Investor Relations VP, Capital Markets Strategy, Wall Street Analyst

David S. Moskowitz, RPh. MBA

Cell: 202-***-****

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

Summary: Seasoned investor relations, finance, and Wall Street professional with expertise in strategic and financial analysis and positioning of biotechnology, specialty pharmaceutical, and molecular diagnostic companies. Investor relations group leader and strategic consulting experience for emerging biopharmaceutical and molecular diagnostics companies. Demonstrated ability to execute – formed and managed several successful teams of investor relations professionals and equity research analysts. Developed successful programs for stock awareness and shareholder base expansion. Strong reputation and broad industry contacts. Well-known among institutional investors focused on the healthcare sector. Award-winning equity research analyst: rated #1 Stock Picker by Starmine in 2011.

Investor Relations Experience:

Verona Pharma, New York, NY October 2019 – March 2020

Vice President, Capital Markets Strategy & Investor Relations

Successfully initiated impactful IR strategy and activities immediately upon joining while completing remaining duties at Biocept and consulting projects in 4Q 2019.

Accountable for overall Investor Relations function; managed team of 9 professionals including outsourced Investor and Public Relations resources.

Worked closely with senior management team to position investment thesis and obtain investor interest in potential financing. Included analysis of various funding options.

Deployed investor targeting and broad awareness campaigns successfully revitalizing investor interest and trading in the company’s stock.

Responsible for building/maintaining investor and analyst interest in the stock story.

Developed corporate messaging and executed on press releases, investor presentations, non-deal roadshows, investor/industry conferences, and financial results conference calls.

Presented to investors, analysts and board of directors as designated by management.

Conducted bi-weekly team meetings to develop compelling pipeline of company news flow.

Assisted in transition of new senior leadership team (announced Feb. 2020) into Verona Pharma and ensured appropriate structure of the Investor/Public Relations function.

Biocept, Inc., San Diego, CA July 2016 – January 2020

Vice President, Strategy & Corporate Communications

Worked closely with senior management team to develop and execute capital markets strategy and turn-around plan, including assistance with equity financings.

Instrumental in facilitating a successful initial capital raise with high quality investors upon joining the company.

Increased analyst coverage and facilitated analyst understanding of the Biocept story.

Accountable for overall corporate communications program; managed team of 6 professionals including outsourced IR and PR resources.

Regularly presented to board of directors on IR program and progress.

Helped to grow the market cap of the company by positioning the stock story, bringing in new investors, and creating awareness around approaching milestones.

Worked with CEO to right-size IR department budgeting; proactively reduced my role to IR manager position with ability to consult for other non-competing biotech companies.

While in the manager role at Biocept, developed a consulting practice serving emerging biopharmaceutical companies to help with corporate messaging and IR strategy.

Trovagene, Inc., San Diego, CA November 2013 – July 2016

Vice President, Investor Relations

Managed investor relations program, including internal and outsourced IR and PR resources. Conducted weekly meetings with senior management and IR team.

Developed 5-yr. financial plan by working with all functional group heads (Admin, R&D, Clinical Lab, and Commercial Team). Financial forecast was instrumental in raising $15 million in term debt with Silicon Valley Bank and Oxford Finance.

Increased analyst coverage and facilitated analyst understanding of the Trovagene story.

Helped to increase the market cap of the company by positioning the stock story, bringing in new investors, and creating awareness around approaching milestones.

Supplemented CEO/CFO efforts by marketing story, presenting to investors and at conferences when designated, and interacting with investment banks.

Equity Research Experience:

Roth Capital Partners, LLC, New York, NY March 2011 – November 2013

Senior Pharmaceutical Analyst

Provided research coverage of emerging specialty pharma and biotech companies.

Rated #1 Stock Picker among U.S. Biotechnology Analysts in 2011 by Starmine.

Coverage included 16 emerging growth companies: ACHN, AIS, AMAG, CHTP, CNDO, CRTX, CYTR, DSCO, HALO, INO, MDG, PTN, NBY, NGSX, ONXX, UGNE.

Caris & Co., New York, NY February 2008 – March 2011

Senior Managing Director, Director of Equity Research, Pharmaceutical Analyst

Managed team of 14 senior analysts; responsible for quality, frequency, and regulatory compliance of research product. Sectors included: Healthcare, Technology, Consumer/Media, and Energy. 162 covered companies firm-wide.

