Manager Management

Mark T. Spellman

** ******** **** ****

Wilton, CT 06897

(c)203-***-****(h)203-***-****

e-mail:*********@*********.***

Employment History

June 1996 - June 2009

MacKay Shields LLC

New York, NY

Lead Portfolio Manager/Analyst - Mid Cap Value Equity

October 2005 - June 2009

( LEAD PORTFOLIO MANAGER FOR THE MID-CAP VALUE EQUITY PRODUCT THAT RANGED

IN ASSETS FROM $600 MILLION TO $1.2 BILLION, INCLUDING INSTITUTIONAL ASSETS

AND THE MAINSTAY MID CAP VALUE FUND.

( SINCE INCEPTION, OUTPERFORMED BENCHMARK BY A CUMULATIVE 1,000 BASIS

POINTS AND 420 BASIS POINTS IN CAGR. INSTITUTIONAL AND MUTUAL FUND

PERFORMANCE RANKINGS WERE TOP QUARTILE ON ONE YEAR, TWO YEAR, THREE YEAR,

AND SINCE INCEPTION TIME FRAMES.

( ASSETS INCLUDED MUTUAL FUNDS, INSTITUTIONAL ACCOUNTS, AND WRAP-PROGRAM

SMAS.

( RESPONSIBLE FOR ALL ASPECTS OF PORTFOLIO MANAGEMENT INCLUDING CONDUCTING

SECURITY ANALYSIS AND FINANCIAL STATEMENT MODELING, CLIENT SERVICE, AND

MARKETING SUPPORT.

( EMPLOYED A RESEARCH INTENSIVE FUNDAMENTAL INVESTMENT PROCESS WHICH

INCLUDED FINANCIAL MODELING OF EARNINGS AND FREE CASH FLOW, BALANCE SHEET

ANALYSIS, AND VALUATION ANALYSIS WITH A VALUE CATALYST OVERLAY TO INDENTIFY

INEXPENSIVE STOCKS WITH POSITIVE FUNDAMENTAL MOMENTUM.

( EXTENSIVE DETAIL DEDICATED TO FREE CASH FLOW ANALYSIS FROM AN HISTORIC

AND FUTURE PERSPECTIVE.

( WHILE BEING A GENERALIST AS REQUIRED BY PORTFOLIO MANAGER DUTIES, HAVE

EXTENSIVE EXPERIENCE IN THE FINANCIAL MODELING, ANALYSIS, AND STOCK

SELECTION IN THE FINANCIAL, INDUSTRIAL, CYCLICAL, AND CONSUMER CYCICAL AND

STAPLE SECTORS.

( CONTINUED TO SUPPORT LARGE-CAP VALUE PORTFOLIO REASEARCH EFFORT.

( PROMOTED TO MANAGING DIRECTOR.

PORTFOLIO MANAGER/ANALYST - LARGE CAP VALUE EQUITY

JUNE 1996 - JUNE 2009

( JOINED FIRM AS A PORTFOLIO MANAGER/ANALYST FOR LARGE-CAP VALUE EQUITY

PRODUCT TEAM.

( RESPONSIBILITIES INCLUDED PORTFOLIO MANAGEMENT, INVESTMENT RESEARCH,

CLIENT SERVICING, AND PROSPECTIVE CLIENT MARKETING FOR BOTH THE

INSTITUTIONAL AND RETAIL MARKETPLACES.

( CONDUCTED SECURITY ANALYSIS AND FINANCIAL STATEMENT MODELING, AND

CONTRIBUTED INVESTMENT IDEAS WHILE MAINTAINING POSITIONS IN THE PORTFOLIOS.

( RAN THE FIRM'S SMALL-CAP VALUE AND ALL-CAP VALUE PRODUCTS FOR TWO

EXTENDED PERIODS OVER TENURE AT THE FIRM DURING PORTFOLIO MANAGER

TRANSITIONS.

( RESPONSIBLE FOR RISK MANAGEMENT FOR ALL VALUE PRODUCTS.

( INDIVIDUAL INVESTMENT TRACK RECORD OF 10+ YEARS.

FEBRUARY 1990 - MAY 1996

Deutsche Morgan Grenfell/C.J. Lawrence

(now Deutsche Bank Securities)

New York, NY

Automotive Industry Analyst - Equity Research Department

January 1995 - May 1996

( RESEARCH ANALYST COVERING THE AUTOMOTIVE INDUSTRY WITH EMPHASIS ON

ORIGINAL EQUIPMENT AND AFTERMARKET SUPPLIERS.

