Partner @ McCarthy Duffy LLP’s Private Investment Practice focuses on meeting the needs of privately-held businesses and their investors, including institutions, family offices and individuals. Leveraging my experience as a Managing Director and Principal of three private investment firms and an executive with two venture and private equity-backed companies, I work closely with emerging and growth-oriented businesses in initial organizational, structural and shareholder activities and Board matters; equity incentive plan development and implementation; general corporate, commercial and real estate activities; supplier relationships; and general regulatory compliance matters, particularly in the healthcare industry. I regularly support the legal and business needs of both early stage and middle market firms in connection with equity and debt financings, joint ventures, mergers, acquisitions and divestitures. Representative clients range from start-ups licensing novel technologies from universities to multi-national, private equity-backed businesses. I have led or participated in over 30 venture and private equity investments as a principal investor over his career, and I continue to serve as a member of the Board of Directors of several public and private companies. From July 2012 to Present (3 years 4 months) Greater Chicago AreaManaging Director @ Cascade Partners LLC is a private investment firm and investment bank serving middle market companies. Drawing on its management, investment and transaction experience, Cascade Partners provides the guidance and resources necessary to navigate the complexities of managing growth, optimally funding a business, and executing acquisitions, divestitures and other strategic initiatives. In select situations, Cascade Partners will invest mezzanine or equity capital, directly or with its Partners, to fund growth financings, recapitalizations, acquisitions or change of control transactions in the manufacturing, healthcare, and business services industries. I serve on Cascade's Investment Committee and on the Board of Directors of several Cascade portfolio companies. From July 2012 to Present (3 years 4 months) Greater Chicago AreaManaging Director @ Seneca Partners is a middle market-focused investment banking and private investing firm. Seneca's transaction and investing experience includes most industry sectors, with strong experience in manufacturing, healthcare and business services. I served as Managing Director, responsible for a significant portion of the firm's private investment activity. From January 2002 to June 2012 (10 years 6 months) Greater Chicago AreaPresident @ White Pines Ventures managed two debenture SBIC funds providing mezzanine and growth capital to privately held businesses. From June 2000 to July 2005 (5 years 2 months) Greater Chicago AreaPresident & CEO @ Peiser's was a private equity-owned distributor of disposable home medical supplies. Peiser's was acquired by Byram Healthcare in March 2000. From October 1998 to March 2000 (1 year 6 months) Greater Chicago AreaGeneral Manager (1996-1997); Assistant General Counsel (1992-1995); Corporate Counsel (1988-1991) @ Baxter is a global developer, manufacturer and distributor of medical products. From March 1988 to February 1997 (9 years) Greater Chicago AreaAssociate Attorney @ Sidley Austin is a global, full-service law firm headquartered in Chicago, Illinois. From July 1984 to February 1988 (3 years 8 months) Greater Chicago Area

Master of Business Administration (M.B.A.) @ Northwestern University - Kellogg School of Management From 1988 to 1991 Juris Doctor (J.D.) @ Boston College Law School From 1981 to 1984 B.A. @ Williams College From 1975 to 1979 Tom Cox is skilled in: Budgets, Management, Venture Capital, Private Equity, Strategic Planning, New Business Development, Financial Modeling, Valuation, Strategy, Due Diligence, Start-ups, Customer Service, Mergers & Acquisitions, Corporate Development, Business Strategy, Leadership, Financial Analysis, Microsoft Office, Team Building, Negotiation, Public Speaking, Entrepreneurship, Executive Management, Marketing Strategy