Team

Management

Dr. Samuel P. Wertheimer – Chairman & CEO of Brookline Capital Acquisition Corp.

Dr. Samuel P. Wertheimer, our Chairman and Chief Executive Officer since inception, has been an investor in the healthcare and life sciences sectors, entrepreneur, and scientist. He joined Brookline Capital Markets in 2017 as Senior Scientific Advisor. His role is to identify opportunities, diligence, structure investments, and raise capital for banking clients. From 2012 to 2016, he served as co-founder of Poliwogg, Inc. a financial services firm bringing innovation to healthcare investing. While at Poliwogg, he helped develop the Poliwogg Medical Breakthrough Index that serves as the underlying index for the ALPS Medical Breakthrough ETF (SBIO). From 2000 to 2011, Dr. Wertheimer was a Private Equity Partner at OrbiMed Advisors, LLC, one of the world’s largest healthcare-dedicated investment firms.

At OrbiMed, Dr. Wertheimer was involved in raising and investing four venture capital funds with more than $1.5 billion in committed capital. He previously served on the boards of multiple public and private companies, including Biodel (NASDAQ: BIOD); a developer of drug delivery technologies, from 2006 to 2009; ChemoCentryx (CCXI), a development stage biotechnology company, from 2001 to 2011; Corus Pharma (acquired by Gilead), a development stage biotechnology company from 2001 to 2006; InteKrin Therapeutics (acquired by Coherus), a development stage biotechnology company from 2007 to 2010; NeurAxon, a development stage biotechnology company, from 2007 to 2010; and Salmedix (acquired by Cephalon), a development stage biotechnology company, from 2004 to 2005. He helped bring to market several new drugs including Treanda®, Cayston®, and Orbactiv®.

Dr. Wertheimer received his Doctor of Philosophy degree from New York University, his Master of Public Health, with Honors, from Yale University and his Bachelor of Arts from the Johns Hopkins University. We believe he is well-qualified to serve as a Director due to his extensive operational and investment experience in the life sciences industry.

Scott A. Katzmann – President & Director of Brookline Capital Acquisition Corp.

Scott A. Katzmann, our President since inception, who will be one of our Directors upon the effective date of the registration statement of which this prospectus forms part, is a co-founder of Brookline Capital Markets. At Brookline Capital Markets, Mr. Katzmann leads its Private Capital team. Prior to co-founding Brookline in 2016, Mr. Katzmann served as Senior Managing Director of Opus Point Partners, an investment firm dedicated to healthcare and life science investing, from 2011 to 2013.

Mr. Katzmann was formerly a Managing Director at Paramount BioCapital from 1993 to 2011. In July 2009, Basin Water, Inc., a groundwater treatment company for which Mr. Katzmann served as Chairman of the Board and Director, filed a petition for voluntary reorganization under Chapter 11 of the United States Bankruptcy Code. In August 2009, following an auction, a purchase of substantially all Basin Water, Inc.’s assets and the assumption of certain of its liabilities by Amplio Filtration Holdings, Inc. was approved by the court. 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 and his M.B.A. from the Wharton School at the University of Pennsylvania. We believe he is well-qualified to serve as a Director due to his extensive investment and capital management experience.

Patrick A. Sturgeon – CFO of Brookline Capital Acquisition Corp.

Patrick A. Sturgeon, our Chief Financial Officer since inception, has nearly two decades of experience with M&A and equity capital market transactions in the healthcare and other sectors. He has served as a Managing Director at Brookline Capital Markets, since 2016. At Brookline, Mr. Sturgeon focuses on mergers and acquisitions, public financing, private capital raising, secondary offerings, and capital markets. On the public financing front, he focuses on SPAC transactions, primarily underwritten initial public offerings and initial business combinations. From 2013 to 2016, Mr. Sturgeon served as a Managing Director at Axiom Capital Management. He worked at Freeman & Co. from 2002 to 2011, where he focused on mergers and acquisitions in the financial services sector. Since July 2020 he has served as Chief Financial Officer and Secretary of Alpha Healthcare Acquisition Corp., a blank check company which had its initial public offering in September 2020 and is currently searching for an initial business combination in the healthcare industry in the United States.

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

Zachary Ross-Nash – Associate at Brookline Capital Acquisition Corp.

Mr. Ross-Nash is an Associate 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.

