Mr. Case has worked in finance and accounting for over twenty years, including seven years in venture capital and eight years in investment banking.  Prior to joining J. Locke & Company, Mr. Case was a Vice President in the health care venture capital division of Fidelity Investments, where he had a leading finance role for seven years while closing investments in thirty-eight private companies.  Mr. Case previously worked as an investment banker at SG Cowen and Leerink Swann & Company in both the leveraged finance group and the health care investment banking division. Throughout his career, Mr. Case has closed over 150 debt and equity financings ranging in size from less than $1 million to $530 million.

 

His representative investment banking experience includes managing the sale process of a publicly-held, small-cap provider of IT systems, a transaction which required maintaining buyer interest despite the company falling short of its projections, and culminating in a successful all cash sale to the $19B market-cap industry leader.

 

As a strategic advisor, Mr. Case worked with a NYSE manufacturing company to streamline an extensive product line and identify opportunities to improve cost and profit management decisions. He led the preparation of a comprehensive, long-term planning model to evaluate strategic options including divisional shutdowns, introduction of new product lines, and pricing and demand sensitivities. The final product was adopted by management as a tool for their ongoing strategic planning efforts.

 

Mr. Case’s experience also includes working extensively with companies in financial distress.  A representative example includes his work with a regional chain of eyeglass stores after they violated the terms of their credit facility covenants.  Mr. Case led the company through the process of developing a new business plan and coordinated with senior bank executives to reset covenant levels and redesign the credit facility without disrupting operations.

 

Mr. Case is a Certified Public Accountant and holds an MBA from Columbia Business School and a B.S. in Business Administration from the University of New Hampshire.