Provided research coverage of large-cap, specialty, and generic pharmaceutical sectors. Large-cap coverage included AZN, BMY, LLY, MRK, PFE, SGP, and WYE. Specialty included: AUXL, ELN, SHPGY, ENDP, MYL.

Friedman Billings Ramsey & Co., Arlington, VA July 2001 – January 2008

Managing Director, Head of Healthcare Equity Research

Grew FBR healthcare research franchise from a team of three to a team of 12 analysts. Responsible for five senior analysts and seven associate analysts.

Provided equity research coverage of large-cap pharmaceutical sector. Also wrote on select specialty pharmaceutical stocks, including major generic drug companies. Built, managed, and marketed FBR healthcare research effort.

Organized and directed healthcare portion of FBR’s Annual Growth Conference.

Moved from equity research to rebuild FBR’s Healthcare Investment Banking practice.

UBS Warburg, LLC, New York, NY June 1999 – May 2001

Specialty Pharmaceutical Analyst

Provided coverage of the specialty pharmaceutical sector, with 23 companies under coverage. Wrote numerous industry and company reports, marketed research to clients. Helped run the only specialty pharmaceutical conference on Wall Street, before competitors followed.

Developed expertise in evaluating new drug development, regulatory strategies, patent challenges, and coverage of the generic drug industry.

Standard & Poor’s, New York, NY May 1998 – June 1999

Biotechnology Analyst

Published S&P tear sheets on over 100 biotech and specialty pharmaceutical companies with quarterly updates. Initiated research coverage on select companies with published opinions (assigned S&P Stars Rankings).

Participated in several special projects such as reorganizing S&P’s pharmaceutical and biotechnology company database and publishing industry updates on various sectors under contract with Andersen Consulting.

Prior Work Experience:

Walgreen Co., Fort Lee, NJ January 1990 – May 1998

Pharmacist

Managed team of three registered pharmacists and seven pharmacy technicians.

Processed prescriptions, interacted with physicians and the general public.

Managed pharmacy department inventory.

Education:

Fairleigh Dickinson University, Madison, NJ

1998 M.B.A. Finance/Pharmaceutical Industry Studies

Rutgers University, New Brunswick, NJ

1987 B.S. Pharmacy

Licensure:

Registered Pharmacist

Prior licensure: Series 7, 24 (Principal), 63, 86, and 87

Prior Board Memberships:

Neogenix Oncology; Board of Directors

Global Pharmaceutical Sourcing; Board of Directors

Consulting Assignments:

In addition to my corporate roles, I have been tasked to serve as an advisor to several biopharmaceutical companies in a variety of ways

ADMA Biologics, Inc., Ramsey, NJ/Boca Raton, FL November 2017 – Present

Strategic Consultant

Worked with senior management team to increase investor awareness and improve analyst coverage and overall Wall Street sponsorship.

Small remaining advisory role on investor relations program and corporate positioning.

Obalon Therapeutics, Inc., San Diego, CA August 2018 – January 2020

Strategic Consultant

Advised company on investor relations program and corporate strategy.

Repositioned stock story and investor presentation.

Advised on capital raising activities.

Alimera Sciences, Inc., Atlanta, GA October 2018 – January 2020

Strategic Consultant

Advised company on investor relations program and corporate strategy.

Repositioned stock story and investor presentation.

Advised on capital raising activities.

EquitiesIQ, LLC., New York, NY November 2013 – July 2014

Contract Equity Analyst

Write equity research coverage for company clients.

Helped market services, managed research teams, editorial for final research reports.

Special projects include; taped interviews with CEO, strategy, and financial consulting.

Alliqua Biomedical, Inc., New York, NY November 2012 – Jan 2014

Strategic Consultant

Advised company on investor relations program and corporate strategy.

Repositioned stock story and investor presentation.

Advised on capital raising activities.

PropThink.com, New York, NY July 2012 – November 2013

Strategic Consultant and Advisor

Advised website owners on strategy to produce content for retail healthcare investors.

Opined on ideas for educational products and stock stories.

Provided feedback to writers on certain articles.

Eagle Pharmaceuticals, Inc., Woodcliff Lakes, NJ August 2012 – Nov. 2012

Strategic Consultant

Advised company on next phase of growth and capital raising efforts.

Significant overhaul of story and how it was communicated.

Assisted finance and accounting department with forecasts.

Coronado Biosciences, New York, NY May 2012 – April 2013

Strategic Consultant

Opine on stock story, investor presentation, company position with investors.

Research new indications/uses for development-stage assets.

Internal presentations to company management team on competitive analysis.

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