( RESPONSIBLE FOR INVESTMENT RECOMMENDATIONS, DETAILED FINANCIAL MODELING

AND INDUSTRY ANALYSIS.

( FREQUENT AND TIMELY PUBLICATIONS DISTRIBUTED TO OVER 6,000 INVESTMENT

PROFESSIONALS AT OVER 1,500 MAJOR INSTITUTIONS WORLDWIDE.

( EXTENSIVE CONTACT WITH TOP MANAGEMENT EXECUTIVES IN THE AUTOMOTIVE

INDUSTRY AS WELL PORTFOLIO MANAGERS AND ANALYSTS FROM MAJOR INSTITUTIONAL

INVESTMENT FIRMS WORLDWIDE.

( QUOTED AND INTERVIEWED BY NUMEROUS PUBLICATIONS.

PORTFOLIO STRATEGIST - RESEARCH DEPARTMENT MAY 1992 - JANUARY 1995

( WORKED DIRECTLY WITH CHAIRMAN/CEO/CHIEF STRATEGIST JAMES MOLTZ IN

RESEARCHING, WRITING, AND MARKETING THE FIRM'S DOMESTIC STOCK AND BOND

MARKET STRATEGY.

( EXTENSIVE USE OF MACROECONOMIC, FUNDAMENTAL, AND TECHNICAL ANALYSIS, AS

WELL AS HISTORICAL MARKET ANALYSIS AND PORTFOLIO STRUCTURE RECOMMENDATIONS.

( PART OF DEUTSCHE BANK'S GLOBAL ASSET ALLOCATION COMMITEE.

( RESPONSIBLE FOR WORLDWIDE CLIENT AND SALES SUPPORT.

PORTFOLIO MANAGER/ANALYST - INVESTMENT MANAGEMENT DEPARTMENT

FEBRUARY 1990 - MAY 1992

( JOINED FIRM ALONG WITH MANAGING DIRECTOR/DEPARTMENT HEAD.

( RESPONSIBILE FOR ACCOUNT MANAGEMENT TOTALING OVER 40 INDIVIDUAL AND

INSTITUTIONAL ACCOUNTS WITH $25 MILLION IN ASSETS.

( RESPONSIBLE FOR GENERAL INVESTMENT RESEARCH AS WELL AS BEING IN CHARGE OF

DEVELOPMENT, UPKEEP AND PRODUCTION OF DEPARTMENT'S SUMMARY RESEARCH REPORT

AND RESEARCH DATABASE.

( WIDE RANGE OF OTHER DUTIES INCLUDING SPECIAL RESEARCH PROJECTS, MARKETING

MATERIAL DEVELOPMENT, CLIENT SOLICITATION, DEPARTMENTAL BUDGETING AND

BUSINESS PLANNING, AND MANAGEMENT OF 15 ADMINISTRATIVE PERSONNEL.

( HEADED SYSTEM ANALYSIS AND IMPLEMENTATION OF NEW PORTFOLIO MANAGEMENT

REPORTING SYSTEM.

PRUDENTIAL EQUITY MANAGEMENT ASSOCIATES

AUGUST 1986 - FEBRUARY 1990

Newark, NJ

PORTFOLIO RESEARCH MANAGER

JANUARY 1987 - FEBRUARY 1990

( ASSISTED IN PORTFOLIO MANAGEMENT AND STOCK RESEARCH FOR OVER $300 MILLION

IN EQUITY ASSETS IN VALUE-BASED/CONTRARIAN AS WELL AS RISK ARBITRAGE AND

AGGRESSIVE TRADING STRATEGIES.

COMPUTER PROGRAMMER

AUGUST 1986 - NOVEMBER 1987

EDUCATION

BOSTON COLLEGE - SCHOOL OF MANAGEMENT

Chestnut Hill, MA

Bachelor of Science - May 1986

Majors: Finance & Computer Science

Licenses & Registrations

NASD REGISTERED SERIES 7 AND 63.

Business and personal Affiliations

AUTISM SPEAKS - CURRENT MEMBER AND PAST PRESIDENT OF THE NEW YORK CITY

CHAPTER OF CURE AUTISM NOW. CHAIRMAN OF NUMEROUS MAJOR FUND RAISING

INITIATIVES AND SIT ON SEVERAL ADVISORY BOARDS.

Boston College Wall Street Council - Current member.

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