THOMAS SUPPANZ

Katonah, NY ***** / ad2d9c@r.postjobfree.com / 646-***-****

Willing to relocate: Anywhere

Authorized to work in the US for any employer

SEASONED FINANCE PROFESSIONAL, NATIVE GERMAN SPEAKER

PROFESSIONAL EXPERIENCE

alpha-En Corp - Yonkers, NY

CFO

May 2020 to Present

Shepherded this start-up company through challenging times, hired scientific staff, raised capital and provided PPP funding and forgiveness and led the customer outreach for R&D cooperations

alpha-Encorp - Tarrytown, NY

Managing Director of Finance & Capital Markets

March 2016 to Present

In charge of all the accounting functions, SEC reporting, capital raising and capital market activities, including investor outreach and IR.

Newport Coast Securities - New York, NY

Senior Vice President of Investment Banking

July 2014 to December 2015

Was recruited with my partner to originate and fund transactions ranging from early stage venture to conventional PIPE's and help the other bankers in the system with their transactions whenever our expertise adds value.

NESEC - New York, NY

Senior Vice President of Investment Banking

November 2011 to July 2014

In addition to origination and placement of domestic deals I was tasked with building an investment banking business in Poland for NESEC. Set up a one-week roadshow in Warsaw by cold calling and networking through a local law firm. One of the opportunities that resulted from this effort required extensive travel to Brussels, Antwerp, Berlin and Warsaw to negotiate a term sheet, assist in due diligence and shepherd a very sensitive process along through completion. Also traveled to Stockholm to perform due diligence on a technology start up opportunity that I originated. Originated an take private engagement for our M&A team by a small public company that did not really benefit from being a public entity.

vfinance/National Securities - New York, NY

Senior Vice President of Investment Banking

January 2007 to November 2011

Origination, structuring and placement of our proprietary deal flow. Attending conferences, arranging roadshows and coordinating the activities of four junior associates.

vfinance/National Securities - New York, NY

Senior Vice President of Institutional Sales

April 2004 to December 2006

Was tasked with helping to build an institutional presence for the firm in the hedge fund community basically from scratch. Since the firm had no research I decided to chose PIPE's to differentiate ourselves and at the same time provide

alpha to the funds. Within two years we ranked #15 in the annual league tables published by Placement Tracker. Execution and trading capabilities at the firm were limited and revenues minimal the decision was reached to become part of the banking team. Until that time I to manage my HNW book.

Weatherly Securities - New York, NY

Senior Vice President

November 1998 to March 2004

Was recruited by ex OPCO colleagues to join them with the incentives of a sign on cash bonus, better pay-outs, equity

ownership and more flexibility as it relates to small institutions and hedge funds plus a full time cold caller to help grow the business. Within a year reached the #1 ranking for broker by AUM. Concentrated mostly on identifying long/short

trading opportunities in equity derivatives and common stocks.

Oppenheimer - New York, NY

Account Executive HNW and small institutions

November 1984 to October 1998

Growing a HNW and small institution business via cold calling and networking. The methodology was very structured and based on Lehman Brothers Martin Shafiroff's work. The expectation was a minimum of five new accounts with $10K each per month. Managed HNW portfolios leveraging the firms core competencies in risk arbitrage and industry leading research in equity special situations and high yield fixed income,

Gibraltar Securities - New York, NY

Account Executive Municipal Bonds

September 1982 to October 1984

New York City, Nj

Managed Municipal Bond Portfolios for HNW clients and grew the business via cold calling, incoming leads and networking

VOEST Alpine USA - New York, NY

Chief Accountant

October 1979 to April 1982

Performed the monthly and yearly financial reporting to the parent company. Audit and incorporate three domestic

subsidiaries, a coal mine in Virginia, a steel mill in Louisiana and a turbine manufacturer in New Jersey totaling $250

Mio in hard assets. Managed the corporate cash as well as the pension plan, opportunistically engaged in Euro Dollar

arbitrage and converted a manual book keeping system into a fully computerized solution, including hardware selection software development and implementation and integration. Assisted the corporate Parent on an as needed basis in all things relating to the US markets.

EDUCATION AND OTHER

Karl Franzens Universitat - Graz, ST

MBA in EDP and Finance

Skills

Native german speaker

Investment Banking

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