Practices | Brock Capital

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

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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.

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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.

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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.

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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.

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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.

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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.

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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.

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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.

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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.

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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.

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Phillip J. Harrington, Jr. Senior Managing Director

telephone 212-309-3000 ext. 270

Phillip's Linkedin Page

Financial services and technology executive with operating, risk and regulatory experience. Chairman, ProLink Solutions, Inc.; Chairman, Willow Street Group; Cyber Risk Advisor, World Economic Forum; Trustee, United Lutheran Seminary; Former Executive Vice President, Risk, and Chief Administrative Officer at CA Technologies, Inc.; Director, Business Risk, Deloitte & Touche, LLP; Corporate Vice President, Prudential Financial, Inc.; Western Michigan University B.S.; Cornell University M.S.

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Trevor Kidd Executive Advisor

telephone 212-209-3000 ext. 357

Trevor has over 35 years of experience as a business owner, entrepreneur, investor and senior executive specializing in niche manufacturing, telecommunications, enabling technologies, mergers and acquisitions, and specialty financial services product structuring and financing.

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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.

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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

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