AFFILIATES:

Brookline Capital Markets

Team

Executive Leadership

Bill Buchanan

William B. Buchanan, Jr.

Managing Partner

Mr. Buchanan served as the Chief Executive Officer of Lazard Capital Markets for seven years until founding Brookline. He also served as Head of Equity Capital Markets, Co-Head of U.S. Corporate Finance, and Head of the Commitment Committee at Lazard Frères & Co. Prior to Lazard, Mr. Buchanan served on the Executive Committee as Head of Capital Markets at SG Cowen & Co., and also served as Vice President of SG Cowen Ventures. He started his career at Credit Suisse First Boston in Equity Capital Markets.

Mr. Buchanan received his B.A. in Economics from the University of Virginia and his M.B.A. from the Harvard Graduate School of Business Administration.

Scott A. Katzmann

Scott A. Katzmann

Managing Partner

Prior to founding Brookline, Mr. Katzmann served as Senior Managing Director of Opus Point Partners. Prior to Opus Point, he served as Managing Director at Paramount BioCapital. Prior to Paramount, Mr. Katzmann held similar investment banking positions at First Boston and its successor, Credit Suisse First Boston.

Mr. Katzmann received his B.A. in Economics from Tulane University and his M.B.A. from the Wharton School at the University of Pennsylvania.

Harris R.L. Lydon Jr.

Managing Partner

Prior to founding Brookline, Mr. Lydon served as Managing Director at Summer Street Research Partners where he specialized in private equity and venture capital healthcare investments. Prior to Summer Street, he served as Managing Director at Paramount BioCapital. Mr. Lydon also served as Director at Alex. Brown & Sons and Deutsche Bank, specializing in growth equity financing as well as private wealth management.

Mr. Lydon received his B.A. in Managerial Finance from the University of Mississippi.

Graham Powis

Graham A. Powis

Managing Partner

Mr. Powis is a Managing Partner at Brookline and focuses on the firm’s public financing and capital markets advisory business lines. Prior to joining Brookline, he served as Head of BTIG’s Investment Banking Group. Mr. Powis spent seven years at Lazard as Head of U.S. Equity Capital Markets and nine years at Cowen where he served most recently as Head of Equity Capital Markets. In all three cases, Mr. Powis focused on emerging growth companies and, in particular, healthcare enterprises. He began his career approximately 30 years ago at Credit Suisse First Boston in the Healthcare Investment Banking Group. Over the course of his career, he has completed several hundred financings and capital markets advisory assignments for healthcare companies. Mr. Powis is a frequent guest speaker and lecturer on business strategy; the equity capital markets, including IPOs; entrepreneurship; and other healthcare, consumer and technology investment banking topics.

Mr. Powis received his B.A. in Economics from Colby College and his M.B.A. in Finance from New York University.

Investment Banking

Michael Fontaine

Michael Fontaine

Managing Partner

Mr. Fontaine is a Managing Partner at Brookline and oversees Equity Capital Markets and Syndicate. Prior to joining Brookline, Mr. Fontaine served as Head of U.S. Equity Syndicate at BTIG. Mr. Fontaine was also a Director at Lazard Capital Markets in Corporate Underwriting and managed Lazard’s IPO, follow-on, CMPO, ATM and high yield transactions. Mr. Fontaine also spent five years at Deutsche Bank and three years at Credit Suisse. Mr. Fontaine began his career at Morgan Stanley approximately 20 years ago in Middle Market Institutional Equity Sales and Trading.

Mr. Fontaine received his Bachelor of Science in Chemistry from Furman University and his M.B.A. from Southern Methodist University.

Patrick A. Sturgeon

Patrick A. Sturgeon

Managing Partner

Mr. Sturgeon is a Managing Partner at Brookline and focuses on the firm’s public financing, private capital raising, secondary, and capital markets advisory business lines. On the public financing front, Mr. Sturgeon focuses on the SPAC effort, primarily underwriting IPOs and acting in an M&A Advisor capacity. Prior to joining Brookline, Mr. Sturgeon served as a Managing Director at Axiom Capital Management. He spent approximately a decade at Freeman & Co., focusing on M&A in the Financial Services sector. Throughout his career, he has focused on growth companies and, in particular, financial services, technology and healthcare enterprises.

Mr. Sturgeon received his B.A. in Economics from the University of Massachusetts, Amherst and his M.B.A. in Finance from New York University.

Samuel P. Wertheimer, Ph.D.

Managing Partner & Senior Scientific Advisor

Dr. Wertheimer is a Managing Partner & Senior Scientific Advisor at Brookline and focuses on scientific and clinical development issues confronting public and private companies. Prior to joining Brookline, Dr. Wertheimer was a Partner in the private equity group at OrbiMed Advisors, a leading healthcare investment firm. While at OrbiMed, he helped raise four venture capital funds totaling more than $1.4 billion in committed capital. He led investments in companies that brought to market several drugs including Treanda®, Cayston®, Orbactiv® and Horizant®, and he has served on the board of directors of both private and public companies.