Board of Directors

James N. Hauslein – Independent Director

James N. Hauslein, who will be one of our Directors upon the effective date of the registration statement of which this prospectus forms part, has served as a Managing Director of Hauslein & Company, Inc., a private investment firm, since 1990. In 2015, Mr. Hauslein led the recapitalization/acquisition of Big Time Products LLC, or BTP, a leading supplier of workplace hand protection and related products into the consumer DYI/Pro retail channel (The Home Depot, Wal-Mart, ACE, True Value et. al.). The 2015 recapitalization was in partnership with BTP’s co-founders and three institutional investors. In 2018, BTP was sold to the Hillman Group (a portfolio company of CCMP). During the period that Mr. Hauslein was a shareholder of BTP, he served as Executive Chairman and then Chief Executive Officer. Under Mr. Hauslein’s leadership, BTP completed its first add-on acquisition in 2015 and its second add-on acquisition in 2016. Under Mr. Hauslein’s leadership, the company became a leader in the non-apparel ‘work gear’ product category.

Mr. Hauslein was involved in the acquisition of a controlling interest in Sunglass Hut International in 1987 and subsequently led the buyout in 1991 and the initial public offering in 1993. Mr. Hauslein served as Executive Chairman of Sunglass Hut International from 1991 until 2001, and for part of his tenure was Chief Executive Officer of Sunglass Hut (1997 to 1998 and for several months in 2001). Under Mr. Hauslein’s leadership, Sunglass Hut grew in revenue from approximately $37 million in 1987 to approximately $680 million in 2000 prior to the sale to Luxottica Group SpA. At the time of the sale to the Luxottica Group, Sunglass Hut operated approximately 2,000 company-owned stores in North America, Europe, Asia and the Caribbean. While at Sunglass Hut, Mr. Hauslein presided over numerous add-on acquisitions in the United States and Australia as well as organic growth in North America, the Caribbean, and Europe and a joint venture in Singapore. In addition, Mr. Hauslein led the implementation of the company’s digital branding and online sales strategy.

Mr. Hauslein previously served on the Board of Directors of Atlas Acquisition Holdings Corp., Easterly Acquisition Corp., Freedom Acquisition Holdings Inc., GLG Partners, Inc. and Liberty Acquisition Holdings Corp. Mr. Hauslein served as Chairman and Chief Executive Officer of Atlas Acquisition Holdings Corp. from 2007 until 2010. Atlas Acquisition Holdings Corp. liquidated in 2010 and did not complete a business combination. Freedom Acquisition Holdings Inc. completed a business combination with GLG Partners, Inc. in 2007 and GLG Partners, Inc. was subsequently sold to the Mann Group in 2010. Liberty Acquisition Holdings Corp. completed a business combination with Promotora de Informaciones S.A. in 2010. Prior to completing a business combination with Sirius International Insurance Group, Mr. Hauslein resigned from the Board of Directors of Easterly Acquisition Corp. Mr. Hauslein is not currently an officer or director of any of these companies. From 2015 until 2018, Mr. Hauslein served on the board of NB Parent Company, the parent holding company for Big Time Products, LLC. Since July 2020, Mr. Hauslein has also served as the Chairman, Chief Executive Officer and Chief Financial Officer of Jupiter Acquisition Corp., a blank check company focused on the consumer and TMT industries currently in the process of completing its initial public offering.

Mr. Hauslein received his MBA from Cornell University’s Johnson Graduate School of Management, and his Bachelor of Science in Chemical Engineering from Cornell University. Mr. Hauslein is well-qualified to serve on our Board of Directors due to his operational experience, diversified board experience, his knowledge of private equity, and his prior special purpose acquisition company experience.

Elgar Peerschke – Independent Director

Elgar Peerschke, who will be one of our Directors upon the effective date of the registration statement of which this prospectus forms part, is a C-level executive with multi-national experience in the US, Europe, and Latin America. Over the course of his career he has had extensive regional and global P&L responsibilities. He has been acting in the capacity of independent investor and advisor since 2017. From 2014 to 2017, he served as Senior Advisor to several C-suite executive officers at IQVIA, a human data science company. In these roles, Mr. Peerschke was responsible for driving the consultative sales organizations as well as large deals/sole providerships for QuintilesIMS, a global provider of technology solutions and contract research services to the healthcare industry. Prior to IQVIA,

Mr. Peerschke spent over 20 years in consulting, focusing on serving clients in the healthcare industry, primarily pharma/biotech and related services companies with extensive in clinical development strategy/operations, market access and product launch as well as organization design, performance improvement, corporate M&A, diligence, growth opportunities and post-merger integration. He is a director of ARdVRk Technologies, a private virtual reality company in the healthcare and life sciences field. Over his 20 years in consulting, he held various leadership positions at Bain & Company, including as Managing Director — North American Healthcare Practice and Managing Director — Global Healthcare Practice, as well as McKinsey and Company prior to that. Mr. Peerschke holds an MBA from New York University in Finance and a BA from Rutgers University in Political Science. We believe he is well-qualified to serve as a Director due to his extensive investment, operational and consulting experience.

