B+H Ocean Carriers.

Managed numerous businesses including the twelve subsidiaries of Compton Communications (now Saatchi & Saatchi); Former Publisher and President, Scholastic International, also CFO and COO. Carter, Ledyard & Milburn; Sullivan & Cromwell; Director, B+H Bulk Carriers (subsequently, Excel Maritime Carriers) and B+H Maritime Carriers; President, Harvard Alumni Association; President, Harvard Law School Association.

Northwestern University B.A.; Harvard Law School J.D.; Harvard Business School, AMP