Dr. Wertheimer received his B.A. from The Johns Hopkins University, his M.P.H. with honors from Yale University and his Ph.D. from New York University.

Michael D. Rhea

Managing Director

Mr. Rhea is a Managing Director at Brookline and actively involved in the firm’s public financings and capital markets advisory business. He also manages the Edison Group relationship and helps coordinate the non-deal roadshow activities for the firm. Prior to joining Brookline, Mr. Rhea spent many years at Oppenheimer & Co., in both Institutional Equity Sales and Equity Capital Markets roles. He has also worked with a number of other established Wall Street firms, including Lehman Brothers, in senior capacities. Mr. Rhea has focused principally on emerging growth companies throughout his career and, in particular, healthcare enterprises. He began his career approximately 30 years ago in New York as a corporate litigation attorney for five years before transitioning to Wall Street. Over the course of his career, Mr. Rhea has worked with several hundred companies in institutional sales, capital markets and non-deal roadshow capacities. He has also been involved in the closing of many of the financings related to these companies.

Mr. Rhea received his B.A. in Psychology from Tulane University and his J.D. from Tulane University with a focus on litigation and maritime Law.

Zachary C. Ross-Nash

Vice President

Mr. Ross-Nash is a Vice President at Brookline focusing on the firm’s public financing and private placement activities. On the public financing front, Mr. Ross-Nash focuses on SPACs, including IPOs and M&A. Mr. Ross-Nash also assists with the firm’s private placement efforts in the life sciences sector. Prior to Brookline, Mr. Ross-Nash spent three years working in Investment Banking at Crédit Agricole, focusing on Equity Capital Markets and Equity Derivatives Structuring.

Mr. Ross-Nash graduated from The University of Chicago with a B.A. in Public Policy. While in college, Mr. Ross-Nash was a member of The University of Chicago Football team.

Robert Donohue

Robert J. Donohue

Associate

Mr. Donohue is an Investment Banking Associate at Brookline and focuses on the firm’s public financing and capital markets advisory business lines. Prior to joining Brookline, Mr. Donohue served as an analyst at Bain & Company in Boston. During his tenure at Brookline, Mr. Donohue has participated in over a dozen of Brookline’s public investment banking transactions, as well as several capital markets advisory assignments.

Mr. Donohue received a B.A. in Economics from Colby College. While at Colby, Mr. Donohue was a member of Colby’s Varsity Baseball Team.

Scott Katzmann

Scott E. Katzmann

Analyst

Mr. Katzmann is an Investment Banking Analyst at Brookline and focuses on the firm’s public and private financing efforts. Prior to joining Brookline, Mr. Katzmann interned at Fox News with the “Mornings With Maria” production team. He first gained valuable internship experience in investment banking at Brookline during the summer of 2015, when he was exposed to a number of private financings.

Mr. Katzmann is a graduate of Tulane University, where he received his B.A. in English.

Sales & Trading

Edward Heaney

Edward Heaney

Managing Director

Mr. Heaney is a Managing Director at Brookline and serves as manager for our public capital markets salesforce. Prior to joining Brookline, Mr. Heaney served as the Head of US Institutional Equity Sales at Mizuho for nearly 3 years. Mr. Heaney was also the Head of US Institutional Equity Sales at CLSA Americas, LLC for 2 years. Most recently, Mr. Heaney had served as Senior Consultant for Quintain Analytics for nearly 2 years. Additionally, Mr. Heaney served as Founding Partner, President and Chief Operating Officer at EverKey Global Partners for nearly 5 years, as well as Senior Portfolio Specialist for 3 years. He also worked for Morgan Stanley for 17 years and was a Managing Director and Head of International Equity Distribution in North America.

Mr. Heaney received his B.A. in Business from Gettysburg College.

Noah Uzall

Noah Uzal

Managing Director

Noah Uzal was most recently a Managing Director at Fiduciary Trust International, a global wealth manager and subsidiary of Franklin Templeton Investments, where he was responsible for building investment and trust relationships with individuals, family offices, foundations and endowments. Mr. Uzal was previously a business development specialist at Alex.Brown, a division of Raymond James, in New York. He also spent nine years at Deutsche Bank, where he facilitated equity and fixed income transactions for institutional clients. Mr. Uzal completed his tenure at Deutsche Bank as assistant vice president in asset and wealth management covering institutional clients. He began his career as an analyst in the capital raising group at Channel Capital Group in New York.

Mr. Uzal graduated from Florida State University with a bachelor’s degree in political science.

Jake W.C. Ward

Jake W.C. Ward

Director

Mr. Ward has been on the Sales and Trading side of Investment Banking for over 25 years. At Brookline, he is the Director of Sales and Trading and oversees the firm’s trading capabilities. Prior to joining Brookline, Mr. Ward served as a Director of US Equity Sales and Trading in the Institutional Equity Division of Leerink Partners for five years. Mr. Ward previously held similar positions at Deutsche Bank and Knight Securities as an OTC trader.

Mr. Ward graduated from Rollins College in Winter Park, Florida with a B.A. of Political Science.