Tito A. Serafini, Ph.D. – Independent Director

Tito A. Serafini, PhD, who will be one of our Directors upon the effective date of the registration statement of which this prospectus forms part, is one of the three principal founders of Atreca, Inc. (Nasdaq: BCEL), a public, development-stage biotechnology company, where he serves as a member of the board of directors. Dr. Serafini was the Chief Executive Officer from Atreca’s inception in 2010 until 2018, and currently serves as the company’s Chief Strategy Officer. Before founding Atreca, he was Chief Scientific Officer of Nuon Therapeutics, a development-stage biotechnology company, from 2009 to 2011.

Prior to his role at Nuon, Dr. Serafini was a co-founder of Renovis, Inc., where he served as an executive officer in multiple roles, including leading research and M&A functions. Prior to founding Renovis, Dr. Serafini was an award-winning faculty member in the Department of Molecular and Cell Biology at the University of California, Berkeley, where he established the university’s Functional Genomics Laboratory.

Dr. Serafini received a BS in biochemistry from Case Western Reserve and a PhD in biochemistry from Stanford University (advised by Dr. James Rothman), and he performed postdoctoral research at the University of California, San Francisco, in the laboratory of Dr. Marc Tessier-Lavigne. Dr. Serafini also currently serves as a member of the board of directors of Anagenex, a private biotechnology company. We believe he is well-qualified to serve as a Director due to his extensive scientific and operational experience.

Advisors

Edgar D. Jannotta Jr.

Edgar D. Jannotta Jr., our advisor, has been investing personal and family capital in private businesses and real estate since 2011. Mr. Jannotta was a Principal of GTCR Golder Rauner, an investment firm, from 1998 to 2011. He also held the positions of Managing Principal and Co-Head of the Healthcare Group while at the firm. Prior to this, Mr. Jannotta was a Managing Director in William Blair & Company’s private equity investing group from 1988 to 1998.

Before joining William Blair, he was an Associate at Golder, Thoma, Cressey in Chicago, and a Financial Analyst at Salomon Brothers in New York and London. He currently is a director of six private businesses, including five healthcare companies: Alcyone Lifesciences (a pre-clinical gene therapy biotech company), Anuncia (a medical device company developing solutions for hydrocephalus patients), Arthromeda (a medical device company developing patient-specific technologies to improve outcomes in joint replacement procedures), C3 HealthcareRx (a healthcare services company focused on lowering medical non-compliance, hospital readmission reduction, and improving behavioral health), and healthPrecision (a healthcare technology company focused on improving hospital standard of care and decreasing errors at the point of care). He holds a BA in Politics, cum laude, from Princeton University, and an MBA from Harvard Business School.

Franklin M. Berger, CFA

Franklin M. Berger, CFA, has since 2003 served as an independent consultant to the biotechnology industry. Mr. Berger currently serves on the boards of six biotechnology companies: Five Prime Therapeutics, Inc. (NASDAQ:FPRX), a developer of novel protein therapeutics, Bellus Health, Inc. (NASDAQ:BLU), which is developing therapies for hyper-sensitization disorders, ESSA Pharma, Inc. (NASDAQ:EPIX) a developer of therapies for prostate cancer , Proteostasis, Inc. (NASDAQ:PTI) a developer of therapies of cystic fibrosis, where he serves as Chairman, Atreca, Inc. (NASDAQ:BCEL), which develops novel therapeutics drawn from human immune responses and Kezar Life Sciences, Inc. (NASDAQ:KZR), which develops treatments for immune-mediated and oncologic disorders. From 2007 to mid-2008, Mr. Berger reduced his consulting practice commitment to work at Sectoral Asset Management as a co-founder of the small-cap focused NEMO I Fund. From 1998 to 2003, Mr. Berger spent five years at J. P. Morgan Securities, Inc., most recently as Managing Director, U.S. Equity Research, at the time of his departure.

Prior to this, Mr. Berger spent 12 years in sell-side equity research. Over the course of his career, he was associated with several notable financings in the biotechnology sector including Genentech’s initial public offering, then the largest biotechnology IPO financing ever executed, the first large Celgene Corporation financings, as well as financings for several large-cap biotechnology companies in their rapid-growth phase. His clients were biotechnology industry participants, including major biopharmaceutical firms, mid-capitalization biotechnology companies, specialist asset managers and venture capital companies, for which he was involved in business development, strategic advisory/financings, partnering and royalty acquisitions. He is a Founding Fellow of the Biotechnology Study Center at New York University School of Medicine. Mr. Berger received his AB and MA degrees from Johns Hopkins University and his MBA from Harvard Business School.

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