Drew Crovello

Associate

Mr. Crovello focuses on the firm’s public and private financings in an equity sales capacity. Prior to joining Brookline, Mr. Crovello worked at ThinkEquity on the ECM desk. Prior to ThinkEquity, Mr. Crovello worked as an analyst on the Quantitative and Multi-Asset Class Investment team at Neuberger Berman, focusing on both equity and absolute return strategies. Prior to Neuberger Berman, Mr. Crovello worked as an associate at PwC in the financial markets group, focusing on structured credit and debt valuation.

Mr. Crovello received his B.A. from James Madison University, majoring in Finance and minoring in Economics.

Henry Moore

Associate

Mr. Moore focuses on the firm’s private equity financings in a sales capacity. He connects high net worth individuals, family offices, and fundamental life science hedge funds to Brookline’s offerings.

Mr. Moore received his B.A. from the University of Delaware with a major in International Relations.

Equity Research

Kemp Doliver

Kemp Dolliver, CFA

Director of Research & Senior Biotechnology Analyst

Kemp Dolliver is the Director of Research and a Senior Analyst at Brookline. Mr. Dolliver has extensive healthcare experience across multiple sell-side and buy-side roles in the U.S and Asia. Previously, he was the Founder and Chief Investment Officer of Cherrystone Hill Capital Management, LLC, which specialized in investing in listed healthcare companies throughout the world’s emerging markets. As a sell-side analyst, Mr. Dolliver was a Managing Director at Religare Capital Markets Pte. Ltd., Avondale Partners LLC, and Cowen Inc. His buy-side roles have included portfolio management positions at both Aetna and Bank of America. The Wall Street Journal has recognized him four times for his stock picking abilities in its “Best on the Street” survey.

Mr. Dolliver received a B.S. in Commerce from the McIntire School of Commerce, where he currently serves on the Advisory Board, and an M.B.A. from the Darden School of Business at the University of Virginia.

Leah Rush Cann, M.B.A.

Biotechnology Analyst

Leah Cann is a biotechnology research analyst at Brookline. Previously, she was a Managing Director at Oppenheimer & Co. She began her career as a research scientist with Memtec Corporation and moved to Wall Street in 1992, where she was a research analyst with Oppenheimer for nearly nine years. Ms. Cann was a healthcare analyst for the Boston-based asset manager, Cadence Capital, and later the senior biotechnology analyst for Wachovia Securities. Twice recognized as an All-Star analyst by the Wall Street Journal, she is the founder of Leah Rush Cann Research and Consulting, LLC, an oncology research and consulting organization.

Ms. Cann received a B.A. in in Art History and Chemistry and an M.B.A from Stetson University. She was a post-baccalaureate at the College of William and Mary and a post-graduate at Columbia University. While a graduate student at William and Mary in 1984, she was Miss Virginia-USA, and represented her state in the Miss USA pageant. Ms. Cann has been a trustee and member of several committees of International House in New York City for more than 20 years. She has served on the Board of Directors of MEI Pharma, Inc. and currently serves on the Advisory Board of the RNA Institute at Beth Israel Deaconess Medical Center’s Cancer Center at Harvard University. In 2007, she founded the RI-based cancer research charity, Hope Funds for Cancer Research, where she continues to serve on the board and chairs its Executive Committee.

Brookline Capital Markets Advisors

Joseph Rudick, M.D.

Senior Scientific Advisor

Dr. Albert Joseph Rudick has been a partner of Associate Ophthalmologists P.C., a private ophthalmology practice located in New York. Dr. Rudick was a co-founder of biotechnology company Effective Pharmaceuticals, Inc., licensee of Trimesta™ (oral estriol). Dr. Rudick served as Chief Medical Officer and a Member of The Board of Directors of Synthetic Biologics. Dr. Rudick was a co-founder, Chief Executive Officer and President and a Member of The Board of Directors of Atlantic Technology Ventures, Inc. (now TG Therapeutics, Inc.). While at Atlantic, he structured a corporate partnership with Bausch & Lomb for development of Atlantic’s novel cataract removal device, named Catarex TM, as well as a partnership with Indevus Pharmaceuticals, Inc. for development of a novel clinical-stage neuropathic pain compound, known as IP-571. Dr. Rudick served as a Vice President of Paramount Capital, Inc., where he participated in numerous technology in-licensing transactions and private equity financings. At Brookline, Dr. Rudick focuses on PIPE and private placement financings.

Dr. Rudick earned a B.A. in Chemistry, with the distinction of Phi Beta Kappa, from Williams College and a Doctorate of Medicine, with the distinction of Alpha Omega Alpha, from the University of Pennsylvania.

Compliance

Basil Christakos

Chief Compliance Officer

Prior to joining Arcadia Securities, Mr. Christakos was the Chief Compliance Officer of Paulson Investment Company, LLC and Paramount BioCapital, Inc. He has over 25 years of industry experience, working with firms that focus on both private equity and venture capital investments.

Mr. Christakos received his B.A. in Politics from New York University.